Pending: 32006L0069

                                January 16, 2026                            

12.8.2006
EN
Official Journal of the European Union
L 221/9

(1)
In order to combat tax evasion or avoidance and to simplify the procedure for charging value added tax, certain derogations covering similar problems were granted under varying terms to individual Member States by the Council pursuant to Article 27(1) of Sixth Council Directive 77/388/EEC of 17 May 1977 on the harmonisation of the laws of the Member States relating to turnover taxes — Common system of value added tax: uniform basis of assessment(3). A solution to the said problems should be made available to all Member States through incorporation into that Directive. Those measures should be proportionate and limited to countering the problem concerned. Given that the Member States have different needs, that incorporation should be limited to extending the option of adopting the rules concerned to all Member States, as and when the need arises.

(2)
Member States should be able to take action to ensure that measures provided for in Directive 77/388/EEC relating to the taxable person and the transfer of a business as a going concern are not being exploited to evade and avoid tax.

(3)
It should be possible for Member States to intervene as regards the value of supplies and acquisitions in specific limited circumstances, to ensure that there is no loss of tax through the use of connected parties to derive tax benefits.

(4)
It should be possible for Member States to include, within the taxable amount of a transaction which involves the working of investment gold provided by a customer, the value of that investment gold where, by virtue of being worked, the gold loses its status of investment gold.

(5)
It should be emphasised that certain services with the nature of capital items may be included in the scheme which allows the adjustment of deductions for capital items over the lifetime of the asset, according to its actual use.

(6)
Member States should be able, in specific cases, to designate the recipient of supplies as the person responsible for paying and accounting for value added tax. This should assist Member States in simplifying the rules and countering tax evasion and avoidance in identified sectors and on certain types of transactions.

(7)
Directive 77/388/EEC should therefore be amended accordingly.

(8)
Consequently, Member States should not be able to continue to avail themselves of individual derogations granted to them by certain Council Decisions adopted pursuant to Article 27(1) of Directive 77/388/EEC and which are covered by the provisions in this Directive. The Decisions concerned should therefore be explicitly repealed. This Directive should not affect measures applied by Member States pursuant to Article 27(5) of Directive 77/388/EEC; nor should it affect derogations which have been granted pursuant to Article 27(1) of that Directive and which have not been repealed by this Directive.

(9)
The application of certain provisions in this Directive should be optional and they should allow Member States a certain degree of discretion. Where appropriate for reasons of transparency, it should be provided that Member States should inform the other Member States through the Advisory Committee on value added tax established under Article 29 of Directive 77/388/EEC of any national law adopted pursuant to those provisions. Such information should not be necessary with respect to national measures taken under a Decision which is repealed by this Directive, or which expires at the date of this Directive's entry into force, but which a Member State continues to apply under the provisions of this Directive,

1.
In Article 4(4), the following subparagraph shall be added:‘A Member State exercising the option provided for in the second subparagraph, may adopt any measures needed to prevent tax evasion or avoidance through the use of this provision.’.

2.
In Article 5(8) the second sentence shall be replaced by the following:‘Where appropriate, Member States may, in cases where the recipient is not wholly liable to tax, take the measures necessary to prevent distortion of competition. They may also adopt any measures needed to prevent tax evasion or avoidance through the use of this provision.’.

3.
Article 11(A) shall be amended as follows:(a)in paragraph (1)(d) the second subparagraph shall be deleted;(b)the following paragraphs shall be added:‘5.   Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.6.   In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee's family, or any other closely connected persons.The option in the first subparagraph may apply only in any of the following circumstances:(a)where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;(b)where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);(c)where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.7.   For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm's length within the territory of the Member State in which the supply is subject to tax.Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.
(a)
in paragraph (1)(d) the second subparagraph shall be deleted;
(b)
the following paragraphs shall be added:‘5.   Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.6.   In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee's family, or any other closely connected persons.The option in the first subparagraph may apply only in any of the following circumstances:(a)where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;(b)where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);(c)where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.7.   For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm's length within the territory of the Member State in which the supply is subject to tax.Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.
(a)
where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;
(b)
where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);
(c)
where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

(a)
in paragraph (1)(d) the second subparagraph shall be deleted;

(b)
the following paragraphs shall be added:‘5.   Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.6.   In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee's family, or any other closely connected persons.The option in the first subparagraph may apply only in any of the following circumstances:(a)where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;(b)where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);(c)where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.7.   For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm's length within the territory of the Member State in which the supply is subject to tax.Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.
(a)
where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;
(b)
where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);
(c)
where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

(a)
where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;

(b)
where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);

(c)
where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

(a)
in paragraph (1)(d) the second subparagraph shall be deleted;

(b)
the following paragraphs shall be added:‘5.   Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.6.   In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee's family, or any other closely connected persons.The option in the first subparagraph may apply only in any of the following circumstances:(a)where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;(b)where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);(c)where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.7.   For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm's length within the territory of the Member State in which the supply is subject to tax.Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.
(a)
where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;
(b)
where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);
(c)
where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

(a)
where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;

(b)
where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);

(c)
where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

(a)
where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;

(b)
where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);

(c)
where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

4.
Article 17(4), in the version set out in Article 28f(1), shall be amended as follows:(a)in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;(b)in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.
(a)
in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;
(b)
in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.

(a)
in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;

(b)
in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.

(a)
in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;

(b)
in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.

5.
In Article 18(1)(d), in the version set out in Article 28f(2), ‘Article 21(1)’ shall be replaced by ‘Article 21(1) or Article 21(2)(c)’.

6.
In Article 20(4), the following subparagraph shall be added:‘Member States may also apply paragraphs 2 and 3 to services which have characteristics similar to those normally attributed to capital goods.’.

7.
In Article 21(2), in the version set out in Article 28g, the following point shall be added:‘(c)where the following supplies are carried out, Member States may lay down that the person liable to pay tax is the taxable person to whom those supplies are made:(i)the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);(ii)the supply of staff engaged in activities covered by (i);(iii)the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;(iv)the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;(v)the supply of goods provided as security by one taxable person to another in execution of that security;(vi)the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;(vii)the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.For the purposes of this point, Member States may provide that a taxable person who also carries out activities or transactions that are not considered to be taxable supplies of goods or services in accordance with Article 2 shall be deemed to be a taxable person in respect of supplies received as referred to in the first subparagraph. A non-taxable body governed by public law, may be deemed to be a taxable person in respect of supplies received as referred to in (v), (vi) and (vii).For the purposes of this point, Member States may specify the supplies of goods and services covered, and the categories of suppliers or recipients to whom these measures may apply. They may also limit the application of this measure to some of the supplies of goods and services listed in Annex M.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this point.’.
‘(c)
where the following supplies are carried out, Member States may lay down that the person liable to pay tax is the taxable person to whom those supplies are made:(i)the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);(ii)the supply of staff engaged in activities covered by (i);(iii)the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;(iv)the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;(v)the supply of goods provided as security by one taxable person to another in execution of that security;(vi)the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;(vii)the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.For the purposes of this point, Member States may provide that a taxable person who also carries out activities or transactions that are not considered to be taxable supplies of goods or services in accordance with Article 2 shall be deemed to be a taxable person in respect of supplies received as referred to in the first subparagraph. A non-taxable body governed by public law, may be deemed to be a taxable person in respect of supplies received as referred to in (v), (vi) and (vii).For the purposes of this point, Member States may specify the supplies of goods and services covered, and the categories of suppliers or recipients to whom these measures may apply. They may also limit the application of this measure to some of the supplies of goods and services listed in Annex M.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this point.’.
(i)
the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);
(ii)
the supply of staff engaged in activities covered by (i);
(iii)
the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;
(iv)
the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;
(v)
the supply of goods provided as security by one taxable person to another in execution of that security;
(vi)
the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;
(vii)
the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.

‘(c)
where the following supplies are carried out, Member States may lay down that the person liable to pay tax is the taxable person to whom those supplies are made:(i)the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);(ii)the supply of staff engaged in activities covered by (i);(iii)the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;(iv)the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;(v)the supply of goods provided as security by one taxable person to another in execution of that security;(vi)the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;(vii)the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.For the purposes of this point, Member States may provide that a taxable person who also carries out activities or transactions that are not considered to be taxable supplies of goods or services in accordance with Article 2 shall be deemed to be a taxable person in respect of supplies received as referred to in the first subparagraph. A non-taxable body governed by public law, may be deemed to be a taxable person in respect of supplies received as referred to in (v), (vi) and (vii).For the purposes of this point, Member States may specify the supplies of goods and services covered, and the categories of suppliers or recipients to whom these measures may apply. They may also limit the application of this measure to some of the supplies of goods and services listed in Annex M.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this point.’.
(i)
the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);
(ii)
the supply of staff engaged in activities covered by (i);
(iii)
the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;
(iv)
the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;
(v)
the supply of goods provided as security by one taxable person to another in execution of that security;
(vi)
the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;
(vii)
the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.

(i)
the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);

(ii)
the supply of staff engaged in activities covered by (i);

(iii)
the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;

(iv)
the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;

(v)
the supply of goods provided as security by one taxable person to another in execution of that security;

(vi)
the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;

(vii)
the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.

‘(c)
where the following supplies are carried out, Member States may lay down that the person liable to pay tax is the taxable person to whom those supplies are made:(i)the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);(ii)the supply of staff engaged in activities covered by (i);(iii)the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;(iv)the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;(v)the supply of goods provided as security by one taxable person to another in execution of that security;(vi)the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;(vii)the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.For the purposes of this point, Member States may provide that a taxable person who also carries out activities or transactions that are not considered to be taxable supplies of goods or services in accordance with Article 2 shall be deemed to be a taxable person in respect of supplies received as referred to in the first subparagraph. A non-taxable body governed by public law, may be deemed to be a taxable person in respect of supplies received as referred to in (v), (vi) and (vii).For the purposes of this point, Member States may specify the supplies of goods and services covered, and the categories of suppliers or recipients to whom these measures may apply. They may also limit the application of this measure to some of the supplies of goods and services listed in Annex M.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this point.’.
(i)
the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);
(ii)
the supply of staff engaged in activities covered by (i);
(iii)
the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;
(iv)
the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;
(v)
the supply of goods provided as security by one taxable person to another in execution of that security;
(vi)
the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;
(vii)
the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.

(i)
the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);

(ii)
the supply of staff engaged in activities covered by (i);

(iii)
the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;

(iv)
the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;

(v)
the supply of goods provided as security by one taxable person to another in execution of that security;

(vi)
the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;

(vii)
the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.

(i)
the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);

(ii)
the supply of staff engaged in activities covered by (i);

(iii)
the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;

(iv)
the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;

(v)
the supply of goods provided as security by one taxable person to another in execution of that security;

(vi)
the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;

(vii)
the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.

8.
Annex M set out in Annex I to this Directive shall be added.

(a)
the supply of ferrous and non ferrous waste, scrap, and used materials including that of semi-finished products resulting from the processing, manufacturing or melting down of ferrous and non-ferrous metals and their alloys;

(b)
the supply of ferrous and non-ferrous semi-processed products and certain associated processing services;

(c)
the supply of residues and other recyclable materials consisting of ferrous and non-ferrous metals, their alloys, slag, ash, scale and industrial residues containing metals or their alloys and the supply of selection, cutting, fragmenting and pressing services for these products;

(d)
the supply of, and certain processing services relating to, ferrous and non-ferrous waste as well as parings, scrap, waste and used and recyclable material consisting of cullet, glass, paper, paperboard and board, rags, bone, leather, imitation leather, parchment, raw hides and skins, tendons and sinews, twine, cordage, rope, cables, rubber and plastic;

(e)
the supply of the materials referred to in this annex after processing in the form of cleaning, polishing, selection, cutting, fragmenting, pressing or casting into ingots;

(f)
the supply of scrap and waste from the working of base materials.’

The Council Decision deemed to have been adopted on 15 April 1984 authorising the United Kingdom to apply a measure derogating from the Sixth Directive with a view to avoiding certain types of fraud or tax evasion on supplies of gold, gold coins and gold scrap between taxable persons by a special tax accounting scheme(1).

The Council Decision deemed to have been adopted on 11 April 1987 authorising the United Kingdom to apply a measure derogating from Article 11 of Directive 77/388/EEC(2).

Council Decision 88/498/EEC(3)authorising the Kingdom of the Netherlands to apply a measure derogating from Article 21(1)(a) of Directive 77/388/EEC.

A Council Decision deemed to have been adopted on 18 February 1997 under the procedure contained in Article 27(4) of Directive 77/388/EEC in its version of 17 May 1977 authorising the Republic of France to apply a measure derogating from Articles 2 and 10 of Directive 77/388/EEC. This decision follows notification of the request to Member States on 18 December 1996.

Council Decision 98/23/EC(4)authorising the United Kingdom to extend application of a measure derogating from Article 28e(1) of Directive 77/388/EEC.

Council Decision 2002/439/EC(5)authorising Germany to apply a measure derogating from Article 21 of Directive 77/388/EEC.

Council Decision 2002/880/EC(6)authorising Austria to apply a measure derogating from Article 21 of Directive 77/388/EEC.

Council Decision 2004/290/EC(7)authorising Germany to apply a measure derogating from Article 21 of Directive 77/388/EEC.

Council Decision 2004/736/EC(8)authorising the United Kingdom to introduce a special measure derogating from Article 11 of Directive 77/388/EEC.

Council Decision 2004/758/EC(9)authorising Austria to apply a measure derogating from Article 21 of Directive 77/388/EEC.

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 93 thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament(1),

Having regard to the opinion of the European Economic and Social Committee(2),

(1) In order to combat tax evasion or avoidance and to simplify the procedure for charging value added tax, certain derogations covering similar problems were granted under varying terms to individual Member States by the Council pursuant to Article 27(1) of Sixth Council Directive 77/388/EEC of 17 May 1977 on the harmonisation of the laws of the Member States relating to turnover taxes — Common system of value added tax: uniform basis of assessment(3). A solution to the said problems should be made available to all Member States through incorporation into that Directive. Those measures should be proportionate and limited to countering the problem concerned. Given that the Member States have different needs, that incorporation should be limited to extending the option of adopting the rules concerned to all Member States, as and when the need arises.

(2) Member States should be able to take action to ensure that measures provided for in Directive 77/388/EEC relating to the taxable person and the transfer of a business as a going concern are not being exploited to evade and avoid tax.

(3) It should be possible for Member States to intervene as regards the value of supplies and acquisitions in specific limited circumstances, to ensure that there is no loss of tax through the use of connected parties to derive tax benefits.

(4) It should be possible for Member States to include, within the taxable amount of a transaction which involves the working of investment gold provided by a customer, the value of that investment gold where, by virtue of being worked, the gold loses its status of investment gold.

(5) It should be emphasised that certain services with the nature of capital items may be included in the scheme which allows the adjustment of deductions for capital items over the lifetime of the asset, according to its actual use.

(6) Member States should be able, in specific cases, to designate the recipient of supplies as the person responsible for paying and accounting for value added tax. This should assist Member States in simplifying the rules and countering tax evasion and avoidance in identified sectors and on certain types of transactions.

(7) Directive 77/388/EEC should therefore be amended accordingly.

(8) Consequently, Member States should not be able to continue to avail themselves of individual derogations granted to them by certain Council Decisions adopted pursuant to Article 27(1) of Directive 77/388/EEC and which are covered by the provisions in this Directive. The Decisions concerned should therefore be explicitly repealed. This Directive should not affect measures applied by Member States pursuant to Article 27(5) of Directive 77/388/EEC; nor should it affect derogations which have been granted pursuant to Article 27(1) of that Directive and which have not been repealed by this Directive.

(9) The application of certain provisions in this Directive should be optional and they should allow Member States a certain degree of discretion. Where appropriate for reasons of transparency, it should be provided that Member States should inform the other Member States through the Advisory Committee on value added tax established under Article 29 of Directive 77/388/EEC of any national law adopted pursuant to those provisions. Such information should not be necessary with respect to national measures taken under a Decision which is repealed by this Directive, or which expires at the date of this Directive’s entry into force, but which a Member State continues to apply under the provisions of this Directive,

HAS ADOPTED THIS DIRECTIVE:
Article 1

Directive 77/388/EEC is amended as follows:

1.

In Article 4(4), the following subparagraph shall be added:

‘A Member State exercising the option provided for in the second subparagraph, may adopt any measures needed to prevent tax evasion or avoidance through the use of this provision.’.

2.

In Article 5(8) the second sentence shall be replaced by the following:

‘Where appropriate, Member States may, in cases where the recipient is not wholly liable to tax, take the measures necessary to prevent distortion of competition. They may also adopt any measures needed to prevent tax evasion or avoidance through the use of this provision.’.

3.

Article 11(A) shall be amended as follows:

(a)

in paragraph (1)(d) the second subparagraph shall be deleted;

(b)

the following paragraphs shall be added:

‘5.   Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.

6.   In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee’s family, or any other closely connected persons.

The option in the first subparagraph may apply only in any of the following circumstances:

(a)

where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;

(b)

where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);

(c)

where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.

Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.

7.   For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm’s length within the territory of the Member State in which the supply is subject to tax.

Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.

4.

Article 17(4), in the version set out in Article 28f(1), shall be amended as follows:

(a)

in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;

(b)

in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.

5.

In Article 18(1)(d), in the version set out in Article 28f(2), ‘Article 21(1)’ shall be replaced by ‘Article 21(1) or Article 21(2)(c)’.

6.

In Article 20(4), the following subparagraph shall be added:

‘Member States may also apply paragraphs 2 and 3 to services which have characteristics similar to those normally attributed to capital goods.’.

7.

In Article 21(2), in the version set out in Article 28g, the following point shall be added:

‘(c)

where the following supplies are carried out, Member States may lay down that the person liable to pay tax is the taxable person to whom those supplies are made:

(i)

the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);

(ii)

the supply of staff engaged in activities covered by (i);

(iii)

the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;

(iv)

the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;

(v)

the supply of goods provided as security by one taxable person to another in execution of that security;

(vi)

the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;

(vii)

the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.

For the purposes of this point, Member States may provide that a taxable person who also carries out activities or transactions that are not considered to be taxable supplies of goods or services in accordance with Article 2 shall be deemed to be a taxable person in respect of supplies received as referred to in the first subparagraph. A non-taxable body governed by public law, may be deemed to be a taxable person in respect of supplies received as referred to in (v), (vi) and (vii).

For the purposes of this point, Member States may specify the supplies of goods and services covered, and the categories of suppliers or recipients to whom these measures may apply. They may also limit the application of this measure to some of the supplies of goods and services listed in Annex M.

Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this point.’.

8.

Annex M set out in Annex I to this Directive shall be added.
Article 2

Decisions listed in Annex II of this Directive shall be repealed with effect from 1 January 2008.
Article 3

Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive.

They shall apply the provisions necessary to comply with Article 1(3), as concerns a new Article 11A(7) of Directive 77/388/EEC, and with Article 1(4), as concerns the reference in Article 17(4) points (a) and (b) of Directive 77/388/EEC in the version set out in Article 28f(1) to Article 21(1)(f) of that Directive, from 1 January 2008 at the latest.

When Member States adopt provisions under this Directive, they shall forthwith communicate to the Commission the text of those provisions, which shall contain a reference to this Directive or shall be accompanied by such a reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.
Article 4

This Directive shall enter into force on the day following that of its publication in theOfficial Journal of the European Union.
Article 5

This Directive is addressed to the Member States.
THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 93 thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament(1),

Having regard to the opinion of the European Economic and Social Committee(2),

(1) In order to combat tax evasion or avoidance and to simplify the procedure for charging value added tax, certain derogations covering similar problems were granted under varying terms to individual Member States by the Council pursuant to Article 27(1) of Sixth Council Directive 77/388/EEC of 17 May 1977 on the harmonisation of the laws of the Member States relating to turnover taxes — Common system of value added tax: uniform basis of assessment(3). A solution to the said problems should be made available to all Member States through incorporation into that Directive. Those measures should be proportionate and limited to countering the problem concerned. Given that the Member States have different needs, that incorporation should be limited to extending the option of adopting the rules concerned to all Member States, as and when the need arises.

(2) Member States should be able to take action to ensure that measures provided for in Directive 77/388/EEC relating to the taxable person and the transfer of a business as a going concern are not being exploited to evade and avoid tax.

(3) It should be possible for Member States to intervene as regards the value of supplies and acquisitions in specific limited circumstances, to ensure that there is no loss of tax through the use of connected parties to derive tax benefits.

(4) It should be possible for Member States to include, within the taxable amount of a transaction which involves the working of investment gold provided by a customer, the value of that investment gold where, by virtue of being worked, the gold loses its status of investment gold.

(5) It should be emphasised that certain services with the nature of capital items may be included in the scheme which allows the adjustment of deductions for capital items over the lifetime of the asset, according to its actual use.

(6) Member States should be able, in specific cases, to designate the recipient of supplies as the person responsible for paying and accounting for value added tax. This should assist Member States in simplifying the rules and countering tax evasion and avoidance in identified sectors and on certain types of transactions.

(7) Directive 77/388/EEC should therefore be amended accordingly.

(8) Consequently, Member States should not be able to continue to avail themselves of individual derogations granted to them by certain Council Decisions adopted pursuant to Article 27(1) of Directive 77/388/EEC and which are covered by the provisions in this Directive. The Decisions concerned should therefore be explicitly repealed. This Directive should not affect measures applied by Member States pursuant to Article 27(5) of Directive 77/388/EEC; nor should it affect derogations which have been granted pursuant to Article 27(1) of that Directive and which have not been repealed by this Directive.

(9) The application of certain provisions in this Directive should be optional and they should allow Member States a certain degree of discretion. Where appropriate for reasons of transparency, it should be provided that Member States should inform the other Member States through the Advisory Committee on value added tax established under Article 29 of Directive 77/388/EEC of any national law adopted pursuant to those provisions. Such information should not be necessary with respect to national measures taken under a Decision which is repealed by this Directive, or which expires at the date of this Directive’s entry into force, but which a Member State continues to apply under the provisions of this Directive,

HAS ADOPTED THIS DIRECTIVE:
Directive 77/388/EEC is amended as follows:

1.

In Article 4(4), the following subparagraph shall be added:

‘A Member State exercising the option provided for in the second subparagraph, may adopt any measures needed to prevent tax evasion or avoidance through the use of this provision.’.

2.

In Article 5(8) the second sentence shall be replaced by the following:

‘Where appropriate, Member States may, in cases where the recipient is not wholly liable to tax, take the measures necessary to prevent distortion of competition. They may also adopt any measures needed to prevent tax evasion or avoidance through the use of this provision.’.

3.

Article 11(A) shall be amended as follows:

(a)

in paragraph (1)(d) the second subparagraph shall be deleted;

(b)

the following paragraphs shall be added:

‘5.   Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.

6.   In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee’s family, or any other closely connected persons.

The option in the first subparagraph may apply only in any of the following circumstances:

(a)

where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;

(b)

where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);

(c)

where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.

Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.

7.   For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm’s length within the territory of the Member State in which the supply is subject to tax.

Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.

4.

Article 17(4), in the version set out in Article 28f(1), shall be amended as follows:

(a)

in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;

(b)

in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.

5.

In Article 18(1)(d), in the version set out in Article 28f(2), ‘Article 21(1)’ shall be replaced by ‘Article 21(1) or Article 21(2)(c)’.

6.

In Article 20(4), the following subparagraph shall be added:

‘Member States may also apply paragraphs 2 and 3 to services which have characteristics similar to those normally attributed to capital goods.’.

7.

In Article 21(2), in the version set out in Article 28g, the following point shall be added:

‘(c)

where the following supplies are carried out, Member States may lay down that the person liable to pay tax is the taxable person to whom those supplies are made:

(i)

the supply of construction work, including repair, cleaning, maintenance, alteration and demolition services in relation to immovable property, as well as the handing over of construction works considered to be a supply of goods by virtue of Article 5(5);

(ii)

the supply of staff engaged in activities covered by (i);

(iii)

the supply of immovable property, as referred to in Article 13(B)(g) and (h), where the supplier has opted for taxation of the supply pursuant to point (C)(b) of that Article;

(iv)

the supply of used material, used material which cannot be re-used in the same state, scrap, industrial and non industrial waste, recyclable waste, part processed waste and certain goods and services, as identified in Annex M;

(v)

the supply of goods provided as security by one taxable person to another in execution of that security;

(vi)

the supply of goods following the cession of the reservation of ownership to an assignee and the exercising of this right by the assignee;

(vii)

the supply of immovable property sold by the judgment debtor in a compulsory sale procedure.

For the purposes of this point, Member States may provide that a taxable person who also carries out activities or transactions that are not considered to be taxable supplies of goods or services in accordance with Article 2 shall be deemed to be a taxable person in respect of supplies received as referred to in the first subparagraph. A non-taxable body governed by public law, may be deemed to be a taxable person in respect of supplies received as referred to in (v), (vi) and (vii).

For the purposes of this point, Member States may specify the supplies of goods and services covered, and the categories of suppliers or recipients to whom these measures may apply. They may also limit the application of this measure to some of the supplies of goods and services listed in Annex M.

Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this point.’.

8.

Annex M set out in Annex I to this Directive shall be added.
Decisions listed in Annex II of this Directive shall be repealed with effect from 1 January 2008.
Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive.

They shall apply the provisions necessary to comply with Article 1(3), as concerns a new Article 11A(7) of Directive 77/388/EEC, and with Article 1(4), as concerns the reference in Article 17(4) points (a) and (b) of Directive 77/388/EEC in the version set out in Article 28f(1) to Article 21(1)(f) of that Directive, from 1 January 2008 at the latest.

When Member States adopt provisions under this Directive, they shall forthwith communicate to the Commission the text of those provisions, which shall contain a reference to this Directive or shall be accompanied by such a reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.
This Directive shall enter into force on the day following that of its publication in theOfficial Journal of the European Union.
This Directive is addressed to the Member States.
ANNEX I

                     ‘ANNEX M

List of supplies of goods and services as referred to in Article 21(2)(c)(iv) (a) the supply of ferrous and non ferrous waste, scrap, and used materials including that of semi-finished products resulting from the processing, manufacturing or melting down of ferrous and non-ferrous metals and their alloys;

(b) the supply of ferrous and non-ferrous semi-processed products and certain associated processing services;

(c) the supply of residues and other recyclable materials consisting of ferrous and non-ferrous metals, their alloys, slag, ash, scale and industrial residues containing metals or their alloys and the supply of selection, cutting, fragmenting and pressing services for these products;

(d) the supply of, and certain processing services relating to, ferrous and non-ferrous waste as well as parings, scrap, waste and used and recyclable material consisting of cullet, glass, paper, paperboard and board, rags, bone, leather, imitation leather, parchment, raw hides and skins, tendons and sinews, twine, cordage, rope, cables, rubber and plastic;

(e) the supply of the materials referred to in this annex after processing in the form of cleaning, polishing, selection, cutting, fragmenting, pressing or casting into ingots;

(f) the supply of scrap and waste from the working of base materials.’
List of Decisions under Article 27 of Directive 77/388/EEC repealed by this DirectiveANNEX II

 | The Council Decision deemed to have been adopted on 15 April 1984 authorising the United Kingdom to apply a measure derogating from the Sixth Directive with a view to avoiding certain types of fraud or tax evasion on supplies of gold, gold coins and gold scrap between taxable persons by a special tax accounting scheme(1).

 | The Council Decision deemed to have been adopted on 11 April 1987 authorising the United Kingdom to apply a measure derogating from Article 11 of Directive 77/388/EEC(2).

 | Council Decision 88/498/EEC(3)authorising the Kingdom of the Netherlands to apply a measure derogating from Article 21(1)(a) of Directive 77/388/EEC.

 | A Council Decision deemed to have been adopted on 18 February 1997 under the procedure contained in Article 27(4) of Directive 77/388/EEC in its version of 17 May 1977 authorising the Republic of France to apply a measure derogating from Articles 2 and 10 of Directive 77/388/EEC. This decision follows notification of the request to Member States on 18 December 1996.

 | Council Decision 98/23/EC(4)authorising the United Kingdom to extend application of a measure derogating from Article 28e(1) of Directive 77/388/EEC.

 | Council Decision 2002/439/EC(5)authorising Germany to apply a measure derogating from Article 21 of Directive 77/388/EEC.

 | Council Decision 2002/880/EC(6)authorising Austria to apply a measure derogating from Article 21 of Directive 77/388/EEC.

 | Council Decision 2004/290/EC(7)authorising Germany to apply a measure derogating from Article 21 of Directive 77/388/EEC.

 | Council Decision 2004/736/EC(8)authorising the United Kingdom to introduce a special measure derogating from Article 11 of Directive 77/388/EEC.

 | Council Decision 2004/758/EC(9)authorising Austria to apply a measure derogating from Article 21 of Directive 77/388/EEC.

(1)  

            OJ L 264, 5.10.1984, p. 27.

(2)  

            OJ L 132, 21.5.1987, p. 22.

(3)  

            OJ L 269, 29.9.1988, p. 54.

(4)  

            OJ L 8, 14.1.1998, p. 24. Decision as last amended by Decision 2003/909/EC (OJ L 342, 30.12.2003, p. 49).

(5)  

            OJ L 151, 11.6.2002, p. 12.

(6)  

            OJ L 306, 8.11.2002, p. 24.

(7)  

            OJ L 94, 31.3.2004, p. 59.

(8)  

            OJ L 325, 28.10.2004, p. 58.

(9)  

            OJ L 336, 12.11.2004, p. 38.

Pending: 32006L0052

                                January 16, 2026                            

26.7.2006
EN
Official Journal of the European Union
L 204/10

(1)
Food additives may be approved for use in foodstuffs only if they comply with Annex II to Council Directive 89/107/EEC of 21 December 1988 on the approximation of the laws of the Member States concerning food additives authorized for use in foodstuffs intended for human consumption(3).

(2)
Directive 95/2/EC(4)lays down a list of food additives that may be used in the Community and the conditions for their use.

(3)
Directive 94/35/EC(5)lays down a list of sweeteners that may be used in the Community and the conditions for their use.

(4)
There have been technical developments in the field of food additives since the adoption of Directives 95/2/EC and 94/35/EC. These Directives should be adapted to take account of those developments.

(5)
On the basis of an opinion of the European Food Safety Authority (EFSA), expressed on 26 November 2003, changes are made to current authorisations in order to keep the level of nitrosamines as low as possible by bringing down the levels of nitrites and nitrates added to food whilst maintaining the microbiological safety of food products. EFSA recommends that the levels of nitrite and nitrate are set in the legislation as ‘added amount’. EFSA is of the opinion that the added amount of nitrite rather than the residual amount contributes to the inhibitory activity againstC. botulinum. The current provisions should be amended in such a way that the maximum levels permitted, as mentioned by EFSA, in non-heat-treated or heat‐treated meat products, in cheese and in fish are expressed as added amounts. Exceptionally, however,for certain traditionally manufactured meat products maximum residual levels should be set, on the condition that the products are adequately specified and identified. The levels set should ensure that the acceptable daily intake (ADI) established by the Scientific Committee on Food in 1990 is not exceeded. Products which are not specifically named in this Directive, but which are traditionally produced in a similar manner (i.e. similar products) can if necessary be categorised in accordance with Articles 5 and 6 of Directive 95/2/EC. For cheese, the level should be expressed as the amount added to the cheese milk. If a process is used where addition of nitrate follows removal of whey and addition of water, this should lead to levels identical to those which would have been obtained had the nitrate been added directly to the cheese milk.

(6)
Directive 2003/114/EC amending Directive 95/2/EC required the Commission and EFSA to review the conditions for the use of E 214 to E 219 p-hydroxybenzoates and their sodium salts before 1 July 2004. EFSA assessed the information on the safety of p‐hydroxybenzoates and expressed its opinion on 13 July 2004. EFSA established a full‐group ADI of 0 to 10 mg/kg body weight for the sum of methyl and ethyl p‐hydroxybenzoic acid esters and their sodium salts. EFSA considered that propyl paraben should not be included in this group ADI because propyl paraben, contrary to methyl and ethyl paraben, had effects on sex hormones and the male reproductive organs in juvenile rats. Therefore, EFSA was unable to recommend an ADI for propyl paraben because of the lack of a clear no-observed-adverse-effect-level (NOAEL). It is necessary to withdraw E 216 propyl p‐hydroxybenzoate and E 217 sodium propyl p-hydroxybenzoate from Directive 95/2/EC. In addition, it is necessary to withdraw the use of p-hydroxybenzoates in liquid dietary food supplements.

(7)
Commission Decision 2004/374/EC(6)suspended the placing on the market and import of jelly mini-cups containing gel-forming food additives derived from seaweed and certain gums due to the risk of choking on these products. Following a review of that Decision it is necessary to exclude the use of certain gel-forming food additives in jelly mini-cups.

(8)
The Scientific Committee on Food assessed the information on the safety of erythritol and expressed its opinion on 5 March 2003. The Committee concluded that the use of erythritol as a food additive is acceptable. The Committee also notes that erythritol has a laxative effect, but at a higher dose than other polyols. Erythritol has many technological non‐sweetening properties that are important in a wide range of foods, from confectionery to dairy products. These include functions such as flavour enhancer, carrier, humectant, stabiliser, thickener, bulking agent and sequestrant. It is necessary to permit the use of erythritol in the same food applications as the other currently permitted polyols. In addition, it is necessary to amend Directive 94/35/EC, as erythritol can also be used for sweetening purposes like the other currently permitted polyols.

(9)
The Scientific Committee on Food assessed the information on the safety of soybean hemicellulose and expressed its opinion on 4 April 2003. The Committee concluded that the use of soybean hemicellulose is acceptable in certain foods in respect of which the request was made and at certain inclusion levels. It is therefore appropriate to permit such use for certain purposes. In order to facilitate matters for allergy sufferers, however, such use should not be permitted for unprocessed foods in which soybean is not expected to be found. At all events, consumers should be informed when products contain hemicellulose derived from soybean in accordance with the provisions of Directive 2000/13/EC of the European Parliament and of the Council of 20 March 2000 on the approximation of the laws of the Member States relating to the labelling, presentation and advertising of foodstuffs(7).

(10)
EFSA assessed the information on the safety of ethyl cellulose and expressed its opinion on 17 February 2004. EFSA decided to include ethyl cellulose in the group ADI ‘not specified’ for modified celluloses established by the Scientific Committee on Food. The main application of ethyl cellulose is in food supplements and encapsulated flavourings. The use of ethyl cellulose should therefore be permitted in a way similar to that for other celluloses.

(11)
EFSA assessed the information on the safety of pullulan and expressed its opinion on 13 July 2004. EFSA found the use of pullulan acceptable in the coating of food supplements that are in the form of capsules and tablets as well as in breath fresheners in the form of films. It is therefore appropriate to permit these uses.

(12)
EFSA assessed the information on the safety of tertiary butyl hydroquinone (TBHQ) and expressed its opinion on 12 July 2004. EFSA established an ADI of 0 to 0,7 mg/kg body weight for this antioxidant and found that its use would be acceptable in certain foodstuffs at certain inclusion levels. It is therefore appropriate to permit this additive.

(13)
The Scientific Committee on Food assessed the information on the safety of starch aluminium octenyl succinate and expressed its opinion on 21 March 1997. The Committee found that the use of this additive as a component of micro encapsulated vitamins and carotenoids may be regarded as acceptable. It is therefore appropriate to permit this use.

(14)
During the manufacture of sour milk cheese, E 500ii sodium hydrogen carbonate is added to the pasteurised milk in order to buffer the acidity caused by the lactic acid to an appropriate pH value, thereby creating the necessary growth conditions for the ripening cultures. It is, therefore, appropriate to permit the use of sodium hydrogen carbonate in sour milk cheese.

(15)
Currently, the use of a mixture of sorbates (E 200, E 202 and E 203) and benzoates (E 210 to E 213) is authorised in cooked shrimps for preservation. It is appropriate to extend that authorisation to its use in all cooked crustaceans and molluscs.

(16)
E 551 silicon dioxide is permitted as a carrier for food colours at the maximum level of 5 %. The use of silicon dioxide as a carrier for food colours E 171 titanium dioxide and E 172 iron oxides and hydroxides should also be permitted at the level of maximum 90 % relative to the pigment.

(17)
Directive 95/2/EC limits the use of additives listed in Annex I to that Directive in traditional French bread ‘Pain courant français’. The same limitation should apply to similar traditional Hungarian bread. It is also appropriate to authorise use of ascorbic acid (E 300), sodium ascorbate (E 301) and calcium disodium EDTA (E 385) in Hungarian liver patés.

(18)
It is necessary to update the current provisions regarding the use of sulphites (E 220 to E 228) in cooked crustaceans, table grapes and lychees.

(19)
In accordance with a request from a Member State and the opinion of the Scientific Committee on Food of 5 March 2003, 4-hexylresorcinol, which was authorised at national level under Directive 89/107/EEC, should be authorised at Community level.

(20)
The terminology used in Directive 95/2/EC should be adapted to take into account Council Directive 89/398/EEC of 3 May 1989 on the approximation of the laws of the Member States relating to foodstuffs intended for particular nutritional uses(8), Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements(9)and Commission Directive 1999/21/EC of 25 March 1999 on dietary foods for special medical purposes(10).

(21)
Directives 95/2/EC and 94/35/EC should, therefore, be amended accordingly,

1.
Article 1(3)(c) shall be replaced by the following:‘(c)“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;
‘(c)
“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;

‘(c)
“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;

‘(c)
“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;

2.
in Article 3(2) ‘weaning foods’ shall be replaced by ‘processed cereal-based foods and baby foods’;

3.
the Annexes shall be amended in accordance with Annex I to this Directive.

(a)
permit trade in and the use of products complying with this Directive by 15 February 2008;

(b)
prohibit trade in and use of products which do not comply with this Directive by 15 August 2008.

(1)
Annex I is amended as follows:(a)in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;(b)in the table, the following row is inserted:‘E 462Ethyl cellulose’;
(a)
in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;
‘4.
The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;
(b)
in the table, the following row is inserted:‘E 462Ethyl cellulose’;
‘E 462
Ethyl cellulose’;

(a)
in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;
‘4.
The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;

‘4.
The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;

(b)
in the table, the following row is inserted:‘E 462Ethyl cellulose’;
‘E 462
Ethyl cellulose’;

‘E 462
Ethyl cellulose’;

(a)
in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;
‘4.
The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;

‘4.
The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;

‘4.
The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;

(b)
in the table, the following row is inserted:‘E 462Ethyl cellulose’;
‘E 462
Ethyl cellulose’;

‘E 462
Ethyl cellulose’;

‘E 462
Ethyl cellulose’;

(2)
Annex II is amended as follows:(a)the row for ‘ripened cheese’ is replaced by the following:‘Ripened cheeseE 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactonequantum satisE 500ii Sodium hydrogen carbonatequantum satis (only for sour milk cheese)’;(b)in the row for ‘Pain courant français’ after the words ‘Pain courant français’ the following words are added: ‘Friss búzakenyér, fehér és félbarna kenyerek’;(c)in the row for ‘Foie gras, foie gras entier, blocs de foie gras’ after the words ‘Foie gras, foie gras entier, blocs de foie gras’ the following words are added: ‘Libamáj, libamáj egészben, libamáj tömbben’;
(a)
the row for ‘ripened cheese’ is replaced by the following:‘Ripened cheeseE 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactonequantum satisE 500ii Sodium hydrogen carbonatequantum satis (only for sour milk cheese)’;
‘Ripened cheese
E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone
quantum satis

E 500ii Sodium hydrogen carbonate
quantum satis (only for sour milk cheese)’;
(b)
in the row for ‘Pain courant français’ after the words ‘Pain courant français’ the following words are added: ‘Friss búzakenyér, fehér és félbarna kenyerek’;
(c)
in the row for ‘Foie gras, foie gras entier, blocs de foie gras’ after the words ‘Foie gras, foie gras entier, blocs de foie gras’ the following words are added: ‘Libamáj, libamáj egészben, libamáj tömbben’;

(a)
the row for ‘ripened cheese’ is replaced by the following:‘Ripened cheeseE 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactonequantum satisE 500ii Sodium hydrogen carbonatequantum satis (only for sour milk cheese)’;
‘Ripened cheese
E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone
quantum satis

E 500ii Sodium hydrogen carbonate
quantum satis (only for sour milk cheese)’;

‘Ripened cheese
E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone
quantum satis

E 500ii Sodium hydrogen carbonate
quantum satis (only for sour milk cheese)’;

(b)
in the row for ‘Pain courant français’ after the words ‘Pain courant français’ the following words are added: ‘Friss búzakenyér, fehér és félbarna kenyerek’;

(c)
in the row for ‘Foie gras, foie gras entier, blocs de foie gras’ after the words ‘Foie gras, foie gras entier, blocs de foie gras’ the following words are added: ‘Libamáj, libamáj egészben, libamáj tömbben’;

(a)
the row for ‘ripened cheese’ is replaced by the following:‘Ripened cheeseE 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactonequantum satisE 500ii Sodium hydrogen carbonatequantum satis (only for sour milk cheese)’;
‘Ripened cheese
E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone
quantum satis

E 500ii Sodium hydrogen carbonate
quantum satis (only for sour milk cheese)’;

‘Ripened cheese
E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone
quantum satis

E 500ii Sodium hydrogen carbonate
quantum satis (only for sour milk cheese)’;

‘Ripened cheese
E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone
quantum satis

E 500ii Sodium hydrogen carbonate
quantum satis (only for sour milk cheese)’;

(b)
in the row for ‘Pain courant français’ after the words ‘Pain courant français’ the following words are added: ‘Friss búzakenyér, fehér és félbarna kenyerek’;

(c)
in the row for ‘Foie gras, foie gras entier, blocs de foie gras’ after the words ‘Foie gras, foie gras entier, blocs de foie gras’ the following words are added: ‘Libamáj, libamáj egészben, libamáj tömbben’;

(3)
Annex III is amended as follows:(a)Part A is amended as follows:(i)in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;(ii)the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)(b)in Part B the table for foodstuffs is amended as follows:—the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)—the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;—the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;(c)in Part C the table for E 249, E 250, E 251 and E 252 is replaced by the following:‘E NoNameFoodstuffMaximum amount that may be added during manufacture(expressed as NaNO2)Maximum residual level (expressed as NaNO2)E 249Potassium nitrite(1)Meat products150 mg/kgE 250Sodium nitrite(1)Sterilised meat products (Fo > 3,00 )(2)100 mg/kgTraditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products175 mg/kgWiltshire ham(1.1);and similar products100 mg/kgRohschinken, nassgepökelt(1.6);and similar products50 mg/kgCured tongue(1.3)Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products175 mg/kgDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products100 mg/kgRohschinken, trockengepökelt(2.5);and similar products50 mg/kgOther traditionally cured meat products (3):VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products180 mg/kgRohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)50 mg/kgE 251E 252Potassium nitrate(3)Sodium nitrate(3)Non-heat-treated meat products150 mg/kgTraditional immersion cured meat products (1):Kylmäsavustettu poronliha/Kallrökt renkött(1.4);300 mg/kgWiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products250 mg/kgBacon, Filet de bacon(1.5);and similar products250 mg/kg without added E 249 or E 250Cured tongue(1.3)10 mg/kgTraditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);250 mg/kgPresunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar productsJambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)250 mg/kg without added E 249 or E 250Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);300 mg/kg (without added E 249 or E 250)Rohschinken, trocken-/nassgepökelt(3.1);and similar products250 mg/kgSalchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products250 mg/kg(without added E 249 or E 250)Jellied veal and brisket(3.2);10 mg/kgHard, semi-hard and semi-soft cheese150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of waterDairy-based cheese analoguePickled herring and sprat500 mg/kg1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;(d)Part D is amended as follows:(i)the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;(ii)row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;(iii)the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
(a)
Part A is amended as follows:(i)in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;(ii)the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
(i)
in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;
(ii)
the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;
—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
(b)
in Part B the table for foodstuffs is amended as follows:—the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)—the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;—the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
—
the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)
‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)
—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)
—between 80 and 120 units
—
between 80 and 120 units
200(1)
—over 120 units
—
over 120 units
300(1)
Crustaceans and cephalopods

—cooked
—
cooked
50(1)
—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)
—between 80 and 120 units
—
between 80 and 120 units
180(1)
—over 120 units
—
over 120 units
270(1)
—
the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;
—
the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
‘Salsicha fresca
450
Table grapes
10
Fresh lychees
10 (measured on edible parts)’;
(c)
in Part C the table for E 249, E 250, E 251 and E 252 is replaced by the following:‘E NoNameFoodstuffMaximum amount that may be added during manufacture(expressed as NaNO2)Maximum residual level (expressed as NaNO2)E 249Potassium nitrite(1)Meat products150 mg/kgE 250Sodium nitrite(1)Sterilised meat products (Fo > 3,00 )(2)100 mg/kgTraditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products175 mg/kgWiltshire ham(1.1);and similar products100 mg/kgRohschinken, nassgepökelt(1.6);and similar products50 mg/kgCured tongue(1.3)Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products175 mg/kgDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products100 mg/kgRohschinken, trockengepökelt(2.5);and similar products50 mg/kgOther traditionally cured meat products (3):VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products180 mg/kgRohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)50 mg/kgE 251E 252Potassium nitrate(3)Sodium nitrate(3)Non-heat-treated meat products150 mg/kgTraditional immersion cured meat products (1):Kylmäsavustettu poronliha/Kallrökt renkött(1.4);300 mg/kgWiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products250 mg/kgBacon, Filet de bacon(1.5);and similar products250 mg/kg without added E 249 or E 250Cured tongue(1.3)10 mg/kgTraditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);250 mg/kgPresunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar productsJambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)250 mg/kg without added E 249 or E 250Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);300 mg/kg (without added E 249 or E 250)Rohschinken, trocken-/nassgepökelt(3.1);and similar products250 mg/kgSalchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products250 mg/kg(without added E 249 or E 250)Jellied veal and brisket(3.2);10 mg/kgHard, semi-hard and semi-soft cheese150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of waterDairy-based cheese analoguePickled herring and sprat500 mg/kg1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
‘E No
Name
Foodstuff
Maximum amount that may be added during manufacture(expressed as NaNO2)
Maximum residual level (expressed as NaNO2)
E 249
Potassium nitrite(1)
Meat products
150 mg/kg

E 250
Sodium nitrite(1)
Sterilised meat products (Fo > 3,00 )(2)
100 mg/kg

Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products

175 mg/kg

Wiltshire ham(1.1);and similar products

100 mg/kg

Rohschinken, nassgepökelt(1.6);and similar products

50 mg/kg

Cured tongue(1.3)

Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products

175 mg/kg

Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products

100 mg/kg

Rohschinken, trockengepökelt(2.5);and similar products

50 mg/kg

Other traditionally cured meat products (3):

VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products
180 mg/kg

Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)

50 mg/kg
E 251E 252
Potassium nitrate(3)Sodium nitrate(3)
Non-heat-treated meat products
150 mg/kg

Traditional immersion cured meat products (1):

Kylmäsavustettu poronliha/Kallrökt renkött(1.4);
300 mg/kg

Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products

250 mg/kg

Bacon, Filet de bacon(1.5);and similar products

250 mg/kg without added E 249 or E 250

Cured tongue(1.3)

10 mg/kg

Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);

250 mg/kg

Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products

Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)

250 mg/kg without added E 249 or E 250

Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);
300 mg/kg (without added E 249 or E 250)

Rohschinken, trocken-/nassgepökelt(3.1);and similar products

250 mg/kg

Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products
250 mg/kg(without added E 249 or E 250)

Jellied veal and brisket(3.2);

10 mg/kg

Hard, semi-hard and semi-soft cheese
150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water

Dairy-based cheese analogue

Pickled herring and sprat
500 mg/kg

1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.
1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.
1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.
1.3
Immersion cured for at least 4 days and pre-cooked.
1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.
1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.
1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.
2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.
2.1
Dry curing followed by maturation for at least 4 days.
2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.
2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.
2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.
2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.
3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.
3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.
3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.
3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .
3.4
Maturation period of at least 30 days.
3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.
3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
(d)
Part D is amended as follows:(i)the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;(ii)row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;(iii)the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
(i)
the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;
(ii)
row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)
E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)
E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat
E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)
E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)
Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)
Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)
Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
(iii)
the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

(a)
Part A is amended as follows:(i)in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;(ii)the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
(i)
in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;
(ii)
the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;
—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

(i)
in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;

(ii)
the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;
—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

(b)
in Part B the table for foodstuffs is amended as follows:—the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)—the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;—the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
—
the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)
‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)
—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)
—between 80 and 120 units
—
between 80 and 120 units
200(1)
—over 120 units
—
over 120 units
300(1)
Crustaceans and cephalopods

—cooked
—
cooked
50(1)
—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)
—between 80 and 120 units
—
between 80 and 120 units
180(1)
—over 120 units
—
over 120 units
270(1)
—
the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;
—
the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
‘Salsicha fresca
450
Table grapes
10
Fresh lychees
10 (measured on edible parts)’;

—
the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)
‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)
—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)
—between 80 and 120 units
—
between 80 and 120 units
200(1)
—over 120 units
—
over 120 units
300(1)
Crustaceans and cephalopods

—cooked
—
cooked
50(1)
—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)
—between 80 and 120 units
—
between 80 and 120 units
180(1)
—over 120 units
—
over 120 units
270(1)

‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)

—
fresh, frozen and deep-frozen

—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)

—
up to 80 units

—between 80 and 120 units
—
between 80 and 120 units
200(1)

—
between 80 and 120 units

—over 120 units
—
over 120 units
300(1)

—
over 120 units

Crustaceans and cephalopods

—cooked
—
cooked
50(1)

—
cooked

—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)

—
up to 80 units

—between 80 and 120 units
—
between 80 and 120 units
180(1)

—
between 80 and 120 units

—over 120 units
—
over 120 units
270(1)

—
over 120 units

—
the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;

—
the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
‘Salsicha fresca
450
Table grapes
10
Fresh lychees
10 (measured on edible parts)’;

‘Salsicha fresca
450

Table grapes
10

Fresh lychees
10 (measured on edible parts)’;

(c)
in Part C the table for E 249, E 250, E 251 and E 252 is replaced by the following:‘E NoNameFoodstuffMaximum amount that may be added during manufacture(expressed as NaNO2)Maximum residual level (expressed as NaNO2)E 249Potassium nitrite(1)Meat products150 mg/kgE 250Sodium nitrite(1)Sterilised meat products (Fo > 3,00 )(2)100 mg/kgTraditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products175 mg/kgWiltshire ham(1.1);and similar products100 mg/kgRohschinken, nassgepökelt(1.6);and similar products50 mg/kgCured tongue(1.3)Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products175 mg/kgDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products100 mg/kgRohschinken, trockengepökelt(2.5);and similar products50 mg/kgOther traditionally cured meat products (3):VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products180 mg/kgRohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)50 mg/kgE 251E 252Potassium nitrate(3)Sodium nitrate(3)Non-heat-treated meat products150 mg/kgTraditional immersion cured meat products (1):Kylmäsavustettu poronliha/Kallrökt renkött(1.4);300 mg/kgWiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products250 mg/kgBacon, Filet de bacon(1.5);and similar products250 mg/kg without added E 249 or E 250Cured tongue(1.3)10 mg/kgTraditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);250 mg/kgPresunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar productsJambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)250 mg/kg without added E 249 or E 250Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);300 mg/kg (without added E 249 or E 250)Rohschinken, trocken-/nassgepökelt(3.1);and similar products250 mg/kgSalchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products250 mg/kg(without added E 249 or E 250)Jellied veal and brisket(3.2);10 mg/kgHard, semi-hard and semi-soft cheese150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of waterDairy-based cheese analoguePickled herring and sprat500 mg/kg1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
‘E No
Name
Foodstuff
Maximum amount that may be added during manufacture(expressed as NaNO2)
Maximum residual level (expressed as NaNO2)
E 249
Potassium nitrite(1)
Meat products
150 mg/kg

E 250
Sodium nitrite(1)
Sterilised meat products (Fo > 3,00 )(2)
100 mg/kg

Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products

175 mg/kg

Wiltshire ham(1.1);and similar products

100 mg/kg

Rohschinken, nassgepökelt(1.6);and similar products

50 mg/kg

Cured tongue(1.3)

Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products

175 mg/kg

Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products

100 mg/kg

Rohschinken, trockengepökelt(2.5);and similar products

50 mg/kg

Other traditionally cured meat products (3):

VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products
180 mg/kg

Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)

50 mg/kg
E 251E 252
Potassium nitrate(3)Sodium nitrate(3)
Non-heat-treated meat products
150 mg/kg

Traditional immersion cured meat products (1):

Kylmäsavustettu poronliha/Kallrökt renkött(1.4);
300 mg/kg

Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products

250 mg/kg

Bacon, Filet de bacon(1.5);and similar products

250 mg/kg without added E 249 or E 250

Cured tongue(1.3)

10 mg/kg

Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);

250 mg/kg

Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products

Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)

250 mg/kg without added E 249 or E 250

Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);
300 mg/kg (without added E 249 or E 250)

Rohschinken, trocken-/nassgepökelt(3.1);and similar products

250 mg/kg

Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products
250 mg/kg(without added E 249 or E 250)

Jellied veal and brisket(3.2);

10 mg/kg

Hard, semi-hard and semi-soft cheese
150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water

Dairy-based cheese analogue

Pickled herring and sprat
500 mg/kg

1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.
1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.
1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.
1.3
Immersion cured for at least 4 days and pre-cooked.
1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.
1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.
1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.
2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.
2.1
Dry curing followed by maturation for at least 4 days.
2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.
2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.
2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.
2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.
3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.
3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.
3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.
3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .
3.4
Maturation period of at least 30 days.
3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.
3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

‘E No
Name
Foodstuff
Maximum amount that may be added during manufacture(expressed as NaNO2)
Maximum residual level (expressed as NaNO2)

E 249
Potassium nitrite(1)
Meat products
150 mg/kg

E 250
Sodium nitrite(1)
Sterilised meat products (Fo > 3,00 )(2)
100 mg/kg

Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products

175 mg/kg

Wiltshire ham(1.1);and similar products

100 mg/kg

Rohschinken, nassgepökelt(1.6);and similar products

50 mg/kg

Cured tongue(1.3)

Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products

175 mg/kg

Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products

100 mg/kg

Rohschinken, trockengepökelt(2.5);and similar products

50 mg/kg

Other traditionally cured meat products (3):

VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products
180 mg/kg

Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)

50 mg/kg

E 251E 252
Potassium nitrate(3)Sodium nitrate(3)
Non-heat-treated meat products
150 mg/kg

Traditional immersion cured meat products (1):

Kylmäsavustettu poronliha/Kallrökt renkött(1.4);
300 mg/kg

Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products

250 mg/kg

Bacon, Filet de bacon(1.5);and similar products

250 mg/kg without added E 249 or E 250

Cured tongue(1.3)

10 mg/kg

Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);

250 mg/kg

Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products

Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)

250 mg/kg without added E 249 or E 250

Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);
300 mg/kg (without added E 249 or E 250)

Rohschinken, trocken-/nassgepökelt(3.1);and similar products

250 mg/kg

Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products
250 mg/kg(without added E 249 or E 250)

Jellied veal and brisket(3.2);

10 mg/kg

Hard, semi-hard and semi-soft cheese
150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water

Dairy-based cheese analogue

Pickled herring and sprat
500 mg/kg

1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.
1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.
1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.
1.3
Immersion cured for at least 4 days and pre-cooked.
1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.
1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.
1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.
2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.
2.1
Dry curing followed by maturation for at least 4 days.
2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.
2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.
2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.
2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.
3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.
3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.
3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.
3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .
3.4
Maturation period of at least 30 days.
3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.
3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.

1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.

1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.

1.3
Immersion cured for at least 4 days and pre-cooked.

1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.

1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.

1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.

2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.

2.1
Dry curing followed by maturation for at least 4 days.

2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.

2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.

2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.

2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.

3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.

3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.

3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.

3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .

3.4
Maturation period of at least 30 days.

3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.

3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

(d)
Part D is amended as follows:(i)the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;(ii)row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;(iii)the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
(i)
the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;
(ii)
row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)
E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)
E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat
E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)
E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)
Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)
Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)
Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
(iii)
the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

(i)
the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;

(ii)
row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)
E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)
E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat
E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)
E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)
Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)
Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)
Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)

E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)

E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat

E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)

E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)

Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)

Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)

Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

(iii)
the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

(a)
Part A is amended as follows:(i)in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;(ii)the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
(i)
in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;
(ii)
the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;
—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

(i)
in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;

(ii)
the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;
—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

(i)
in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;

(ii)
the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;
—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

—
the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;
‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

‘Shrimps, cooked

2 000

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs
2 000

Liquid dietary food supplements

2 000 ’;

—
the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000
‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

‘Crustaceans and molluscs, cooked

1 000

2 000

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form

2 000

—
the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

(b)
in Part B the table for foodstuffs is amended as follows:—the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)—the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;—the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
—
the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)
‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)
—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)
—between 80 and 120 units
—
between 80 and 120 units
200(1)
—over 120 units
—
over 120 units
300(1)
Crustaceans and cephalopods

—cooked
—
cooked
50(1)
—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)
—between 80 and 120 units
—
between 80 and 120 units
180(1)
—over 120 units
—
over 120 units
270(1)
—
the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;
—
the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
‘Salsicha fresca
450
Table grapes
10
Fresh lychees
10 (measured on edible parts)’;

—
the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)
‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)
—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)
—between 80 and 120 units
—
between 80 and 120 units
200(1)
—over 120 units
—
over 120 units
300(1)
Crustaceans and cephalopods

—cooked
—
cooked
50(1)
—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)
—between 80 and 120 units
—
between 80 and 120 units
180(1)
—over 120 units
—
over 120 units
270(1)

‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)

—
fresh, frozen and deep-frozen

—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)

—
up to 80 units

—between 80 and 120 units
—
between 80 and 120 units
200(1)

—
between 80 and 120 units

—over 120 units
—
over 120 units
300(1)

—
over 120 units

Crustaceans and cephalopods

—cooked
—
cooked
50(1)

—
cooked

—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)

—
up to 80 units

—between 80 and 120 units
—
between 80 and 120 units
180(1)

—
between 80 and 120 units

—over 120 units
—
over 120 units
270(1)

—
over 120 units

—
the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;

—
the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
‘Salsicha fresca
450
Table grapes
10
Fresh lychees
10 (measured on edible parts)’;

‘Salsicha fresca
450

Table grapes
10

Fresh lychees
10 (measured on edible parts)’;

—
the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)
‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)
—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)
—between 80 and 120 units
—
between 80 and 120 units
200(1)
—over 120 units
—
over 120 units
300(1)
Crustaceans and cephalopods

—cooked
—
cooked
50(1)
—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)
—between 80 and 120 units
—
between 80 and 120 units
180(1)
—over 120 units
—
over 120 units
270(1)

‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)

—
fresh, frozen and deep-frozen

—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)

—
up to 80 units

—between 80 and 120 units
—
between 80 and 120 units
200(1)

—
between 80 and 120 units

—over 120 units
—
over 120 units
300(1)

—
over 120 units

Crustaceans and cephalopods

—cooked
—
cooked
50(1)

—
cooked

—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)

—
up to 80 units

—between 80 and 120 units
—
between 80 and 120 units
180(1)

—
between 80 and 120 units

—over 120 units
—
over 120 units
270(1)

—
over 120 units

‘Crustaceans and cephalopods:

—fresh, frozen and deep-frozen
—
fresh, frozen and deep-frozen
150(1)

—
fresh, frozen and deep-frozen

—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
150(1)

—
up to 80 units

—between 80 and 120 units
—
between 80 and 120 units
200(1)

—
between 80 and 120 units

—over 120 units
—
over 120 units
300(1)

—
over 120 units

Crustaceans and cephalopods

—cooked
—
cooked
50(1)

—
cooked

—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units
—
up to 80 units
135(1)

—
up to 80 units

—between 80 and 120 units
—
between 80 and 120 units
180(1)

—
between 80 and 120 units

—over 120 units
—
over 120 units
270(1)

—
over 120 units

—
fresh, frozen and deep-frozen

—
crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
up to 80 units

—
between 80 and 120 units

—
over 120 units

—
cooked

—
cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—
up to 80 units

—
between 80 and 120 units

—
over 120 units

—
the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;

—
the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;
‘Salsicha fresca
450
Table grapes
10
Fresh lychees
10 (measured on edible parts)’;

‘Salsicha fresca
450

Table grapes
10

Fresh lychees
10 (measured on edible parts)’;

‘Salsicha fresca
450

Table grapes
10

Fresh lychees
10 (measured on edible parts)’;

(c)
in Part C the table for E 249, E 250, E 251 and E 252 is replaced by the following:‘E NoNameFoodstuffMaximum amount that may be added during manufacture(expressed as NaNO2)Maximum residual level (expressed as NaNO2)E 249Potassium nitrite(1)Meat products150 mg/kgE 250Sodium nitrite(1)Sterilised meat products (Fo > 3,00 )(2)100 mg/kgTraditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products175 mg/kgWiltshire ham(1.1);and similar products100 mg/kgRohschinken, nassgepökelt(1.6);and similar products50 mg/kgCured tongue(1.3)Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products175 mg/kgDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products100 mg/kgRohschinken, trockengepökelt(2.5);and similar products50 mg/kgOther traditionally cured meat products (3):VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products180 mg/kgRohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)50 mg/kgE 251E 252Potassium nitrate(3)Sodium nitrate(3)Non-heat-treated meat products150 mg/kgTraditional immersion cured meat products (1):Kylmäsavustettu poronliha/Kallrökt renkött(1.4);300 mg/kgWiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products250 mg/kgBacon, Filet de bacon(1.5);and similar products250 mg/kg without added E 249 or E 250Cured tongue(1.3)10 mg/kgTraditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);250 mg/kgPresunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar productsJambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)250 mg/kg without added E 249 or E 250Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);300 mg/kg (without added E 249 or E 250)Rohschinken, trocken-/nassgepökelt(3.1);and similar products250 mg/kgSalchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products250 mg/kg(without added E 249 or E 250)Jellied veal and brisket(3.2);10 mg/kgHard, semi-hard and semi-soft cheese150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of waterDairy-based cheese analoguePickled herring and sprat500 mg/kg1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
‘E No
Name
Foodstuff
Maximum amount that may be added during manufacture(expressed as NaNO2)
Maximum residual level (expressed as NaNO2)
E 249
Potassium nitrite(1)
Meat products
150 mg/kg

E 250
Sodium nitrite(1)
Sterilised meat products (Fo > 3,00 )(2)
100 mg/kg

Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products

175 mg/kg

Wiltshire ham(1.1);and similar products

100 mg/kg

Rohschinken, nassgepökelt(1.6);and similar products

50 mg/kg

Cured tongue(1.3)

Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products

175 mg/kg

Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products

100 mg/kg

Rohschinken, trockengepökelt(2.5);and similar products

50 mg/kg

Other traditionally cured meat products (3):

VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products
180 mg/kg

Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)

50 mg/kg
E 251E 252
Potassium nitrate(3)Sodium nitrate(3)
Non-heat-treated meat products
150 mg/kg

Traditional immersion cured meat products (1):

Kylmäsavustettu poronliha/Kallrökt renkött(1.4);
300 mg/kg

Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products

250 mg/kg

Bacon, Filet de bacon(1.5);and similar products

250 mg/kg without added E 249 or E 250

Cured tongue(1.3)

10 mg/kg

Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);

250 mg/kg

Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products

Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)

250 mg/kg without added E 249 or E 250

Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);
300 mg/kg (without added E 249 or E 250)

Rohschinken, trocken-/nassgepökelt(3.1);and similar products

250 mg/kg

Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products
250 mg/kg(without added E 249 or E 250)

Jellied veal and brisket(3.2);

10 mg/kg

Hard, semi-hard and semi-soft cheese
150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water

Dairy-based cheese analogue

Pickled herring and sprat
500 mg/kg

1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.
1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.
1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.
1.3
Immersion cured for at least 4 days and pre-cooked.
1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.
1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.
1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.
2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.
2.1
Dry curing followed by maturation for at least 4 days.
2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.
2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.
2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.
2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.
3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.
3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.
3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.
3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .
3.4
Maturation period of at least 30 days.
3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.
3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

‘E No
Name
Foodstuff
Maximum amount that may be added during manufacture(expressed as NaNO2)
Maximum residual level (expressed as NaNO2)

E 249
Potassium nitrite(1)
Meat products
150 mg/kg

E 250
Sodium nitrite(1)
Sterilised meat products (Fo > 3,00 )(2)
100 mg/kg

Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products

175 mg/kg

Wiltshire ham(1.1);and similar products

100 mg/kg

Rohschinken, nassgepökelt(1.6);and similar products

50 mg/kg

Cured tongue(1.3)

Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products

175 mg/kg

Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products

100 mg/kg

Rohschinken, trockengepökelt(2.5);and similar products

50 mg/kg

Other traditionally cured meat products (3):

VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products
180 mg/kg

Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)

50 mg/kg

E 251E 252
Potassium nitrate(3)Sodium nitrate(3)
Non-heat-treated meat products
150 mg/kg

Traditional immersion cured meat products (1):

Kylmäsavustettu poronliha/Kallrökt renkött(1.4);
300 mg/kg

Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products

250 mg/kg

Bacon, Filet de bacon(1.5);and similar products

250 mg/kg without added E 249 or E 250

Cured tongue(1.3)

10 mg/kg

Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);

250 mg/kg

Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products

Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)

250 mg/kg without added E 249 or E 250

Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);
300 mg/kg (without added E 249 or E 250)

Rohschinken, trocken-/nassgepökelt(3.1);and similar products

250 mg/kg

Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products
250 mg/kg(without added E 249 or E 250)

Jellied veal and brisket(3.2);

10 mg/kg

Hard, semi-hard and semi-soft cheese
150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water

Dairy-based cheese analogue

Pickled herring and sprat
500 mg/kg

1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.
1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.
1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.
1.3
Immersion cured for at least 4 days and pre-cooked.
1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.
1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.
1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.
2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.
2.1
Dry curing followed by maturation for at least 4 days.
2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.
2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.
2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.
2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.
3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.
3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.
3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.
3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .
3.4
Maturation period of at least 30 days.
3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.
3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.

1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.

1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.

1.3
Immersion cured for at least 4 days and pre-cooked.

1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.

1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.

1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.

2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.

2.1
Dry curing followed by maturation for at least 4 days.

2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.

2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.

2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.

2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.

3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.

3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.

3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.

3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .

3.4
Maturation period of at least 30 days.

3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.

3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

‘E No
Name
Foodstuff
Maximum amount that may be added during manufacture(expressed as NaNO2)
Maximum residual level (expressed as NaNO2)

E 249
Potassium nitrite(1)
Meat products
150 mg/kg

E 250
Sodium nitrite(1)
Sterilised meat products (Fo > 3,00 )(2)
100 mg/kg

Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products

175 mg/kg

Wiltshire ham(1.1);and similar products

100 mg/kg

Rohschinken, nassgepökelt(1.6);and similar products

50 mg/kg

Cured tongue(1.3)

Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products

175 mg/kg

Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products

100 mg/kg

Rohschinken, trockengepökelt(2.5);and similar products

50 mg/kg

Other traditionally cured meat products (3):

VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products
180 mg/kg

Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)

50 mg/kg

E 251E 252
Potassium nitrate(3)Sodium nitrate(3)
Non-heat-treated meat products
150 mg/kg

Traditional immersion cured meat products (1):

Kylmäsavustettu poronliha/Kallrökt renkött(1.4);
300 mg/kg

Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products

250 mg/kg

Bacon, Filet de bacon(1.5);and similar products

250 mg/kg without added E 249 or E 250

Cured tongue(1.3)

10 mg/kg

Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);

250 mg/kg

Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products

Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)

250 mg/kg without added E 249 or E 250

Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);
300 mg/kg (without added E 249 or E 250)

Rohschinken, trocken-/nassgepökelt(3.1);and similar products

250 mg/kg

Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products
250 mg/kg(without added E 249 or E 250)

Jellied veal and brisket(3.2);

10 mg/kg

Hard, semi-hard and semi-soft cheese
150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water

Dairy-based cheese analogue

Pickled herring and sprat
500 mg/kg

1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;
1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.
1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.
1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.
1.3
Immersion cured for at least 4 days and pre-cooked.
1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.
1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.
1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.
2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.
2.1
Dry curing followed by maturation for at least 4 days.
2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.
2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.
2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.
2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.
3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.
3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.
3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.
3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .
3.4
Maturation period of at least 30 days.
3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.
3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.

1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.

1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.

1.3
Immersion cured for at least 4 days and pre-cooked.

1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.

1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.

1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.

2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.

2.1
Dry curing followed by maturation for at least 4 days.

2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.

2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.

2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.

2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.

3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.

3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.

3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.

3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .

3.4
Maturation period of at least 30 days.

3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.

3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

1
Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.

1.1
Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.

1.2
Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.

1.3
Immersion cured for at least 4 days and pre-cooked.

1.4
Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.

1.5
Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.

1.6
Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.

2
Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.

2.1
Dry curing followed by maturation for at least 4 days.

2.2
Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.

2.3
Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.

2.4
Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.

2.5
Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.

3
Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.

3.1
Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.

3.2
Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.

3.3
Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .

3.4
Maturation period of at least 30 days.

3.5
Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.

3.6
Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

(d)
Part D is amended as follows:(i)the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;(ii)row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;(iii)the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
(i)
the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;
(ii)
row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)
E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)
E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat
E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)
E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)
Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)
Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)
Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
(iii)
the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

(i)
the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;

(ii)
row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)
E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)
E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat
E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)
E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)
Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)
Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)
Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)

E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)

E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat

E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)

E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)

Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)

Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)

Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

(iii)
the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

(i)
the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;

(ii)
row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000 (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;
‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)
E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)
E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat
E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)
E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)
Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)
Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)
Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)

E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)

E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat

E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)

E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)

Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)

Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)

Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

‘E 310
Propyl gallate
Fats and oils for the professional manufacture of heat-treated foodstuffs
200*(gallates, TBHQ and BHA, individually or in combination)

E 311
Octyl gallate
Frying oil and frying fat, excluding olive pomace oil
100*(BHT)

E 312
Dodecyl gallate

E 319
Tertiary-butyl hydroquinone(TBHQ)
Lard; fish oil; beef, poultry and sheep fat
both expressed on fat

E 320
Butylated hydroxyanisole(BHA)
Cake mixesCereal-based snack foodsMilk powder for vending machines
200 (gallates, TBHQ and BHA, individually or in combination)

E 321
Butylated hydroxytoluene(BHT)
Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals
expressed on fat

Seasonings and condiments
200 (gallates and BHA, individually or in combination) expressed on fat

Dehydrated potatoes
25 (gallates, TBHQ and BHA, individually or in combination)

Chewing gumFood supplements as defined in Directive 2002/46/EC
400 (gallates, TBHQ, BHT and BHA, individually or in combination)

Essential oils
1 000 (gallates, TBHQ and BHA, individually or in combination)

Flavourings other than essential oils
100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

(iii)
the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;
‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

‘E 586
4-Hexylresorcinol
Fresh, frozen and deep-frozen crustaceans
2 mg/kg as residues in crustacean meat’;

(4)
Annex IV is amended as follows:(a)the row for E 385 is replaced by the following:‘E 385Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)Emulsified sauces75 mg/kgCanned and bottled pulses, legumes, mushrooms and artichokes250 mg/kgCanned and bottled crustaceans and molluscs75 mg/kgCanned and bottled fish75 mg/kgSpreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less100 mg/kgFrozen and deep‐frozen crustaceans75 mg/kgLibamáj, egészben és tömbben250 mg/kg(b)the following row is inserted after the row for E 967:‘E 968ErythritolFoodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))quantum satisFrozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopodsquantum satisLiqueursquantum satisFor purposes other than sweetening’;(c)the following row is added:‘E 426Soybean hemicelluloseDairy-based drinks intended for retail sale5 g/lFood supplements as defined in Directive 2002/46/EC1,5 g/lEmulsified sauces30 g/lPre-packaged fine bakery wares intended for retail sale10 g/kgPre-packaged ready to eat oriental noodles intended for retail sale10 g/kgPre-packaged ready to eat rice intended for retail sale10 g/kgPre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale10 g/kgDehydrated, concentrated, frozen and deep-frozen egg products10 g/kgJelly confectionery, except jelly mini-cups10 g/kg’;(d)in row E 468 the words ‘Solid dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC supplied in solid form’;(e)in row E 338 to E 452 the words ‘Dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;(f)in row E 405, row E 416, row E 432 to E 436, row E 473 and E 474, row E 475, row E 491 to E 495, row E 551 to E 559, and row E 901 to E 904, the words ‘Dietary food supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;(g)in row E 1201 and E 1202 the words ‘Dietary food supplements in tablet and coated tablet form’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC in tablet and coated tablet form’;(h)in row E 405, row E 432 to E 436, row E 473 and E 474, row E 475, row E 477, row E 481 and E 482, row E 491 to E 495 the words ‘Dietetic food intended for special medical purposes’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC’;(i)Row E 1505 to E 1520 is replaced by the following:‘E 1505Triethyl citrateFlavourings3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;E 1517Glyceryl diacetate (diacetin)E 1518Glyceryl triacetate (triacetin)E 1520Propan-1,2-diol (propylene glycol)(j)the following rows are added:‘E 1204PullulanFood supplements as defined in Directive 2002/46/EC in capsule and tablet formquantum satisBreath freshening micro-sweets in the form of filmsquantum satisE 1452Starch Aluminium Octenyl SuccinateEncapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC35 g/kg in food supplement’;
(a)
the row for E 385 is replaced by the following:‘E 385Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)Emulsified sauces75 mg/kgCanned and bottled pulses, legumes, mushrooms and artichokes250 mg/kgCanned and bottled crustaceans and molluscs75 mg/kgCanned and bottled fish75 mg/kgSpreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less100 mg/kgFrozen and deep‐frozen crustaceans75 mg/kgLibamáj, egészben és tömbben250 mg/kg
‘E 385
Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)
Emulsified sauces
75 mg/kg

Canned and bottled pulses, legumes, mushrooms and artichokes
250 mg/kg

Canned and bottled crustaceans and molluscs
75 mg/kg

Canned and bottled fish
75 mg/kg

Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less
100 mg/kg

Frozen and deep‐frozen crustaceans
75 mg/kg

Libamáj, egészben és tömbben
250 mg/kg
(b)
the following row is inserted after the row for E 967:‘E 968ErythritolFoodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))quantum satisFrozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopodsquantum satisLiqueursquantum satisFor purposes other than sweetening’;
‘E 968
Erythritol
Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))
quantum satis

Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods
quantum satis

Liqueurs
quantum satis

For purposes other than sweetening’;
(c)
the following row is added:‘E 426Soybean hemicelluloseDairy-based drinks intended for retail sale5 g/lFood supplements as defined in Directive 2002/46/EC1,5 g/lEmulsified sauces30 g/lPre-packaged fine bakery wares intended for retail sale10 g/kgPre-packaged ready to eat oriental noodles intended for retail sale10 g/kgPre-packaged ready to eat rice intended for retail sale10 g/kgPre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale10 g/kgDehydrated, concentrated, frozen and deep-frozen egg products10 g/kgJelly confectionery, except jelly mini-cups10 g/kg’;
‘E 426
Soybean hemicellulose
Dairy-based drinks intended for retail sale
5 g/l

Food supplements as defined in Directive 2002/46/EC
1,5 g/l

Emulsified sauces
30 g/l

Pre-packaged fine bakery wares intended for retail sale
10 g/kg

Pre-packaged ready to eat oriental noodles intended for retail sale
10 g/kg

Pre-packaged ready to eat rice intended for retail sale
10 g/kg

Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale
10 g/kg

Dehydrated, concentrated, frozen and deep-frozen egg products
10 g/kg

Jelly confectionery, except jelly mini-cups
10 g/kg’;
(d)
in row E 468 the words ‘Solid dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC supplied in solid form’;
(e)
in row E 338 to E 452 the words ‘Dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;
(f)
in row E 405, row E 416, row E 432 to E 436, row E 473 and E 474, row E 475, row E 491 to E 495, row E 551 to E 559, and row E 901 to E 904, the words ‘Dietary food supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;
(g)
in row E 1201 and E 1202 the words ‘Dietary food supplements in tablet and coated tablet form’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC in tablet and coated tablet form’;
(h)
in row E 405, row E 432 to E 436, row E 473 and E 474, row E 475, row E 477, row E 481 and E 482, row E 491 to E 495 the words ‘Dietetic food intended for special medical purposes’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC’;
(i)
Row E 1505 to E 1520 is replaced by the following:‘E 1505Triethyl citrateFlavourings3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;E 1517Glyceryl diacetate (diacetin)E 1518Glyceryl triacetate (triacetin)E 1520Propan-1,2-diol (propylene glycol)
‘E 1505
Triethyl citrate
Flavourings
3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;
E 1517
Glyceryl diacetate (diacetin)

E 1518
Glyceryl triacetate (triacetin)

E 1520
Propan-1,2-diol (propylene glycol)
(j)
the following rows are added:‘E 1204PullulanFood supplements as defined in Directive 2002/46/EC in capsule and tablet formquantum satisBreath freshening micro-sweets in the form of filmsquantum satisE 1452Starch Aluminium Octenyl SuccinateEncapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC35 g/kg in food supplement’;
‘E 1204
Pullulan
Food supplements as defined in Directive 2002/46/EC in capsule and tablet form
quantum satis
Breath freshening micro-sweets in the form of films
quantum satis
E 1452
Starch Aluminium Octenyl Succinate
Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC
35 g/kg in food supplement’;

(a)
the row for E 385 is replaced by the following:‘E 385Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)Emulsified sauces75 mg/kgCanned and bottled pulses, legumes, mushrooms and artichokes250 mg/kgCanned and bottled crustaceans and molluscs75 mg/kgCanned and bottled fish75 mg/kgSpreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less100 mg/kgFrozen and deep‐frozen crustaceans75 mg/kgLibamáj, egészben és tömbben250 mg/kg
‘E 385
Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)
Emulsified sauces
75 mg/kg

Canned and bottled pulses, legumes, mushrooms and artichokes
250 mg/kg

Canned and bottled crustaceans and molluscs
75 mg/kg

Canned and bottled fish
75 mg/kg

Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less
100 mg/kg

Frozen and deep‐frozen crustaceans
75 mg/kg

Libamáj, egészben és tömbben
250 mg/kg

‘E 385
Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)
Emulsified sauces
75 mg/kg

Canned and bottled pulses, legumes, mushrooms and artichokes
250 mg/kg

Canned and bottled crustaceans and molluscs
75 mg/kg

Canned and bottled fish
75 mg/kg

Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less
100 mg/kg

Frozen and deep‐frozen crustaceans
75 mg/kg

Libamáj, egészben és tömbben
250 mg/kg

(b)
the following row is inserted after the row for E 967:‘E 968ErythritolFoodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))quantum satisFrozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopodsquantum satisLiqueursquantum satisFor purposes other than sweetening’;
‘E 968
Erythritol
Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))
quantum satis

Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods
quantum satis

Liqueurs
quantum satis

For purposes other than sweetening’;

‘E 968
Erythritol
Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))
quantum satis

Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods
quantum satis

Liqueurs
quantum satis

For purposes other than sweetening’;

(c)
the following row is added:‘E 426Soybean hemicelluloseDairy-based drinks intended for retail sale5 g/lFood supplements as defined in Directive 2002/46/EC1,5 g/lEmulsified sauces30 g/lPre-packaged fine bakery wares intended for retail sale10 g/kgPre-packaged ready to eat oriental noodles intended for retail sale10 g/kgPre-packaged ready to eat rice intended for retail sale10 g/kgPre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale10 g/kgDehydrated, concentrated, frozen and deep-frozen egg products10 g/kgJelly confectionery, except jelly mini-cups10 g/kg’;
‘E 426
Soybean hemicellulose
Dairy-based drinks intended for retail sale
5 g/l

Food supplements as defined in Directive 2002/46/EC
1,5 g/l

Emulsified sauces
30 g/l

Pre-packaged fine bakery wares intended for retail sale
10 g/kg

Pre-packaged ready to eat oriental noodles intended for retail sale
10 g/kg

Pre-packaged ready to eat rice intended for retail sale
10 g/kg

Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale
10 g/kg

Dehydrated, concentrated, frozen and deep-frozen egg products
10 g/kg

Jelly confectionery, except jelly mini-cups
10 g/kg’;

‘E 426
Soybean hemicellulose
Dairy-based drinks intended for retail sale
5 g/l

Food supplements as defined in Directive 2002/46/EC
1,5 g/l

Emulsified sauces
30 g/l

Pre-packaged fine bakery wares intended for retail sale
10 g/kg

Pre-packaged ready to eat oriental noodles intended for retail sale
10 g/kg

Pre-packaged ready to eat rice intended for retail sale
10 g/kg

Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale
10 g/kg

Dehydrated, concentrated, frozen and deep-frozen egg products
10 g/kg

Jelly confectionery, except jelly mini-cups
10 g/kg’;

(d)
in row E 468 the words ‘Solid dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC supplied in solid form’;

(e)
in row E 338 to E 452 the words ‘Dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;

(f)
in row E 405, row E 416, row E 432 to E 436, row E 473 and E 474, row E 475, row E 491 to E 495, row E 551 to E 559, and row E 901 to E 904, the words ‘Dietary food supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;

(g)
in row E 1201 and E 1202 the words ‘Dietary food supplements in tablet and coated tablet form’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC in tablet and coated tablet form’;

(h)
in row E 405, row E 432 to E 436, row E 473 and E 474, row E 475, row E 477, row E 481 and E 482, row E 491 to E 495 the words ‘Dietetic food intended for special medical purposes’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC’;

(i)
Row E 1505 to E 1520 is replaced by the following:‘E 1505Triethyl citrateFlavourings3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;E 1517Glyceryl diacetate (diacetin)E 1518Glyceryl triacetate (triacetin)E 1520Propan-1,2-diol (propylene glycol)
‘E 1505
Triethyl citrate
Flavourings
3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;
E 1517
Glyceryl diacetate (diacetin)

E 1518
Glyceryl triacetate (triacetin)

E 1520
Propan-1,2-diol (propylene glycol)

‘E 1505
Triethyl citrate
Flavourings
3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;

E 1517
Glyceryl diacetate (diacetin)

E 1518
Glyceryl triacetate (triacetin)

E 1520
Propan-1,2-diol (propylene glycol)

(j)
the following rows are added:‘E 1204PullulanFood supplements as defined in Directive 2002/46/EC in capsule and tablet formquantum satisBreath freshening micro-sweets in the form of filmsquantum satisE 1452Starch Aluminium Octenyl SuccinateEncapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC35 g/kg in food supplement’;
‘E 1204
Pullulan
Food supplements as defined in Directive 2002/46/EC in capsule and tablet form
quantum satis
Breath freshening micro-sweets in the form of films
quantum satis
E 1452
Starch Aluminium Octenyl Succinate
Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC
35 g/kg in food supplement’;

‘E 1204
Pullulan
Food supplements as defined in Directive 2002/46/EC in capsule and tablet form
quantum satis

Breath freshening micro-sweets in the form of films
quantum satis

E 1452
Starch Aluminium Octenyl Succinate
Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC
35 g/kg in food supplement’;

(a)
the row for E 385 is replaced by the following:‘E 385Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)Emulsified sauces75 mg/kgCanned and bottled pulses, legumes, mushrooms and artichokes250 mg/kgCanned and bottled crustaceans and molluscs75 mg/kgCanned and bottled fish75 mg/kgSpreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less100 mg/kgFrozen and deep‐frozen crustaceans75 mg/kgLibamáj, egészben és tömbben250 mg/kg
‘E 385
Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)
Emulsified sauces
75 mg/kg

Canned and bottled pulses, legumes, mushrooms and artichokes
250 mg/kg

Canned and bottled crustaceans and molluscs
75 mg/kg

Canned and bottled fish
75 mg/kg

Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less
100 mg/kg

Frozen and deep‐frozen crustaceans
75 mg/kg

Libamáj, egészben és tömbben
250 mg/kg

‘E 385
Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)
Emulsified sauces
75 mg/kg

Canned and bottled pulses, legumes, mushrooms and artichokes
250 mg/kg

Canned and bottled crustaceans and molluscs
75 mg/kg

Canned and bottled fish
75 mg/kg

Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less
100 mg/kg

Frozen and deep‐frozen crustaceans
75 mg/kg

Libamáj, egészben és tömbben
250 mg/kg

‘E 385
Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)
Emulsified sauces
75 mg/kg

Canned and bottled pulses, legumes, mushrooms and artichokes
250 mg/kg

Canned and bottled crustaceans and molluscs
75 mg/kg

Canned and bottled fish
75 mg/kg

Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less
100 mg/kg

Frozen and deep‐frozen crustaceans
75 mg/kg

Libamáj, egészben és tömbben
250 mg/kg

(b)
the following row is inserted after the row for E 967:‘E 968ErythritolFoodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))quantum satisFrozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopodsquantum satisLiqueursquantum satisFor purposes other than sweetening’;
‘E 968
Erythritol
Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))
quantum satis

Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods
quantum satis

Liqueurs
quantum satis

For purposes other than sweetening’;

‘E 968
Erythritol
Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))
quantum satis

Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods
quantum satis

Liqueurs
quantum satis

For purposes other than sweetening’;

‘E 968
Erythritol
Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))
quantum satis

Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods
quantum satis

Liqueurs
quantum satis

For purposes other than sweetening’;

(c)
the following row is added:‘E 426Soybean hemicelluloseDairy-based drinks intended for retail sale5 g/lFood supplements as defined in Directive 2002/46/EC1,5 g/lEmulsified sauces30 g/lPre-packaged fine bakery wares intended for retail sale10 g/kgPre-packaged ready to eat oriental noodles intended for retail sale10 g/kgPre-packaged ready to eat rice intended for retail sale10 g/kgPre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale10 g/kgDehydrated, concentrated, frozen and deep-frozen egg products10 g/kgJelly confectionery, except jelly mini-cups10 g/kg’;
‘E 426
Soybean hemicellulose
Dairy-based drinks intended for retail sale
5 g/l

Food supplements as defined in Directive 2002/46/EC
1,5 g/l

Emulsified sauces
30 g/l

Pre-packaged fine bakery wares intended for retail sale
10 g/kg

Pre-packaged ready to eat oriental noodles intended for retail sale
10 g/kg

Pre-packaged ready to eat rice intended for retail sale
10 g/kg

Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale
10 g/kg

Dehydrated, concentrated, frozen and deep-frozen egg products
10 g/kg

Jelly confectionery, except jelly mini-cups
10 g/kg’;

‘E 426
Soybean hemicellulose
Dairy-based drinks intended for retail sale
5 g/l

Food supplements as defined in Directive 2002/46/EC
1,5 g/l

Emulsified sauces
30 g/l

Pre-packaged fine bakery wares intended for retail sale
10 g/kg

Pre-packaged ready to eat oriental noodles intended for retail sale
10 g/kg

Pre-packaged ready to eat rice intended for retail sale
10 g/kg

Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale
10 g/kg

Dehydrated, concentrated, frozen and deep-frozen egg products
10 g/kg

Jelly confectionery, except jelly mini-cups
10 g/kg’;

‘E 426
Soybean hemicellulose
Dairy-based drinks intended for retail sale
5 g/l

Food supplements as defined in Directive 2002/46/EC
1,5 g/l

Emulsified sauces
30 g/l

Pre-packaged fine bakery wares intended for retail sale
10 g/kg

Pre-packaged ready to eat oriental noodles intended for retail sale
10 g/kg

Pre-packaged ready to eat rice intended for retail sale
10 g/kg

Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale
10 g/kg

Dehydrated, concentrated, frozen and deep-frozen egg products
10 g/kg

Jelly confectionery, except jelly mini-cups
10 g/kg’;

(d)
in row E 468 the words ‘Solid dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC supplied in solid form’;

(e)
in row E 338 to E 452 the words ‘Dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;

(f)
in row E 405, row E 416, row E 432 to E 436, row E 473 and E 474, row E 475, row E 491 to E 495, row E 551 to E 559, and row E 901 to E 904, the words ‘Dietary food supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;

(g)
in row E 1201 and E 1202 the words ‘Dietary food supplements in tablet and coated tablet form’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC in tablet and coated tablet form’;

(h)
in row E 405, row E 432 to E 436, row E 473 and E 474, row E 475, row E 477, row E 481 and E 482, row E 491 to E 495 the words ‘Dietetic food intended for special medical purposes’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC’;

(i)
Row E 1505 to E 1520 is replaced by the following:‘E 1505Triethyl citrateFlavourings3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;E 1517Glyceryl diacetate (diacetin)E 1518Glyceryl triacetate (triacetin)E 1520Propan-1,2-diol (propylene glycol)
‘E 1505
Triethyl citrate
Flavourings
3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;
E 1517
Glyceryl diacetate (diacetin)

E 1518
Glyceryl triacetate (triacetin)

E 1520
Propan-1,2-diol (propylene glycol)

‘E 1505
Triethyl citrate
Flavourings
3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;

E 1517
Glyceryl diacetate (diacetin)

E 1518
Glyceryl triacetate (triacetin)

E 1520
Propan-1,2-diol (propylene glycol)

‘E 1505
Triethyl citrate
Flavourings
3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;

E 1517
Glyceryl diacetate (diacetin)

E 1518
Glyceryl triacetate (triacetin)

E 1520
Propan-1,2-diol (propylene glycol)

(j)
the following rows are added:‘E 1204PullulanFood supplements as defined in Directive 2002/46/EC in capsule and tablet formquantum satisBreath freshening micro-sweets in the form of filmsquantum satisE 1452Starch Aluminium Octenyl SuccinateEncapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC35 g/kg in food supplement’;
‘E 1204
Pullulan
Food supplements as defined in Directive 2002/46/EC in capsule and tablet form
quantum satis
Breath freshening micro-sweets in the form of films
quantum satis
E 1452
Starch Aluminium Octenyl Succinate
Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC
35 g/kg in food supplement’;

‘E 1204
Pullulan
Food supplements as defined in Directive 2002/46/EC in capsule and tablet form
quantum satis

Breath freshening micro-sweets in the form of films
quantum satis

E 1452
Starch Aluminium Octenyl Succinate
Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC
35 g/kg in food supplement’;

‘E 1204
Pullulan
Food supplements as defined in Directive 2002/46/EC in capsule and tablet form
quantum satis

Breath freshening micro-sweets in the form of films
quantum satis

E 1452
Starch Aluminium Octenyl Succinate
Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC
35 g/kg in food supplement’;

(5)
Annex V is amended as follows:(a)the following row is inserted after the row for E 967:‘E 968Erythritol’;(b)the following row is inserted after the row for E 466:‘E 462Ethyl cellulose’;(c)in the third column of the row for E 551 and E 552 the following sentence is added:‘For E 551: in E 171 titanium dioxide and E 172 iron oxides and hydroxides (max. 90 % relative to the pigment).’;
(a)
the following row is inserted after the row for E 967:‘E 968Erythritol’;
‘E 968
Erythritol’;

(b)
the following row is inserted after the row for E 466:‘E 462Ethyl cellulose’;
‘E 462
Ethyl cellulose’;

(c)
in the third column of the row for E 551 and E 552 the following sentence is added:‘For E 551: in E 171 titanium dioxide and E 172 iron oxides and hydroxides (max. 90 % relative to the pigment).’;

(a)
the following row is inserted after the row for E 967:‘E 968Erythritol’;
‘E 968
Erythritol’;

‘E 968
Erythritol’;

(b)
the following row is inserted after the row for E 466:‘E 462Ethyl cellulose’;
‘E 462
Ethyl cellulose’;

‘E 462
Ethyl cellulose’;

(c)
in the third column of the row for E 551 and E 552 the following sentence is added:‘For E 551: in E 171 titanium dioxide and E 172 iron oxides and hydroxides (max. 90 % relative to the pigment).’;

(a)
the following row is inserted after the row for E 967:‘E 968Erythritol’;
‘E 968
Erythritol’;

‘E 968
Erythritol’;

‘E 968
Erythritol’;

(b)
the following row is inserted after the row for E 466:‘E 462Ethyl cellulose’;
‘E 462
Ethyl cellulose’;

‘E 462
Ethyl cellulose’;

‘E 462
Ethyl cellulose’;

(c)
in the third column of the row for E 551 and E 552 the following sentence is added:‘For E 551: in E 171 titanium dioxide and E 172 iron oxides and hydroxides (max. 90 % relative to the pigment).’;

(6)
Annex VI is amended as follows:(a)in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;(b)in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;(c)in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’.
(a)
in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;
(b)
in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;
(c)
in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’.
‘E 473
Sucrose esters of fatty acids
120 mg/l
Products containing hydrolysed proteins, peptides and amino acids’.

(a)
in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;

(b)
in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;

(c)
in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’.
‘E 473
Sucrose esters of fatty acids
120 mg/l
Products containing hydrolysed proteins, peptides and amino acids’.

‘E 473
Sucrose esters of fatty acids
120 mg/l
Products containing hydrolysed proteins, peptides and amino acids’.

(a)
in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;

(b)
in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;

(c)
in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’.
‘E 473
Sucrose esters of fatty acids
120 mg/l
Products containing hydrolysed proteins, peptides and amino acids’.

‘E 473
Sucrose esters of fatty acids
120 mg/l
Products containing hydrolysed proteins, peptides and amino acids’.

‘E 473
Sucrose esters of fatty acids
120 mg/l
Products containing hydrolysed proteins, peptides and amino acids’.

(x)
When labelled “for food use”, nitrite may be sold only in a mixture with salt or a salt substitute.

(y)
Fo-value 3 is equivalent to 3 minutes heating at 121oC (reduction of the bacterial load of one billion spores in each 1 000 cans to one spore in a thousand cans).

(z)
Nitrates may be present in some heat-treated meat products resulting from natural conversion of nitrites to nitrates in a low-acid environment.

(1)
in the first column of the row for E 420 to E 967, ‘E 968’ is added;

(2)
in the second column of the row for E 420 to E 967, ‘Erythritol’ is added.

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

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

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

(1) Food additives may be approved for use in foodstuffs only if they comply with Annex II to Council Directive 89/107/EEC of 21 December 1988 on the approximation of the laws of the Member States concerning food additives authorized for use in foodstuffs intended for human consumption(3).

(2) Directive 95/2/EC(4)lays down a list of food additives that may be used in the Community and the conditions for their use.

(3) Directive 94/35/EC(5)lays down a list of sweeteners that may be used in the Community and the conditions for their use.

(4) There have been technical developments in the field of food additives since the adoption of Directives 95/2/EC and 94/35/EC. These Directives should be adapted to take account of those developments.

(5) On the basis of an opinion of the European Food Safety Authority (EFSA), expressed on 26 November 2003, changes are made to current authorisations in order to keep the level of nitrosamines as low as possible by bringing down the levels of nitrites and nitrates added to food whilst maintaining the microbiological safety of food products. EFSA recommends that the levels of nitrite and nitrate are set in the legislation as ‘added amount’. EFSA is of the opinion that the added amount of nitrite rather than the residual amount contributes to the inhibitory activity againstC. botulinum. The current provisions should be amended in such a way that the maximum levels permitted, as mentioned by EFSA, in non-heat-treated or heat‐treated meat products, in cheese and in fish are expressed as added amounts. Exceptionally, however,for certain traditionally manufactured meat products maximum residual levels should be set, on the condition that the products are adequately specified and identified. The levels set should ensure that the acceptable daily intake (ADI) established by the Scientific Committee on Food in 1990 is not exceeded. Products which are not specifically named in this Directive, but which are traditionally produced in a similar manner (i.e. similar products) can if necessary be categorised in accordance with Articles 5 and 6 of Directive 95/2/EC. For cheese, the level should be expressed as the amount added to the cheese milk. If a process is used where addition of nitrate follows removal of whey and addition of water, this should lead to levels identical to those which would have been obtained had the nitrate been added directly to the cheese milk.

(6) Directive 2003/114/EC amending Directive 95/2/EC required the Commission and EFSA to review the conditions for the use of E 214 to E 219 p-hydroxybenzoates and their sodium salts before 1 July 2004. EFSA assessed the information on the safety of p‐hydroxybenzoates and expressed its opinion on 13 July 2004. EFSA established a full‐group ADI of 0 to 10 mg/kg body weight for the sum of methyl and ethyl p‐hydroxybenzoic acid esters and their sodium salts. EFSA considered that propyl paraben should not be included in this group ADI because propyl paraben, contrary to methyl and ethyl paraben, had effects on sex hormones and the male reproductive organs in juvenile rats. Therefore, EFSA was unable to recommend an ADI for propyl paraben because of the lack of a clear no-observed-adverse-effect-level (NOAEL). It is necessary to withdraw E 216 propyl p‐hydroxybenzoate and E 217 sodium propyl p-hydroxybenzoate from Directive 95/2/EC. In addition, it is necessary to withdraw the use of p-hydroxybenzoates in liquid dietary food supplements.

(7) Commission Decision 2004/374/EC(6)suspended the placing on the market and import of jelly mini-cups containing gel-forming food additives derived from seaweed and certain gums due to the risk of choking on these products. Following a review of that Decision it is necessary to exclude the use of certain gel-forming food additives in jelly mini-cups.

(8) The Scientific Committee on Food assessed the information on the safety of erythritol and expressed its opinion on 5 March 2003. The Committee concluded that the use of erythritol as a food additive is acceptable. The Committee also notes that erythritol has a laxative effect, but at a higher dose than other polyols. Erythritol has many technological non‐sweetening properties that are important in a wide range of foods, from confectionery to dairy products. These include functions such as flavour enhancer, carrier, humectant, stabiliser, thickener, bulking agent and sequestrant. It is necessary to permit the use of erythritol in the same food applications as the other currently permitted polyols. In addition, it is necessary to amend Directive 94/35/EC, as erythritol can also be used for sweetening purposes like the other currently permitted polyols.

(9) The Scientific Committee on Food assessed the information on the safety of soybean hemicellulose and expressed its opinion on 4 April 2003. The Committee concluded that the use of soybean hemicellulose is acceptable in certain foods in respect of which the request was made and at certain inclusion levels. It is therefore appropriate to permit such use for certain purposes. In order to facilitate matters for allergy sufferers, however, such use should not be permitted for unprocessed foods in which soybean is not expected to be found. At all events, consumers should be informed when products contain hemicellulose derived from soybean in accordance with the provisions of Directive 2000/13/EC of the European Parliament and of the Council of 20 March 2000 on the approximation of the laws of the Member States relating to the labelling, presentation and advertising of foodstuffs(7).

(10) EFSA assessed the information on the safety of ethyl cellulose and expressed its opinion on 17 February 2004. EFSA decided to include ethyl cellulose in the group ADI ‘not specified’ for modified celluloses established by the Scientific Committee on Food. The main application of ethyl cellulose is in food supplements and encapsulated flavourings. The use of ethyl cellulose should therefore be permitted in a way similar to that for other celluloses.

(11) EFSA assessed the information on the safety of pullulan and expressed its opinion on 13 July 2004. EFSA found the use of pullulan acceptable in the coating of food supplements that are in the form of capsules and tablets as well as in breath fresheners in the form of films. It is therefore appropriate to permit these uses.

(12) EFSA assessed the information on the safety of tertiary butyl hydroquinone (TBHQ) and expressed its opinion on 12 July 2004. EFSA established an ADI of 0 to 0,7 mg/kg body weight for this antioxidant and found that its use would be acceptable in certain foodstuffs at certain inclusion levels. It is therefore appropriate to permit this additive.

(13) The Scientific Committee on Food assessed the information on the safety of starch aluminium octenyl succinate and expressed its opinion on 21 March 1997. The Committee found that the use of this additive as a component of micro encapsulated vitamins and carotenoids may be regarded as acceptable. It is therefore appropriate to permit this use.

(14) During the manufacture of sour milk cheese, E 500ii sodium hydrogen carbonate is added to the pasteurised milk in order to buffer the acidity caused by the lactic acid to an appropriate pH value, thereby creating the necessary growth conditions for the ripening cultures. It is, therefore, appropriate to permit the use of sodium hydrogen carbonate in sour milk cheese.

(15) Currently, the use of a mixture of sorbates (E 200, E 202 and E 203) and benzoates (E 210 to E 213) is authorised in cooked shrimps for preservation. It is appropriate to extend that authorisation to its use in all cooked crustaceans and molluscs.

(16) E 551 silicon dioxide is permitted as a carrier for food colours at the maximum level of 5 %. The use of silicon dioxide as a carrier for food colours E 171 titanium dioxide and E 172 iron oxides and hydroxides should also be permitted at the level of maximum 90 % relative to the pigment.

(17) Directive 95/2/EC limits the use of additives listed in Annex I to that Directive in traditional French bread ‘Pain courant français’. The same limitation should apply to similar traditional Hungarian bread. It is also appropriate to authorise use of ascorbic acid (E 300), sodium ascorbate (E 301) and calcium disodium EDTA (E 385) in Hungarian liver patés.

(18) It is necessary to update the current provisions regarding the use of sulphites (E 220 to E 228) in cooked crustaceans, table grapes and lychees.

(19) In accordance with a request from a Member State and the opinion of the Scientific Committee on Food of 5 March 2003, 4-hexylresorcinol, which was authorised at national level under Directive 89/107/EEC, should be authorised at Community level.

(20) The terminology used in Directive 95/2/EC should be adapted to take into account Council Directive 89/398/EEC of 3 May 1989 on the approximation of the laws of the Member States relating to foodstuffs intended for particular nutritional uses(8), Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements(9)and Commission Directive 1999/21/EC of 25 March 1999 on dietary foods for special medical purposes(10).

(21) Directives 95/2/EC and 94/35/EC should, therefore, be amended accordingly,

HAVE ADOPTED THIS DIRECTIVE:
Article 1

Directive 95/2/EC is hereby amended as follows:

1.

Article 1(3)(c) shall be replaced by the following:

‘(c)

“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;

2.

in Article 3(2) ‘weaning foods’ shall be replaced by ‘processed cereal-based foods and baby foods’;

3.

the Annexes shall be amended in accordance with Annex I to this Directive.
Article 2

The Annex to Directive 94/35/EC shall be amended in accordance with Annex II to this Directive.
Article 3

1.   Member States shall bring into force by 15 February 2008 the laws, regulations and administrative provisions necessary to comply with this Directive in order to:

(a)

permit trade in and the use of products complying with this Directive by 15 February 2008;

(b)

prohibit trade in and use of products which do not comply with this Directive by 15 August 2008.

However, products placed on the market or labelled before 15 August 2008 which do not comply with this Directive may be marketed until stocks are exhausted.

Member States shall forthwith communicate to the Commission the text of such laws, regulations and administrative provisions, together with a correlation table between them and this Directive.

2.   When Member States adopt the laws, regulations and administrative provisions referred to in paragraph 1, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.
Article 4

This Directive shall enter into force on the 20th day following that of its publication in theOfficial Journal of the European Union.
Article 5

This Directive is addressed to the Member States.
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

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

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

(1) Food additives may be approved for use in foodstuffs only if they comply with Annex II to Council Directive 89/107/EEC of 21 December 1988 on the approximation of the laws of the Member States concerning food additives authorized for use in foodstuffs intended for human consumption(3).

(2) Directive 95/2/EC(4)lays down a list of food additives that may be used in the Community and the conditions for their use.

(3) Directive 94/35/EC(5)lays down a list of sweeteners that may be used in the Community and the conditions for their use.

(4) There have been technical developments in the field of food additives since the adoption of Directives 95/2/EC and 94/35/EC. These Directives should be adapted to take account of those developments.

(5) On the basis of an opinion of the European Food Safety Authority (EFSA), expressed on 26 November 2003, changes are made to current authorisations in order to keep the level of nitrosamines as low as possible by bringing down the levels of nitrites and nitrates added to food whilst maintaining the microbiological safety of food products. EFSA recommends that the levels of nitrite and nitrate are set in the legislation as ‘added amount’. EFSA is of the opinion that the added amount of nitrite rather than the residual amount contributes to the inhibitory activity againstC. botulinum. The current provisions should be amended in such a way that the maximum levels permitted, as mentioned by EFSA, in non-heat-treated or heat‐treated meat products, in cheese and in fish are expressed as added amounts. Exceptionally, however,for certain traditionally manufactured meat products maximum residual levels should be set, on the condition that the products are adequately specified and identified. The levels set should ensure that the acceptable daily intake (ADI) established by the Scientific Committee on Food in 1990 is not exceeded. Products which are not specifically named in this Directive, but which are traditionally produced in a similar manner (i.e. similar products) can if necessary be categorised in accordance with Articles 5 and 6 of Directive 95/2/EC. For cheese, the level should be expressed as the amount added to the cheese milk. If a process is used where addition of nitrate follows removal of whey and addition of water, this should lead to levels identical to those which would have been obtained had the nitrate been added directly to the cheese milk.

(6) Directive 2003/114/EC amending Directive 95/2/EC required the Commission and EFSA to review the conditions for the use of E 214 to E 219 p-hydroxybenzoates and their sodium salts before 1 July 2004. EFSA assessed the information on the safety of p‐hydroxybenzoates and expressed its opinion on 13 July 2004. EFSA established a full‐group ADI of 0 to 10 mg/kg body weight for the sum of methyl and ethyl p‐hydroxybenzoic acid esters and their sodium salts. EFSA considered that propyl paraben should not be included in this group ADI because propyl paraben, contrary to methyl and ethyl paraben, had effects on sex hormones and the male reproductive organs in juvenile rats. Therefore, EFSA was unable to recommend an ADI for propyl paraben because of the lack of a clear no-observed-adverse-effect-level (NOAEL). It is necessary to withdraw E 216 propyl p‐hydroxybenzoate and E 217 sodium propyl p-hydroxybenzoate from Directive 95/2/EC. In addition, it is necessary to withdraw the use of p-hydroxybenzoates in liquid dietary food supplements.

(7) Commission Decision 2004/374/EC(6)suspended the placing on the market and import of jelly mini-cups containing gel-forming food additives derived from seaweed and certain gums due to the risk of choking on these products. Following a review of that Decision it is necessary to exclude the use of certain gel-forming food additives in jelly mini-cups.

(8) The Scientific Committee on Food assessed the information on the safety of erythritol and expressed its opinion on 5 March 2003. The Committee concluded that the use of erythritol as a food additive is acceptable. The Committee also notes that erythritol has a laxative effect, but at a higher dose than other polyols. Erythritol has many technological non‐sweetening properties that are important in a wide range of foods, from confectionery to dairy products. These include functions such as flavour enhancer, carrier, humectant, stabiliser, thickener, bulking agent and sequestrant. It is necessary to permit the use of erythritol in the same food applications as the other currently permitted polyols. In addition, it is necessary to amend Directive 94/35/EC, as erythritol can also be used for sweetening purposes like the other currently permitted polyols.

(9) The Scientific Committee on Food assessed the information on the safety of soybean hemicellulose and expressed its opinion on 4 April 2003. The Committee concluded that the use of soybean hemicellulose is acceptable in certain foods in respect of which the request was made and at certain inclusion levels. It is therefore appropriate to permit such use for certain purposes. In order to facilitate matters for allergy sufferers, however, such use should not be permitted for unprocessed foods in which soybean is not expected to be found. At all events, consumers should be informed when products contain hemicellulose derived from soybean in accordance with the provisions of Directive 2000/13/EC of the European Parliament and of the Council of 20 March 2000 on the approximation of the laws of the Member States relating to the labelling, presentation and advertising of foodstuffs(7).

(10) EFSA assessed the information on the safety of ethyl cellulose and expressed its opinion on 17 February 2004. EFSA decided to include ethyl cellulose in the group ADI ‘not specified’ for modified celluloses established by the Scientific Committee on Food. The main application of ethyl cellulose is in food supplements and encapsulated flavourings. The use of ethyl cellulose should therefore be permitted in a way similar to that for other celluloses.

(11) EFSA assessed the information on the safety of pullulan and expressed its opinion on 13 July 2004. EFSA found the use of pullulan acceptable in the coating of food supplements that are in the form of capsules and tablets as well as in breath fresheners in the form of films. It is therefore appropriate to permit these uses.

(12) EFSA assessed the information on the safety of tertiary butyl hydroquinone (TBHQ) and expressed its opinion on 12 July 2004. EFSA established an ADI of 0 to 0,7 mg/kg body weight for this antioxidant and found that its use would be acceptable in certain foodstuffs at certain inclusion levels. It is therefore appropriate to permit this additive.

(13) The Scientific Committee on Food assessed the information on the safety of starch aluminium octenyl succinate and expressed its opinion on 21 March 1997. The Committee found that the use of this additive as a component of micro encapsulated vitamins and carotenoids may be regarded as acceptable. It is therefore appropriate to permit this use.

(14) During the manufacture of sour milk cheese, E 500ii sodium hydrogen carbonate is added to the pasteurised milk in order to buffer the acidity caused by the lactic acid to an appropriate pH value, thereby creating the necessary growth conditions for the ripening cultures. It is, therefore, appropriate to permit the use of sodium hydrogen carbonate in sour milk cheese.

(15) Currently, the use of a mixture of sorbates (E 200, E 202 and E 203) and benzoates (E 210 to E 213) is authorised in cooked shrimps for preservation. It is appropriate to extend that authorisation to its use in all cooked crustaceans and molluscs.

(16) E 551 silicon dioxide is permitted as a carrier for food colours at the maximum level of 5 %. The use of silicon dioxide as a carrier for food colours E 171 titanium dioxide and E 172 iron oxides and hydroxides should also be permitted at the level of maximum 90 % relative to the pigment.

(17) Directive 95/2/EC limits the use of additives listed in Annex I to that Directive in traditional French bread ‘Pain courant français’. The same limitation should apply to similar traditional Hungarian bread. It is also appropriate to authorise use of ascorbic acid (E 300), sodium ascorbate (E 301) and calcium disodium EDTA (E 385) in Hungarian liver patés.

(18) It is necessary to update the current provisions regarding the use of sulphites (E 220 to E 228) in cooked crustaceans, table grapes and lychees.

(19) In accordance with a request from a Member State and the opinion of the Scientific Committee on Food of 5 March 2003, 4-hexylresorcinol, which was authorised at national level under Directive 89/107/EEC, should be authorised at Community level.

(20) The terminology used in Directive 95/2/EC should be adapted to take into account Council Directive 89/398/EEC of 3 May 1989 on the approximation of the laws of the Member States relating to foodstuffs intended for particular nutritional uses(8), Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements(9)and Commission Directive 1999/21/EC of 25 March 1999 on dietary foods for special medical purposes(10).

(21) Directives 95/2/EC and 94/35/EC should, therefore, be amended accordingly,

HAVE ADOPTED THIS DIRECTIVE:
Directive 95/2/EC is hereby amended as follows:

1.

Article 1(3)(c) shall be replaced by the following:

‘(c)

“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;

2.

in Article 3(2) ‘weaning foods’ shall be replaced by ‘processed cereal-based foods and baby foods’;

3.

the Annexes shall be amended in accordance with Annex I to this Directive.
The Annex to Directive 94/35/EC shall be amended in accordance with Annex II to this Directive.
1.   Member States shall bring into force by 15 February 2008 the laws, regulations and administrative provisions necessary to comply with this Directive in order to:

(a)

permit trade in and the use of products complying with this Directive by 15 February 2008;

(b)

prohibit trade in and use of products which do not comply with this Directive by 15 August 2008.

However, products placed on the market or labelled before 15 August 2008 which do not comply with this Directive may be marketed until stocks are exhausted.

Member States shall forthwith communicate to the Commission the text of such laws, regulations and administrative provisions, together with a correlation table between them and this Directive.

2.   When Member States adopt the laws, regulations and administrative provisions referred to in paragraph 1, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.
This Directive shall enter into force on the 20th day following that of its publication in theOfficial Journal of the European Union.
This Directive is addressed to the Member States.
ANNEX IThe Annexes to Directive 95/2/EC are amended as follows:
(1) | Annex I is amended as follows:(a)in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;(b)in the table, the following row is inserted:‘E 462Ethyl cellulose’; | (a) | in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’; | ‘4. | The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’; | (b) | in the table, the following row is inserted:‘E 462Ethyl cellulose’; | ‘E 462 | Ethyl cellulose’;

(a) | in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’; | ‘4. | The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;

‘4. | The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;

(b) | in the table, the following row is inserted:‘E 462Ethyl cellulose’; | ‘E 462 | Ethyl cellulose’;

‘E 462 | Ethyl cellulose’;

(2) | Annex II is amended as follows:(a)the row for ‘ripened cheese’ is replaced by the following:‘Ripened cheeseE 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactonequantum satisE 500ii Sodium hydrogen carbonatequantum satis (only for sour milk cheese)’;(b)in the row for ‘Pain courant français’ after the words ‘Pain courant français’ the following words are added: ‘Friss búzakenyér, fehér és félbarna kenyerek’;(c)in the row for ‘Foie gras, foie gras entier, blocs de foie gras’ after the words ‘Foie gras, foie gras entier, blocs de foie gras’ the following words are added: ‘Libamáj, libamáj egészben, libamáj tömbben’; | (a) | the row for ‘ripened cheese’ is replaced by the following:‘Ripened cheeseE 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactonequantum satisE 500ii Sodium hydrogen carbonatequantum satis (only for sour milk cheese)’; | ‘Ripened cheese | E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone | quantum satis |  | E 500ii Sodium hydrogen carbonate | quantum satis (only for sour milk cheese)’; | (b) | in the row for ‘Pain courant français’ after the words ‘Pain courant français’ the following words are added: ‘Friss búzakenyér, fehér és félbarna kenyerek’; | (c) | in the row for ‘Foie gras, foie gras entier, blocs de foie gras’ after the words ‘Foie gras, foie gras entier, blocs de foie gras’ the following words are added: ‘Libamáj, libamáj egészben, libamáj tömbben’;

(a) | the row for ‘ripened cheese’ is replaced by the following:‘Ripened cheeseE 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactonequantum satisE 500ii Sodium hydrogen carbonatequantum satis (only for sour milk cheese)’; | ‘Ripened cheese | E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone | quantum satis |  | E 500ii Sodium hydrogen carbonate | quantum satis (only for sour milk cheese)’;

‘Ripened cheese | E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone | quantum satis

 | E 500ii Sodium hydrogen carbonate | quantum satis (only for sour milk cheese)’;

(b) | in the row for ‘Pain courant français’ after the words ‘Pain courant français’ the following words are added: ‘Friss búzakenyér, fehér és félbarna kenyerek’;

(c) | in the row for ‘Foie gras, foie gras entier, blocs de foie gras’ after the words ‘Foie gras, foie gras entier, blocs de foie gras’ the following words are added: ‘Libamáj, libamáj egészben, libamáj tömbben’;

(3) | Annex III is amended as follows:(a)Part A is amended as follows:(i)in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;(ii)the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)(b)in Part B the table for foodstuffs is amended as follows:—the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)—the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;—the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;(c)in Part C the table for E 249, E 250, E 251 and E 252 is replaced by the following:‘E NoNameFoodstuffMaximum amount that may be added during manufacture(expressed as NaNO2)Maximum residual level (expressed as NaNO2)E 249Potassium nitrite(1)Meat products150 mg/kgE 250Sodium nitrite(1)Sterilised meat products (Fo > 3,00 )(2)100 mg/kgTraditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products175 mg/kgWiltshire ham(1.1);and similar products100 mg/kgRohschinken, nassgepökelt(1.6);and similar products50 mg/kgCured tongue(1.3)Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products175 mg/kgDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products100 mg/kgRohschinken, trockengepökelt(2.5);and similar products50 mg/kgOther traditionally cured meat products (3):VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products180 mg/kgRohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)50 mg/kgE 251E 252Potassium nitrate(3)Sodium nitrate(3)Non-heat-treated meat products150 mg/kgTraditional immersion cured meat products (1):Kylmäsavustettu poronliha/Kallrökt renkött(1.4);300 mg/kgWiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products250 mg/kgBacon, Filet de bacon(1.5);and similar products250 mg/kg without added E 249 or E 250Cured tongue(1.3)10 mg/kgTraditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);250 mg/kgPresunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar productsJambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)250 mg/kg without added E 249 or E 250Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);300 mg/kg (without added E 249 or E 250)Rohschinken, trocken-/nassgepökelt(3.1);and similar products250 mg/kgSalchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products250 mg/kg(without added E 249 or E 250)Jellied veal and brisket(3.2);10 mg/kgHard, semi-hard and semi-soft cheese150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of waterDairy-based cheese analoguePickled herring and sprat500 mg/kg1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;(d)Part D is amended as follows:(i)the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;(ii)row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000  (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;(iii)the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’; | (a) | Part A is amended as follows:(i)in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;(ii)the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2) | (i) | in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted; | (ii) | the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2) | — | the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’; | ‘Shrimps, cooked |  |  |  | 2 000 |  |  | Crayfish tails, cooked, and pre‐packed marinated cooked molluscs | 2 000 |  |  |  |  |  | Liquid dietary food supplements |  |  |  |  |  | 2 000 ’; | — | the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000 | ‘Crustaceans and molluscs, cooked |  | 1 000 |  | 2 000 |  |  | Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form |  |  |  | 2 000 |  |  | — | the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2) | (b) | in Part B the table for foodstuffs is amended as follows:—the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)—the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;—the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’; | — | the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1) | ‘Crustaceans and cephalopods: |  | —fresh, frozen and deep-frozen | — | fresh, frozen and deep-frozen | 150(1) | —crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | — | crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: |  | —up to 80 units | — | up to 80 units | 150(1) | —between 80 and 120 units | — | between 80 and 120 units | 200(1) | —over 120 units | — | over 120 units | 300(1) | Crustaceans and cephalopods |  | —cooked | — | cooked | 50(1) | —cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | — | cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: |  | —up to 80 units | — | up to 80 units | 135(1) | —between 80 and 120 units | — | between 80 and 120 units | 180(1) | —over 120 units | — | over 120 units | 270(1) | — | the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’; | — | the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’; | ‘Salsicha fresca | 450 | Table grapes | 10 | Fresh lychees | 10 (measured on edible parts)’; | (c) | in Part C the table for E 249, E 250, E 251 and E 252 is replaced by the following:‘E NoNameFoodstuffMaximum amount that may be added during manufacture(expressed as NaNO2)Maximum residual level (expressed as NaNO2)E 249Potassium nitrite(1)Meat products150 mg/kgE 250Sodium nitrite(1)Sterilised meat products (Fo > 3,00 )(2)100 mg/kgTraditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products175 mg/kgWiltshire ham(1.1);and similar products100 mg/kgRohschinken, nassgepökelt(1.6);and similar products50 mg/kgCured tongue(1.3)Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products175 mg/kgDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products100 mg/kgRohschinken, trockengepökelt(2.5);and similar products50 mg/kgOther traditionally cured meat products (3):VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products180 mg/kgRohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)50 mg/kgE 251E 252Potassium nitrate(3)Sodium nitrate(3)Non-heat-treated meat products150 mg/kgTraditional immersion cured meat products (1):Kylmäsavustettu poronliha/Kallrökt renkött(1.4);300 mg/kgWiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products250 mg/kgBacon, Filet de bacon(1.5);and similar products250 mg/kg without added E 249 or E 250Cured tongue(1.3)10 mg/kgTraditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);250 mg/kgPresunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar productsJambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)250 mg/kg without added E 249 or E 250Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);300 mg/kg (without added E 249 or E 250)Rohschinken, trocken-/nassgepökelt(3.1);and similar products250 mg/kgSalchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products250 mg/kg(without added E 249 or E 250)Jellied veal and brisket(3.2);10 mg/kgHard, semi-hard and semi-soft cheese150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of waterDairy-based cheese analoguePickled herring and sprat500 mg/kg1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’; | ‘E No | Name | Foodstuff | Maximum amount that may be added during manufacture(expressed as NaNO2) | Maximum residual level (expressed as NaNO2) | E 249 | Potassium nitrite(1) | Meat products | 150 mg/kg |  | E 250 | Sodium nitrite(1) | Sterilised meat products (Fo > 3,00 )(2) | 100 mg/kg |  |  |  | Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products |  | 175 mg/kg |  |  | Wiltshire ham(1.1);and similar products |  | 100 mg/kg |  |  | Rohschinken, nassgepökelt(1.6);and similar products |  | 50 mg/kg |  |  | Cured tongue(1.3) |  |  |  |  | Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products |  | 175 mg/kg |  |  | Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products |  | 100 mg/kg |  |  | Rohschinken, trockengepökelt(2.5);and similar products |  | 50 mg/kg |  |  | Other traditionally cured meat products (3): |  |  |  |  | VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products | 180 mg/kg |  |  |  | Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2) |  | 50 mg/kg | E 251E 252 | Potassium nitrate(3)Sodium nitrate(3) | Non-heat-treated meat products | 150 mg/kg |  |  |  | Traditional immersion cured meat products (1): |  |  |  |  | Kylmäsavustettu poronliha/Kallrökt renkött(1.4); | 300 mg/kg |  |  |  | Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products |  | 250 mg/kg |  |  | Bacon, Filet de bacon(1.5);and similar products |  | 250 mg/kg without added E 249 or E 250 |  |  | Cured tongue(1.3) |  | 10 mg/kg |  |  | Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2); |  | 250 mg/kg |  |  | Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products |  |  |  |  | Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4) |  | 250 mg/kg without added E 249 or E 250 |  |  | Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3); | 300 mg/kg (without added E 249 or E 250) |  |  |  | Rohschinken, trocken-/nassgepökelt(3.1);and similar products |  | 250 mg/kg |  |  | Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products | 250 mg/kg(without added E 249 or E 250) |  |  |  | Jellied veal and brisket(3.2); |  | 10 mg/kg |  |  | Hard, semi-hard and semi-soft cheese | 150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water |  |  |  | Dairy-based cheese analogue |  |  | Pickled herring and sprat | 500 mg/kg |  | 1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’; | 1 | Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking. | 1.1 | Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures. | 1.2 | Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity. | 1.3 | Immersion cured for at least 4 days and pre-cooked. | 1.4 | Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks. | 1.5 | Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC. | 1.6 | Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation. | 2 | Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking. | 2.1 | Dry curing followed by maturation for at least 4 days. | 2.2 | Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days. | 2.3 | Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months. | 2.4 | Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months. | 2.5 | Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation. | 3 | Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking. | 3.1 | Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation. | 3.2 | Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours. | 3.3 | Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 . | 3.4 | Maturation period of at least 30 days. | 3.5 | Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking. | 3.6 | Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’; | (d) | Part D is amended as follows:(i)the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;(ii)row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000  (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;(iii)the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’; | (i) | the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’; | (ii) | row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000  (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’; | ‘E 310 | Propyl gallate | Fats and oils for the professional manufacture of heat-treated foodstuffs | 200*(gallates, TBHQ and BHA, individually or in combination) | E 311 | Octyl gallate | Frying oil and frying fat, excluding olive pomace oil | 100*(BHT) | E 312 | Dodecyl gallate |  |  | E 319 | Tertiary-butyl hydroquinone(TBHQ) | Lard; fish oil; beef, poultry and sheep fat | both expressed on fat | E 320 | Butylated hydroxyanisole(BHA) | Cake mixesCereal-based snack foodsMilk powder for vending machines | 200 (gallates, TBHQ and BHA, individually or in combination) | E 321 | Butylated hydroxytoluene(BHT) | Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals | expressed on fat |  |  | Seasonings and condiments | 200 (gallates and BHA, individually or in combination) expressed on fat |  |  | Dehydrated potatoes | 25 (gallates, TBHQ and BHA, individually or in combination) | Chewing gumFood supplements as defined in Directive 2002/46/EC | 400 (gallates, TBHQ, BHT and BHA, individually or in combination) | Essential oils | 1 000  (gallates, TBHQ and BHA, individually or in combination) | Flavourings other than essential oils | 100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’; | (iii) | the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’; | ‘E 586 | 4-Hexylresorcinol | Fresh, frozen and deep-frozen crustaceans | 2 mg/kg as residues in crustacean meat’;

(a) | Part A is amended as follows:(i)in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;(ii)the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2) | (i) | in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted; | (ii) | the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2) | — | the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’; | ‘Shrimps, cooked |  |  |  | 2 000 |  |  | Crayfish tails, cooked, and pre‐packed marinated cooked molluscs | 2 000 |  |  |  |  |  | Liquid dietary food supplements |  |  |  |  |  | 2 000 ’; | — | the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000 | ‘Crustaceans and molluscs, cooked |  | 1 000 |  | 2 000 |  |  | Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form |  |  |  | 2 000 |  |  | — | the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

(i) | in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;

(ii) | the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2) | — | the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’; | ‘Shrimps, cooked |  |  |  | 2 000 |  |  | Crayfish tails, cooked, and pre‐packed marinated cooked molluscs | 2 000 |  |  |  |  |  | Liquid dietary food supplements |  |  |  |  |  | 2 000 ’; | — | the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000 | ‘Crustaceans and molluscs, cooked |  | 1 000 |  | 2 000 |  |  | Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form |  |  |  | 2 000 |  |  | — | the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

— | the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’; | ‘Shrimps, cooked |  |  |  | 2 000 |  |  | Crayfish tails, cooked, and pre‐packed marinated cooked molluscs | 2 000 |  |  |  |  |  | Liquid dietary food supplements |  |  |  |  |  | 2 000 ’;

‘Shrimps, cooked |  |  |  | 2 000 |  | 

Crayfish tails, cooked, and pre‐packed marinated cooked molluscs | 2 000 |  |  |  |  | 

Liquid dietary food supplements |  |  |  |  |  | 2 000 ’;

— | the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000 | ‘Crustaceans and molluscs, cooked |  | 1 000 |  | 2 000 |  |  | Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form |  |  |  | 2 000 |  | 

‘Crustaceans and molluscs, cooked |  | 1 000 |  | 2 000 |  | 

Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form |  |  |  | 2 000 |  | 

— | the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

(b) | in Part B the table for foodstuffs is amended as follows:—the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)—the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;—the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’; | — | the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1) | ‘Crustaceans and cephalopods: |  | —fresh, frozen and deep-frozen | — | fresh, frozen and deep-frozen | 150(1) | —crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | — | crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: |  | —up to 80 units | — | up to 80 units | 150(1) | —between 80 and 120 units | — | between 80 and 120 units | 200(1) | —over 120 units | — | over 120 units | 300(1) | Crustaceans and cephalopods |  | —cooked | — | cooked | 50(1) | —cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | — | cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: |  | —up to 80 units | — | up to 80 units | 135(1) | —between 80 and 120 units | — | between 80 and 120 units | 180(1) | —over 120 units | — | over 120 units | 270(1) | — | the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’; | — | the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’; | ‘Salsicha fresca | 450 | Table grapes | 10 | Fresh lychees | 10 (measured on edible parts)’;

— | the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1) | ‘Crustaceans and cephalopods: |  | —fresh, frozen and deep-frozen | — | fresh, frozen and deep-frozen | 150(1) | —crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | — | crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: |  | —up to 80 units | — | up to 80 units | 150(1) | —between 80 and 120 units | — | between 80 and 120 units | 200(1) | —over 120 units | — | over 120 units | 300(1) | Crustaceans and cephalopods |  | —cooked | — | cooked | 50(1) | —cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | — | cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: |  | —up to 80 units | — | up to 80 units | 135(1) | —between 80 and 120 units | — | between 80 and 120 units | 180(1) | —over 120 units | — | over 120 units | 270(1)

‘Crustaceans and cephalopods: | 

—fresh, frozen and deep-frozen | — | fresh, frozen and deep-frozen | 150(1)

— | fresh, frozen and deep-frozen

—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | — | crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | 

— | crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units | — | up to 80 units | 150(1)

— | up to 80 units

—between 80 and 120 units | — | between 80 and 120 units | 200(1)

— | between 80 and 120 units

—over 120 units | — | over 120 units | 300(1)

— | over 120 units

Crustaceans and cephalopods | 

—cooked | — | cooked | 50(1)

— | cooked

—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | — | cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily: | 

— | cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:

—up to 80 units | — | up to 80 units | 135(1)

— | up to 80 units

—between 80 and 120 units | — | between 80 and 120 units | 180(1)

— | between 80 and 120 units

—over 120 units | — | over 120 units | 270(1)

— | over 120 units

— | the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;

— | the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’; | ‘Salsicha fresca | 450 | Table grapes | 10 | Fresh lychees | 10 (measured on edible parts)’;

‘Salsicha fresca | 450

Table grapes | 10

Fresh lychees | 10 (measured on edible parts)’;

(c) | in Part C the table for E 249, E 250, E 251 and E 252 is replaced by the following:‘E NoNameFoodstuffMaximum amount that may be added during manufacture(expressed as NaNO2)Maximum residual level (expressed as NaNO2)E 249Potassium nitrite(1)Meat products150 mg/kgE 250Sodium nitrite(1)Sterilised meat products (Fo > 3,00 )(2)100 mg/kgTraditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products175 mg/kgWiltshire ham(1.1);and similar products100 mg/kgRohschinken, nassgepökelt(1.6);and similar products50 mg/kgCured tongue(1.3)Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products175 mg/kgDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products100 mg/kgRohschinken, trockengepökelt(2.5);and similar products50 mg/kgOther traditionally cured meat products (3):VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products180 mg/kgRohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2)50 mg/kgE 251E 252Potassium nitrate(3)Sodium nitrate(3)Non-heat-treated meat products150 mg/kgTraditional immersion cured meat products (1):Kylmäsavustettu poronliha/Kallrökt renkött(1.4);300 mg/kgWiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products250 mg/kgBacon, Filet de bacon(1.5);and similar products250 mg/kg without added E 249 or E 250Cured tongue(1.3)10 mg/kgTraditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);250 mg/kgPresunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar productsJambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4)250 mg/kg without added E 249 or E 250Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3);300 mg/kg (without added E 249 or E 250)Rohschinken, trocken-/nassgepökelt(3.1);and similar products250 mg/kgSalchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products250 mg/kg(without added E 249 or E 250)Jellied veal and brisket(3.2);10 mg/kgHard, semi-hard and semi-soft cheese150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of waterDairy-based cheese analoguePickled herring and sprat500 mg/kg1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’; | ‘E No | Name | Foodstuff | Maximum amount that may be added during manufacture(expressed as NaNO2) | Maximum residual level (expressed as NaNO2) | E 249 | Potassium nitrite(1) | Meat products | 150 mg/kg |  | E 250 | Sodium nitrite(1) | Sterilised meat products (Fo > 3,00 )(2) | 100 mg/kg |  |  |  | Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products |  | 175 mg/kg |  |  | Wiltshire ham(1.1);and similar products |  | 100 mg/kg |  |  | Rohschinken, nassgepökelt(1.6);and similar products |  | 50 mg/kg |  |  | Cured tongue(1.3) |  |  |  |  | Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products |  | 175 mg/kg |  |  | Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products |  | 100 mg/kg |  |  | Rohschinken, trockengepökelt(2.5);and similar products |  | 50 mg/kg |  |  | Other traditionally cured meat products (3): |  |  |  |  | VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products | 180 mg/kg |  |  |  | Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2) |  | 50 mg/kg | E 251E 252 | Potassium nitrate(3)Sodium nitrate(3) | Non-heat-treated meat products | 150 mg/kg |  |  |  | Traditional immersion cured meat products (1): |  |  |  |  | Kylmäsavustettu poronliha/Kallrökt renkött(1.4); | 300 mg/kg |  |  |  | Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products |  | 250 mg/kg |  |  | Bacon, Filet de bacon(1.5);and similar products |  | 250 mg/kg without added E 249 or E 250 |  |  | Cured tongue(1.3) |  | 10 mg/kg |  |  | Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2); |  | 250 mg/kg |  |  | Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products |  |  |  |  | Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4) |  | 250 mg/kg without added E 249 or E 250 |  |  | Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3); | 300 mg/kg (without added E 249 or E 250) |  |  |  | Rohschinken, trocken-/nassgepökelt(3.1);and similar products |  | 250 mg/kg |  |  | Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products | 250 mg/kg(without added E 249 or E 250) |  |  |  | Jellied veal and brisket(3.2); |  | 10 mg/kg |  |  | Hard, semi-hard and semi-soft cheese | 150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water |  |  |  | Dairy-based cheese analogue |  |  | Pickled herring and sprat | 500 mg/kg |  | 1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’; | 1 | Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking. | 1.1 | Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures. | 1.2 | Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity. | 1.3 | Immersion cured for at least 4 days and pre-cooked. | 1.4 | Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks. | 1.5 | Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC. | 1.6 | Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation. | 2 | Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking. | 2.1 | Dry curing followed by maturation for at least 4 days. | 2.2 | Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days. | 2.3 | Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months. | 2.4 | Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months. | 2.5 | Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation. | 3 | Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking. | 3.1 | Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation. | 3.2 | Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours. | 3.3 | Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 . | 3.4 | Maturation period of at least 30 days. | 3.5 | Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking. | 3.6 | Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

‘E No | Name | Foodstuff | Maximum amount that may be added during manufacture(expressed as NaNO2) | Maximum residual level (expressed as NaNO2)

E 249 | Potassium nitrite(1) | Meat products | 150 mg/kg | 

E 250 | Sodium nitrite(1) | Sterilised meat products (Fo > 3,00 )(2) | 100 mg/kg | 

 |  | Traditional immersion cured meat products (1):Wiltshire bacon(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados)Toucinho fumado(1.2);and similar products |  | 175 mg/kg

 |  | Wiltshire ham(1.1);and similar products |  | 100 mg/kg

 |  | Rohschinken, nassgepökelt(1.6);and similar products |  | 50 mg/kg

 |  | Cured tongue(1.3) |  | 

 |  | Traditional dry cured meat products (2):Dry cured bacon(2.1);and similar products |  | 175 mg/kg

 |  | Dry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2);Presunto, presunto da páandpaio do lombo(2.3);and similar products |  | 100 mg/kg

 |  | Rohschinken, trockengepökelt(2.5);and similar products |  | 50 mg/kg

 |  | Other traditionally cured meat products (3): |  | 

 |  | VysočinaSelský salámTuristický trvanlivý salámPoličanHerkulesLovecký salámDunajská klobásaPaprikáš(3.5);and similar products | 180 mg/kg | 

 |  | Rohschinken, trocken-/nassgepökelt(3.1);and similar productsJellied veal and brisket(3.2) |  | 50 mg/kg

E 251E 252 | Potassium nitrate(3)Sodium nitrate(3) | Non-heat-treated meat products | 150 mg/kg | 

 |  | Traditional immersion cured meat products (1): |  | 

 |  | Kylmäsavustettu poronliha/Kallrökt renkött(1.4); | 300 mg/kg | 

 |  | Wiltshire baconandWiltshire ham(1.1);Entremeada, entrecosto, chispe, orelheira e cabeça (salgados),Toucinho fumado(1.2);Rohschinken, nassgepökelt(1.6);and similar products |  | 250 mg/kg

 |  | Bacon, Filet de bacon(1.5);and similar products |  | 250 mg/kg without added E 249 or E 250

 |  | Cured tongue(1.3) |  | 10 mg/kg

 |  | Traditional dry cured meat products (2):Dry cured baconandDry cured ham(2.1);Jamón curado, paleta curada, lomo embuchado y cecina(2.2); |  | 250 mg/kg

 |  | Presunto, presunto da páandpaio do lombo(2.3);Rohschinken, trockengepökelt(2.5); and similar products |  | 

 |  | Jambon sec, jambon sel sec et autres pièces maturées séchées similaires(2.4) |  | 250 mg/kg without added E 249 or E 250

 |  | Other traditionally cured meat products (3):Rohwürste (SalamiandKantwurst)(3.3); | 300 mg/kg (without added E 249 or E 250) | 

 |  | Rohschinken, trocken-/nassgepökelt(3.1);and similar products |  | 250 mg/kg

 |  | Salchichón y chorizo tradicionales de larga curación(3.4);Saucissons secs(3.6);and similar products | 250 mg/kg(without added E 249 or E 250) | 

 |  | Jellied veal and brisket(3.2); |  | 10 mg/kg

 |  | Hard, semi-hard and semi-soft cheese | 150 mg/kg in the cheese milk or equivalent level if added after removal of whey and addition of water | 

 |  | Dairy-based cheese analogue

 |  | Pickled herring and sprat | 500 mg/kg | 

1Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.1.1Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.1.2Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.1.3Immersion cured for at least 4 days and pre-cooked.1.4Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.1.5Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.1.6Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.2Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.2.1Dry curing followed by maturation for at least 4 days.2.2Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.2.3Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.2.4Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.2.5Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.3Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.3.1Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.3.2Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.3.3Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .3.4Maturation period of at least 30 days.3.5Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.3.6Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’; | 1 | Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking. | 1.1 | Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures. | 1.2 | Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity. | 1.3 | Immersion cured for at least 4 days and pre-cooked. | 1.4 | Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks. | 1.5 | Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC. | 1.6 | Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation. | 2 | Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking. | 2.1 | Dry curing followed by maturation for at least 4 days. | 2.2 | Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days. | 2.3 | Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months. | 2.4 | Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months. | 2.5 | Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation. | 3 | Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking. | 3.1 | Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation. | 3.2 | Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours. | 3.3 | Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 . | 3.4 | Maturation period of at least 30 days. | 3.5 | Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking. | 3.6 | Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

1 | Meat products are immersed in curing solution containing nitrites and/or nitrates, salt and other components. The meat products may undergo further treatments e.g. smoking.

1.1 | Meat is injected with curing solution followed by immersion curing for 3 to 10 days. The immersion brine solution also includes microbiological starter cultures.

1.2 | Immersion cured for 3 to 5 days. Product is not heat-treated and has a high water activity.

1.3 | Immersion cured for at least 4 days and pre-cooked.

1.4 | Meat is injected with curing solution followed by immersion curing. Curing time is 14 to 21 days followed by maturation in cold-smoke for 4 to 5 weeks.

1.5 | Immersion cured for 4 to 5 days at 5 to 7oC, matured for typically 24 to 40 hours at 22oC, possibly smoked for 24 hrs at 20 to 25oC and stored for 3 to 6 weeks at 12 to 14oC.

1.6 | Curing time depending on the shape and weight of meat pieces for approximately 2 days/kg followed by stabilisation/maturation.

2 | Dry curing process involves dry application of curing mixture containing nitrites and/or nitrates, salt and other components to the surface of the meat followed by a period of stabilisation/maturation. The meat products may undergo further treatments e.g. smoking.

2.1 | Dry curing followed by maturation for at least 4 days.

2.2 | Dry curing with a stabilisation period of at least 10 days and a maturation period of more than 45 days.

2.3 | Dry cured for 10 to 15 days followed by a 30 to 45 day stabilisation period and a maturation period of at least 2 months.

2.4 | Dry cured for 3 days + 1 day/kg followed by a 1 week post-salting period and an ageing/ripening period of 45 days to 18 months.

2.5 | Curing time depending on the shape and weight of meat pieces for approximately 10 to 14 days followed by stabilisation/maturation.

3 | Immersion and dry cured processes used in combination or where nitrite and/or nitrate is included in a compound product or where the curing solution is injected into the product prior to cooking. The products may undergo further treatments e.g. smoking.

3.1 | Dry curing and immersion curing used in combination (without injection of curing solution). Curing time depending on the shape and weight of meat pieces for approximately 14 to 35 days followed by stabilisation/maturation.

3.2 | Injection of curing solution followed, after a minimum of 2 days, by cooking in boiling water for up to 3 hours.

3.3 | Product has a minimum 4-week maturation period and a water/protein ratio of less than 1,7 .

3.4 | Maturation period of at least 30 days.

3.5 | Dried product cooked to 70oC followed by 8 to 12 day drying and smoking process. Fermented product subject to 14 to 30 day three-stage fermentation process followed by smoking.

3.6 | Raw fermented dried sausage without added nitrites. Product is fermented at temperatures in the range of 18 to 22oC or lower (10 to 12oC) and then has a minimum ageing/ripening period of 3 weeks. Product has a water/protein ratio of less than 1,7 .’;

(d) | Part D is amended as follows:(i)the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;(ii)row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000  (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;(iii)the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’; | (i) | the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’; | (ii) | row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000  (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’; | ‘E 310 | Propyl gallate | Fats and oils for the professional manufacture of heat-treated foodstuffs | 200*(gallates, TBHQ and BHA, individually or in combination) | E 311 | Octyl gallate | Frying oil and frying fat, excluding olive pomace oil | 100*(BHT) | E 312 | Dodecyl gallate |  |  | E 319 | Tertiary-butyl hydroquinone(TBHQ) | Lard; fish oil; beef, poultry and sheep fat | both expressed on fat | E 320 | Butylated hydroxyanisole(BHA) | Cake mixesCereal-based snack foodsMilk powder for vending machines | 200 (gallates, TBHQ and BHA, individually or in combination) | E 321 | Butylated hydroxytoluene(BHT) | Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals | expressed on fat |  |  | Seasonings and condiments | 200 (gallates and BHA, individually or in combination) expressed on fat |  |  | Dehydrated potatoes | 25 (gallates, TBHQ and BHA, individually or in combination) | Chewing gumFood supplements as defined in Directive 2002/46/EC | 400 (gallates, TBHQ, BHT and BHA, individually or in combination) | Essential oils | 1 000  (gallates, TBHQ and BHA, individually or in combination) | Flavourings other than essential oils | 100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’; | (iii) | the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’; | ‘E 586 | 4-Hexylresorcinol | Fresh, frozen and deep-frozen crustaceans | 2 mg/kg as residues in crustacean meat’;

(i) | the Note is replaced by: ‘The * in the table refers to the proportionality rule: when combinations of gallates, TBHQ, BHA and BHT are used, the individual levels must be reduced proportionally.’;

(ii) | row E 310 to E 321 and row E 310 to E 320 are replaced by the following:‘E 310Propyl gallateFats and oils for the professional manufacture of heat-treated foodstuffs200*(gallates, TBHQ and BHA, individually or in combination)E 311Octyl gallateFrying oil and frying fat, excluding olive pomace oil100*(BHT)E 312Dodecyl gallateE 319Tertiary-butyl hydroquinone(TBHQ)Lard; fish oil; beef, poultry and sheep fatboth expressed on fatE 320Butylated hydroxyanisole(BHA)Cake mixesCereal-based snack foodsMilk powder for vending machines200 (gallates, TBHQ and BHA, individually or in combination)E 321Butylated hydroxytoluene(BHT)Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cerealsexpressed on fatSeasonings and condiments200 (gallates and BHA, individually or in combination) expressed on fatDehydrated potatoes25 (gallates, TBHQ and BHA, individually or in combination)Chewing gumFood supplements as defined in Directive 2002/46/EC400 (gallates, TBHQ, BHT and BHA, individually or in combination)Essential oils1 000  (gallates, TBHQ and BHA, individually or in combination)Flavourings other than essential oils100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’; | ‘E 310 | Propyl gallate | Fats and oils for the professional manufacture of heat-treated foodstuffs | 200*(gallates, TBHQ and BHA, individually or in combination) | E 311 | Octyl gallate | Frying oil and frying fat, excluding olive pomace oil | 100*(BHT) | E 312 | Dodecyl gallate |  |  | E 319 | Tertiary-butyl hydroquinone(TBHQ) | Lard; fish oil; beef, poultry and sheep fat | both expressed on fat | E 320 | Butylated hydroxyanisole(BHA) | Cake mixesCereal-based snack foodsMilk powder for vending machines | 200 (gallates, TBHQ and BHA, individually or in combination) | E 321 | Butylated hydroxytoluene(BHT) | Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals | expressed on fat |  |  | Seasonings and condiments | 200 (gallates and BHA, individually or in combination) expressed on fat |  |  | Dehydrated potatoes | 25 (gallates, TBHQ and BHA, individually or in combination) | Chewing gumFood supplements as defined in Directive 2002/46/EC | 400 (gallates, TBHQ, BHT and BHA, individually or in combination) | Essential oils | 1 000  (gallates, TBHQ and BHA, individually or in combination) | Flavourings other than essential oils | 100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

‘E 310 | Propyl gallate | Fats and oils for the professional manufacture of heat-treated foodstuffs | 200*(gallates, TBHQ and BHA, individually or in combination)

E 311 | Octyl gallate | Frying oil and frying fat, excluding olive pomace oil | 100*(BHT)

E 312 | Dodecyl gallate |  | 

E 319 | Tertiary-butyl hydroquinone(TBHQ) | Lard; fish oil; beef, poultry and sheep fat | both expressed on fat

E 320 | Butylated hydroxyanisole(BHA) | Cake mixesCereal-based snack foodsMilk powder for vending machines | 200 (gallates, TBHQ and BHA, individually or in combination)

E 321 | Butylated hydroxytoluene(BHT) | Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals | expressed on fat

 |  | Seasonings and condiments | 200 (gallates and BHA, individually or in combination) expressed on fat

 |  | Dehydrated potatoes | 25 (gallates, TBHQ and BHA, individually or in combination)

Chewing gumFood supplements as defined in Directive 2002/46/EC | 400 (gallates, TBHQ, BHT and BHA, individually or in combination)

Essential oils | 1 000  (gallates, TBHQ and BHA, individually or in combination)

Flavourings other than essential oils | 100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

(iii) | the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’; | ‘E 586 | 4-Hexylresorcinol | Fresh, frozen and deep-frozen crustaceans | 2 mg/kg as residues in crustacean meat’;

‘E 586 | 4-Hexylresorcinol | Fresh, frozen and deep-frozen crustaceans | 2 mg/kg as residues in crustacean meat’;

(4) | Annex IV is amended as follows:(a)the row for E 385 is replaced by the following:‘E 385Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)Emulsified sauces75 mg/kgCanned and bottled pulses, legumes, mushrooms and artichokes250 mg/kgCanned and bottled crustaceans and molluscs75 mg/kgCanned and bottled fish75 mg/kgSpreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less100 mg/kgFrozen and deep‐frozen crustaceans75 mg/kgLibamáj, egészben és tömbben250 mg/kg(b)the following row is inserted after the row for E 967:‘E 968ErythritolFoodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))quantum satisFrozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopodsquantum satisLiqueursquantum satisFor purposes other than sweetening’;(c)the following row is added:‘E 426Soybean hemicelluloseDairy-based drinks intended for retail sale5 g/lFood supplements as defined in Directive 2002/46/EC1,5  g/lEmulsified sauces30 g/lPre-packaged fine bakery wares intended for retail sale10 g/kgPre-packaged ready to eat oriental noodles intended for retail sale10 g/kgPre-packaged ready to eat rice intended for retail sale10 g/kgPre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale10 g/kgDehydrated, concentrated, frozen and deep-frozen egg products10 g/kgJelly confectionery, except jelly mini-cups10 g/kg’;(d)in row E 468 the words ‘Solid dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC supplied in solid form’;(e)in row E 338 to E 452 the words ‘Dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;(f)in row E 405, row E 416, row E 432 to E 436, row E 473 and E 474, row E 475, row E 491 to E 495, row E 551 to E 559, and row E 901 to E 904, the words ‘Dietary food supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;(g)in row E 1201 and E 1202 the words ‘Dietary food supplements in tablet and coated tablet form’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC in tablet and coated tablet form’;(h)in row E 405, row E 432 to E 436, row E 473 and E 474, row E 475, row E 477, row E 481 and E 482, row E 491 to E 495 the words ‘Dietetic food intended for special medical purposes’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC’;(i)Row E 1505 to E 1520 is replaced by the following:‘E 1505Triethyl citrateFlavourings3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;E 1517Glyceryl diacetate (diacetin)E 1518Glyceryl triacetate (triacetin)E 1520Propan-1,2-diol (propylene glycol)(j)the following rows are added:‘E 1204PullulanFood supplements as defined in Directive 2002/46/EC in capsule and tablet formquantum satisBreath freshening micro-sweets in the form of filmsquantum satisE 1452Starch Aluminium Octenyl SuccinateEncapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC35 g/kg in food supplement’; | (a) | the row for E 385 is replaced by the following:‘E 385Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)Emulsified sauces75 mg/kgCanned and bottled pulses, legumes, mushrooms and artichokes250 mg/kgCanned and bottled crustaceans and molluscs75 mg/kgCanned and bottled fish75 mg/kgSpreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less100 mg/kgFrozen and deep‐frozen crustaceans75 mg/kgLibamáj, egészben és tömbben250 mg/kg | ‘E 385 | Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA) | Emulsified sauces | 75 mg/kg |  |  | Canned and bottled pulses, legumes, mushrooms and artichokes | 250 mg/kg |  |  | Canned and bottled crustaceans and molluscs | 75 mg/kg |  |  | Canned and bottled fish | 75 mg/kg |  |  | Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less | 100 mg/kg |  |  | Frozen and deep‐frozen crustaceans | 75 mg/kg |  |  | Libamáj, egészben és tömbben | 250 mg/kg | (b) | the following row is inserted after the row for E 967:‘E 968ErythritolFoodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))quantum satisFrozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopodsquantum satisLiqueursquantum satisFor purposes other than sweetening’; | ‘E 968 | Erythritol | Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3)) | quantum satis |  |  | Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods | quantum satis |  |  | Liqueurs | quantum satis |  |  |  | For purposes other than sweetening’; | (c) | the following row is added:‘E 426Soybean hemicelluloseDairy-based drinks intended for retail sale5 g/lFood supplements as defined in Directive 2002/46/EC1,5  g/lEmulsified sauces30 g/lPre-packaged fine bakery wares intended for retail sale10 g/kgPre-packaged ready to eat oriental noodles intended for retail sale10 g/kgPre-packaged ready to eat rice intended for retail sale10 g/kgPre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale10 g/kgDehydrated, concentrated, frozen and deep-frozen egg products10 g/kgJelly confectionery, except jelly mini-cups10 g/kg’; | ‘E 426 | Soybean hemicellulose | Dairy-based drinks intended for retail sale | 5 g/l |  |  | Food supplements as defined in Directive 2002/46/EC | 1,5  g/l |  |  | Emulsified sauces | 30 g/l |  |  | Pre-packaged fine bakery wares intended for retail sale | 10 g/kg |  |  | Pre-packaged ready to eat oriental noodles intended for retail sale | 10 g/kg |  |  | Pre-packaged ready to eat rice intended for retail sale | 10 g/kg |  |  | Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale | 10 g/kg |  |  | Dehydrated, concentrated, frozen and deep-frozen egg products | 10 g/kg |  |  | Jelly confectionery, except jelly mini-cups | 10 g/kg’; | (d) | in row E 468 the words ‘Solid dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC supplied in solid form’; | (e) | in row E 338 to E 452 the words ‘Dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’; | (f) | in row E 405, row E 416, row E 432 to E 436, row E 473 and E 474, row E 475, row E 491 to E 495, row E 551 to E 559, and row E 901 to E 904, the words ‘Dietary food supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’; | (g) | in row E 1201 and E 1202 the words ‘Dietary food supplements in tablet and coated tablet form’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC in tablet and coated tablet form’; | (h) | in row E 405, row E 432 to E 436, row E 473 and E 474, row E 475, row E 477, row E 481 and E 482, row E 491 to E 495 the words ‘Dietetic food intended for special medical purposes’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC’; | (i) | Row E 1505 to E 1520 is replaced by the following:‘E 1505Triethyl citrateFlavourings3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;E 1517Glyceryl diacetate (diacetin)E 1518Glyceryl triacetate (triacetin)E 1520Propan-1,2-diol (propylene glycol) | ‘E 1505 | Triethyl citrate | Flavourings | 3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’; | E 1517 | Glyceryl diacetate (diacetin) |  |  | E 1518 | Glyceryl triacetate (triacetin) |  |  | E 1520 | Propan-1,2-diol (propylene glycol) | (j) | the following rows are added:‘E 1204PullulanFood supplements as defined in Directive 2002/46/EC in capsule and tablet formquantum satisBreath freshening micro-sweets in the form of filmsquantum satisE 1452Starch Aluminium Octenyl SuccinateEncapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC35 g/kg in food supplement’; | ‘E 1204 | Pullulan | Food supplements as defined in Directive 2002/46/EC in capsule and tablet form | quantum satis | Breath freshening micro-sweets in the form of films | quantum satis | E 1452 | Starch Aluminium Octenyl Succinate | Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC | 35 g/kg in food supplement’;

(a) | the row for E 385 is replaced by the following:‘E 385Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)Emulsified sauces75 mg/kgCanned and bottled pulses, legumes, mushrooms and artichokes250 mg/kgCanned and bottled crustaceans and molluscs75 mg/kgCanned and bottled fish75 mg/kgSpreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less100 mg/kgFrozen and deep‐frozen crustaceans75 mg/kgLibamáj, egészben és tömbben250 mg/kg | ‘E 385 | Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA) | Emulsified sauces | 75 mg/kg |  |  | Canned and bottled pulses, legumes, mushrooms and artichokes | 250 mg/kg |  |  | Canned and bottled crustaceans and molluscs | 75 mg/kg |  |  | Canned and bottled fish | 75 mg/kg |  |  | Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less | 100 mg/kg |  |  | Frozen and deep‐frozen crustaceans | 75 mg/kg |  |  | Libamáj, egészben és tömbben | 250 mg/kg

‘E 385 | Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA) | Emulsified sauces | 75 mg/kg

 |  | Canned and bottled pulses, legumes, mushrooms and artichokes | 250 mg/kg

 |  | Canned and bottled crustaceans and molluscs | 75 mg/kg

 |  | Canned and bottled fish | 75 mg/kg

 |  | Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less | 100 mg/kg

 |  | Frozen and deep‐frozen crustaceans | 75 mg/kg

 |  | Libamáj, egészben és tömbben | 250 mg/kg

(b) | the following row is inserted after the row for E 967:‘E 968ErythritolFoodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))quantum satisFrozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopodsquantum satisLiqueursquantum satisFor purposes other than sweetening’; | ‘E 968 | Erythritol | Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3)) | quantum satis |  |  | Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods | quantum satis |  |  | Liqueurs | quantum satis |  |  |  | For purposes other than sweetening’;

‘E 968 | Erythritol | Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3)) | quantum satis

 |  | Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods | quantum satis

 |  | Liqueurs | quantum satis

 |  |  | For purposes other than sweetening’;

(c) | the following row is added:‘E 426Soybean hemicelluloseDairy-based drinks intended for retail sale5 g/lFood supplements as defined in Directive 2002/46/EC1,5  g/lEmulsified sauces30 g/lPre-packaged fine bakery wares intended for retail sale10 g/kgPre-packaged ready to eat oriental noodles intended for retail sale10 g/kgPre-packaged ready to eat rice intended for retail sale10 g/kgPre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale10 g/kgDehydrated, concentrated, frozen and deep-frozen egg products10 g/kgJelly confectionery, except jelly mini-cups10 g/kg’; | ‘E 426 | Soybean hemicellulose | Dairy-based drinks intended for retail sale | 5 g/l |  |  | Food supplements as defined in Directive 2002/46/EC | 1,5  g/l |  |  | Emulsified sauces | 30 g/l |  |  | Pre-packaged fine bakery wares intended for retail sale | 10 g/kg |  |  | Pre-packaged ready to eat oriental noodles intended for retail sale | 10 g/kg |  |  | Pre-packaged ready to eat rice intended for retail sale | 10 g/kg |  |  | Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale | 10 g/kg |  |  | Dehydrated, concentrated, frozen and deep-frozen egg products | 10 g/kg |  |  | Jelly confectionery, except jelly mini-cups | 10 g/kg’;

‘E 426 | Soybean hemicellulose | Dairy-based drinks intended for retail sale | 5 g/l

 |  | Food supplements as defined in Directive 2002/46/EC | 1,5  g/l

 |  | Emulsified sauces | 30 g/l

 |  | Pre-packaged fine bakery wares intended for retail sale | 10 g/kg

 |  | Pre-packaged ready to eat oriental noodles intended for retail sale | 10 g/kg

 |  | Pre-packaged ready to eat rice intended for retail sale | 10 g/kg

 |  | Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale | 10 g/kg

 |  | Dehydrated, concentrated, frozen and deep-frozen egg products | 10 g/kg

 |  | Jelly confectionery, except jelly mini-cups | 10 g/kg’;

(d) | in row E 468 the words ‘Solid dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC supplied in solid form’;

(e) | in row E 338 to E 452 the words ‘Dietary supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;

(f) | in row E 405, row E 416, row E 432 to E 436, row E 473 and E 474, row E 475, row E 491 to E 495, row E 551 to E 559, and row E 901 to E 904, the words ‘Dietary food supplements’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC’;

(g) | in row E 1201 and E 1202 the words ‘Dietary food supplements in tablet and coated tablet form’ are replaced by the words ‘Food supplements as defined in Directive 2002/46/EC in tablet and coated tablet form’;

(h) | in row E 405, row E 432 to E 436, row E 473 and E 474, row E 475, row E 477, row E 481 and E 482, row E 491 to E 495 the words ‘Dietetic food intended for special medical purposes’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC’;

(i) | Row E 1505 to E 1520 is replaced by the following:‘E 1505Triethyl citrateFlavourings3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;E 1517Glyceryl diacetate (diacetin)E 1518Glyceryl triacetate (triacetin)E 1520Propan-1,2-diol (propylene glycol) | ‘E 1505 | Triethyl citrate | Flavourings | 3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’; | E 1517 | Glyceryl diacetate (diacetin) |  |  | E 1518 | Glyceryl triacetate (triacetin) |  |  | E 1520 | Propan-1,2-diol (propylene glycol)

‘E 1505 | Triethyl citrate | Flavourings | 3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;

E 1517 | Glyceryl diacetate (diacetin) |  | 

E 1518 | Glyceryl triacetate (triacetin) |  | 

E 1520 | Propan-1,2-diol (propylene glycol)

(j) | the following rows are added:‘E 1204PullulanFood supplements as defined in Directive 2002/46/EC in capsule and tablet formquantum satisBreath freshening micro-sweets in the form of filmsquantum satisE 1452Starch Aluminium Octenyl SuccinateEncapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC35 g/kg in food supplement’; | ‘E 1204 | Pullulan | Food supplements as defined in Directive 2002/46/EC in capsule and tablet form | quantum satis | Breath freshening micro-sweets in the form of films | quantum satis | E 1452 | Starch Aluminium Octenyl Succinate | Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC | 35 g/kg in food supplement’;

‘E 1204 | Pullulan | Food supplements as defined in Directive 2002/46/EC in capsule and tablet form | quantum satis

Breath freshening micro-sweets in the form of films | quantum satis

E 1452 | Starch Aluminium Octenyl Succinate | Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC | 35 g/kg in food supplement’;

(5) | Annex V is amended as follows:(a)the following row is inserted after the row for E 967:‘E 968Erythritol’;(b)the following row is inserted after the row for E 466:‘E 462Ethyl cellulose’;(c)in the third column of the row for E 551 and E 552 the following sentence is added:‘For E 551: in E 171 titanium dioxide and E 172 iron oxides and hydroxides (max. 90 % relative to the pigment).’; | (a) | the following row is inserted after the row for E 967:‘E 968Erythritol’; | ‘E 968 | Erythritol’; |  | (b) | the following row is inserted after the row for E 466:‘E 462Ethyl cellulose’; | ‘E 462 | Ethyl cellulose’; |  | (c) | in the third column of the row for E 551 and E 552 the following sentence is added:‘For E 551: in E 171 titanium dioxide and E 172 iron oxides and hydroxides (max. 90 % relative to the pigment).’;

(a) | the following row is inserted after the row for E 967:‘E 968Erythritol’; | ‘E 968 | Erythritol’; | 

‘E 968 | Erythritol’; | 

(b) | the following row is inserted after the row for E 466:‘E 462Ethyl cellulose’; | ‘E 462 | Ethyl cellulose’; | 

‘E 462 | Ethyl cellulose’; | 

(c) | in the third column of the row for E 551 and E 552 the following sentence is added:‘For E 551: in E 171 titanium dioxide and E 172 iron oxides and hydroxides (max. 90 % relative to the pigment).’;

(6) | Annex VI is amended as follows:(a)in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;(b)in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;(c)in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’. | (a) | in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’; | (b) | in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’; | (c) | in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’. | ‘E 473 | Sucrose esters of fatty acids | 120 mg/l | Products containing hydrolysed proteins, peptides and amino acids’.

(a) | in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;

(b) | in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;

(c) | in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’. | ‘E 473 | Sucrose esters of fatty acids | 120 mg/l | Products containing hydrolysed proteins, peptides and amino acids’.

‘E 473 | Sucrose esters of fatty acids | 120 mg/l | Products containing hydrolysed proteins, peptides and amino acids’.

(*2)  Commission Directive 1999/21/EC (OJ L 91, 7.4.1999, p. 29).’

         ’

(*1)  Directive 2002/46/EC of the European Parliament and of the Council (OJ L 183, 12.7.2002, p. 51).’
(1)  In edible parts.’
(1)  

(x) | When labelled “for food use”, nitrite may be sold only in a mixture with salt or a salt substitute.

(2)  

(y) | Fo-value 3 is equivalent to 3 minutes heating at 121oC (reduction of the bacterial load of one billion spores in each 1 000 cans to one spore in a thousand cans).

(3)  

(z) | Nitrates may be present in some heat-treated meat products resulting from natural conversion of nitrites to nitrates in a low-acid environment.

(*3)  

            OJ L 316, 9.12.1994, p. 2.’;
ANNEX IIThe Annex to Directive 94/35/EC is amended as follows:
(1) | in the first column of the row for E 420 to E 967, ‘E 968’ is added;

(2) | in the second column of the row for E 420 to E 967, ‘Erythritol’ is added.

Pending: 32006L0049

                                January 16, 2026                            

30.6.2006
EN
Official Journal of the European Union
L 177/201

(1)
Council Directive 93/6/EEC of 15 March 1993 on the capital adequacy of investment firms and credit institutions(4)has been significantly amended on several occasions. Now that new amendments are being made to the said Directive, it is desirable, in order to clarify matters, that it should be recast.

(2)
One of the objectives of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments(5)is to allow investment firms authorised by the competent authorities of their home Member State and supervised by the same authorities to establish branches and provide services freely in other Member States. That Directive accordingly provides for the coordination of the rules governing the authorisation and pursuit of the business of investment firms.

(3)
Directive 2004/39/EC does not, however, establish common standards for the own funds of investment firms nor indeed does it establish the amounts of the initial capital of such firms or a common framework for monitoring the risks incurred by them.

(4)
It is appropriate to effect only the essential harmonisation that is necessary and sufficient to secure the mutual recognition of authorisation and of prudential supervision systems; in order to achieve mutual recognition within the framework of the internal financial market, measures should be laid down to coordinate the definition of the own funds of investment firms, the establishment of the amounts of their initial capital and the establishment of a common framework for monitoring the risks incurred by investment firms.

(5)
Since the objectives of this Directive, namely the establishment of the capital adequacy requirements applying to investment firms and credit institutions, the rules for their calculation and the rules for their prudential supervision, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and the effects of the proposed action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve its objectives.

(6)
It is appropriate to establish different amounts of initial capital depending on the range of activities that investment firms are authorised to undertake.

(7)
Existing investment firms should be permitted, under certain conditions, to continue their business even if they do not comply with the minimum amount of initial capital fixed for new investment firms.

(8)
Member States should be able to establish rules stricter than those provided for in this Directive.

(9)
The smooth operation of the internal market requires not only legal rules but also close and regular cooperation and significantly enhanced convergence of regulatory and supervisory practices between the competent authorities of the Member States.

(10)
The Commission Communication of 11 May 1999 entitled ‘Implementing the framework for financial markets: Action Plan’ listed a number of goals that need to be achieved in order to complete the internal market in financial services. The Lisbon European Council of 23 and 24 March 2000 set the goal of implementing the action plan by 2005. Recasting of the provisions on own funds is a key element of the action plan.

(11)
Since investment firms face in respect of their trading book business the same risks as credit institutions, it is appropriate for the pertinent provisions of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions(6)to apply equally to investment firms.

(12)
The own funds of investment firms or credit institutions (hereinafter referred to collectively as ‘institutions’) can serve to absorb losses which are not matched by a sufficient volume of profits, to ensure the continuity of institutions and to protect investors. The own funds also serve as an important yardstick for the competent authorities, in particular for the assessment of the solvency of institutions and for other prudential purposes. Furthermore, institutions, engage in direct competition with each other in the internal market. Therefore, in order to strengthen the Community financial system and to prevent distortions of competition, it is appropriate to lay down common basic standards for own funds.

(13)
For the purposes of recital (12), it is appropriate for the definition of own funds as laid down in Directive 2006/48/EC to serve as a basis, and to provide for supplementary specific rules which take into account the different scope of market risk related capital requirements.

(14)
As regards credit institutions, common standards have already been established for the supervision and monitoring of different types of risks by Directive 2000/12/EC.

(15)
In that respect, the provisions on minimum capital requirements should be considered in conjunction with other specific instruments which also harmonise the fundamental techniques of the supervision of institutions.

(16)
It is necessary to develop common standards for market risks incurred by credit institutions and provide a complementary framework for the supervision of the risks incurred by institutions, in particular market risks, and more especially position risks, counterparty/settlement risks and foreign-exchange risks.

(17)
It is necessary to provide for the concept of a ‘trading book’ comprising positions in securities and other financial instruments which are held for trading purposes and which are subject mainly to market risks and exposures relating to certain financial services provided to customers.

(18)
With a view to reducing the administrative burden for institutions with negligible trading-book business in both absolute and relative terms, such institutions should be able to apply Directive 2006/48/EC, rather than the requirements laid down in Annexes I and II to this Directive.

(19)
It is important that monitoring of settlement/delivery risks should take account of the existence of systems offering adequate protection reducing those risks.

(20)
In any case, institutions should comply with this Directive as regards the coverage of the foreign-exchange risks on their overall business. Lower capital requirements should be imposed for positions in closely correlated currencies, whether statistically confirmed or arising out of binding intergovernmental agreements.

(21)
The capital requirements for commodity dealers, including those dealers currently exempt from the requirements of Directive 2004/39/EC, will be reviewed as appropriate in conjunction with the review of that exemption as set out in Article 65(3) of that Directive.

(22)
The goal of liberalisation of gas and electricity markets is both economically and politically important for the Community. With this in mind, the capital requirements and other prudential rules to be applied to firms active in those markets should be proportionate and should not unduly interfere with achievement of the goal of liberalisation. This goal should, in particular, be kept in mind when the reviews referred to in recital 21 are carried out.

(23)
The existence of internal systems for monitoring and controlling interest-rate risks on all business of institutions is a particularly important way of minimising such risks. Consequently, such systems should be supervised by the competent authorities.

(24)
Since Directive 2006/48/EC does not establish common rules for the monitoring and control of large exposures in activities which are principally subject to market risks, it is therefore appropriate to provide for such rules.

(25)
Operational risk is a significant risk faced by institutions and requires coverage by own funds. It is essential to take account of the diversity of institutions in the EU by providing alternative approaches.

(26)
Directive 2006/48/EC states the principle of consolidation. It does not establish common rules for the consolidation of financial institutions which are involved in activities principally subject to market risks.

(27)
In order to ensure adequate solvency of institutions within a group, it is essential that the minimum capital requirements apply on the basis of the consolidated financial situation of the group. In order to ensure that own funds are appropriately distributed within the group and are available to protect investments where needed, the minimum capital requirements should apply to individual institutions within a group, unless this objective can be effectively achieved by other means.

(28)
Directive 2006/48/EC does not apply to groups which include one or more investment firms but no credit institutions. A common framework for the introduction of the supervision of investment firms on a consolidated basis should therefore be provided for.

(29)
Institutions should ensure that they have internal capital which, having regard to the risks to which they are or might be exposed, is adequate in quantity, quality and distribution. Accordingly, institutions should have strategies and processes in place for assessing and maintaining the adequacy of their internal capital.

(30)
Competent authorities should evaluate the adequacy of own funds of institutions, having regard to the risks to which the latter are exposed.

(31)
In order for the internal banking market to operate effectively, the Committee of European Banking Supervisors should contribute to the consistent application of this Directive and to the convergence of supervisory practices throughout the Community, and should report on a yearly basis to the Community Institutions on progress made.

(32)
In order for the internal market to operate with increasing effectiveness it is essential that there should be significantly enhanced convergence in the implementation and application of the provisions of harmonising Community legislation.

(33)
For the same reason, and to ensure that Community institutions which are active in several Member States are not disproportionately burdened as a result of the continued responsibilities of individual Member State competent authorities for authorisation and supervision, it is essential significantly to enhance the cooperation between competent authorities. In this context the role of the consolidating supervisor should be strengthened.

(34)
In order for the internal market to operate with increasing effectiveness and for citizens of the Union to be afforded adequate levels of transparency, it is necessary that competent authorities disclose publicly and in a way which allows for meaningful comparison the manner in which the requirements of this Directive are implemented.

(35)
In order to strengthen market discipline and stimulate institutions to improve their market strategy, risk control and internal management organisation, appropriate public disclosures by institutions should be provided for.

(36)
The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(7).

(37)
In its Resolution of 5 February 2002 on the implementation of financial services legislation(8), the Parliament requested that the Parliament and the Council should have an equal role in supervising the way in which the Commission exercises its executive role in order to reflect the legislative powers of Parliament under Article 251 of the Treaty. In the solemn declaration made before the Parliament the same day, by its President, the Commission supported this request. On 11 December 2002, the Commission proposed amendments to Decision 1999/468/EC and then submitted an amended proposal on 22 April 2004. The Parliament considers that this proposal does not preserve its legislative prerogatives. In the Parliament's view, the Parliament and the Council should have the opportunity of evaluating the conferral of implementing powers on the Commission within a determined period. It is therefore appropriate to limit the period during which the Commission may adopt implementing measures.

(38)
The Parliament should be given a period of three months from the first transmission of draft amendments and implementing measures to allow it to examine them and to give its opinion. However, in urgent and duly justified cases, it should be possible to shorten this period. If, within that period, a resolution is adopted by the Parliament, the Commission should re-examine the draft amendments or measures.

(39)
In order to avoid disruption to markets and to ensure continuity in overall levels of own funds, it is appropriate to provide for specific transitional arrangements.

(40)
This Directive respects fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union as general principles of Community law.

(41)
The obligation to transpose this Directive into national law should be confined to those provisions that represent a substantive change compared to earlier directives. The obligation to transpose the provisions that remain unchanged exists under the earlier directives.

(42)
This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Part B of Annex VIII,

(a)
every reference to credit institutions shall be construed as a reference to investment firms;

(b)
in Articles 125 and 140(2) of Directive 2006/48/EC, each reference to other articles of that Directive shall be construed as a reference to Directive 2004/39/EC;

(c)
for the purposes of Article 39(3) of Directive 2006/48/EC, references to the European Banking Committee shall be construed as references to the Council and the Commission; and

(d)
by way of derogation from Article 140(1) of Directive 2006/48/EC, where a group does not include a credit institution, the first sentence of that Article shall be replaced by the following: ‘Where an investment firm, a financial holding company or a mixed-activity holding company controls one or more subsidiaries which are insurance companies, the competent authorities and the authorities entrusted with the public task of supervising insurance undertakings shall cooperate closely’.

(a)
‘credit institutions’ means credit institutions as defined in Article 4(1) of Directive 2006/48/EC;

(b)
‘investment firms’ means institutions as defined in Article 4(1)(1) of Directive 2004/39/EC, which are subject to the requirements imposed by that Directive, excluding:(i)credit institutions;(ii)local firms as defined in point (p); and(iii)firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;
(i)
credit institutions;
(ii)
local firms as defined in point (p); and
(iii)
firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;

(i)
credit institutions;

(ii)
local firms as defined in point (p); and

(iii)
firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;

(i)
credit institutions;

(ii)
local firms as defined in point (p); and

(iii)
firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;

(c)
‘institutions’ means credit institutions and investment firms;

(d)
‘recognised third-country investment firms’ means firms meeting the following conditions:(i)firms which, if they were established within the Community, would be covered by the definition of investment firm;(ii)firms which are authorised in a third country; and(iii)firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;
(i)
firms which, if they were established within the Community, would be covered by the definition of investment firm;
(ii)
firms which are authorised in a third country; and
(iii)
firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;

(i)
firms which, if they were established within the Community, would be covered by the definition of investment firm;

(ii)
firms which are authorised in a third country; and

(iii)
firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;

(i)
firms which, if they were established within the Community, would be covered by the definition of investment firm;

(ii)
firms which are authorised in a third country; and

(iii)
firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;

(e)
‘financial instruments’ means any contract that gives rise to both a financial asset of one party and a financial liability or equity instrument of another party;

(f)
‘parent investment firm in a Member State’ means an investment firm which has an institution or financial institution as a subsidiary or which holds a participation in one or both such entities, and which is not itself a subsidiary of another institution authorised in the same Member State or of a financial holding company set up in the same Member State;

(g)
‘EU parent investment firm’ means a parent investment firm in a Member State which is not a subsidiary of another institution authorised in any Member State or of a financial holding company set up in any Member State;

(h)
‘over-the-counter (OTC) derivative instruments’ means the items falling within the list in Annex IV to Directive 2006/48/EC other than those items to which an exposure value of zero is attributed under point 6 of Part 2 of Annex III to that Directive;

(i)
‘regulated market’ means a market as defined in Article 4(1)(14) of Directive 2004/39/EC;

(j)
‘convertible’ means a security which, at the option of the holder, may be exchanged for another security;

(k)
‘warrant’ means a security which gives the holder the right to purchase an underlying asset at a stipulated price until or at the expiry date of the warrant and which may be settled by the delivery of the underlying itself or by cash settlement;

(l)
‘stock financing’ means positions where physical stock has been sold forward and the cost of funding has been locked in until the date of the forward sale;

(m)
‘repurchase agreement’ and ‘reverse repurchase agreement’ mean any agreement in which an institution or its counterparty transfers securities or commodities or guaranteed rights relating to title — to securities or commodities where that guarantee is issued by a recognised exchange which holds the rights to the securities or commodities and the agreement does not allow an institution to transfer or pledge a particular security or commodity to more than one counterparty at one time, subject to a commitment to repurchase them — or substituted securities or commodities of the same description — at a specified price on a future date specified, or to be specified, by the transferor, being a repurchase agreement for the institution selling the securities or commodities and a reverse repurchase agreement for the institution buying them;

(n)
‘securities or commodities lending’ and ‘securities or commodities borrowing’ mean any transaction in which an institution or its counterparty transfers securities or commodities against appropriate collateral, subject to a commitment that the borrower will return equivalent securities or commodities at some future date or when requested to do so by the transferor, that transaction being securities or commodities lending for the institution transferring the securities or commodities and being securities or commodities borrowing for the institution to which they are transferred;

(o)
‘clearing member’ means a member of the exchange or the clearing house which has a direct contractual relationship with the central counterparty (market guarantor);

(p)
‘local firm’ means a firm dealing for its own account on markets in financial futures or options or other derivatives and on cash markets for the sole purpose of hedging positions on derivatives markets, or dealing for the accounts of other members of those markets and being guaranteed by clearing members of the same markets, where responsibility for ensuring the performance of contracts entered into by such a firm is assumed by clearing members of the same markets;

(q)
‘delta’ means the expected change in an option price as a proportion of a small change in the price of the instrument underlying the option;

(r)
‘own funds’ means own funds as defined in Directive 2006/48/EC; and

(s)
‘capital’ means own funds.

(a)
‘financial holding company’ means a financial institution the subsidiary undertakings of which are either exclusively or mainly investment firms or other financial institutions, at least one of which is an investment firm, and which is not a mixed financial holding company within the meaning of Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate(9);

(b)
‘mixed-activity holding company’ means a parent undertaking, other than a financial holding company or an investment firm or a mixed financial holding company within the meaning of Directive 2002/87/EC, the subsidiaries of which include at least one investment firm; and

(c)
‘competent authorities’ means the national authorities which are empowered by law or regulation to supervise investment firms.

(a)
the reception and transmission of investors' orders for financial instruments;

(b)
the execution of investors' orders for financial instruments; or

(c)
the management of individual portfolios of investments in financial instruments.

(a)
such positions arise only as a result of the firm's failure to match investors' orders precisely;

(b)
the total market value of all such positions is subject to a ceiling of 15 % of the firm's initial capital;

(c)
the firm meets the requirements laid down in Articles 18, 20 and 28; and

(d)
such positions are incidental and provisional in nature and strictly limited to the time required to carry out the transaction in question.

(a)
initial capital of EUR 50 000;

(b)
professional indemnity insurance covering the whole territory of the Community or some other comparable guarantee against liability arising from professional negligence, representing at least EUR 1 000 000 applying to each claim and in aggregate EUR 1 500 000 per year for all claims; or

(c)
a combination of initial capital and professional indemnity insurance in a form resulting in a level of coverage equivalent to that referred to in points (a) or (b).

(a)
initial capital of EUR 25 000;

(b)
professional indemnity insurance covering the whole territory of the Community or some other comparable guarantee against liability arising from professional negligence, representing at least EUR 500 000 applying to each claim and in aggregate EUR 750 000 per year for all claims; or

(c)
a combination of initial capital and professional indemnity insurance in a form resulting in a level of coverage equivalent to that referred to in points (a) or (b).

(a)
own funds as defined in Directive 2006/48/EC,excluding only points (l) to (p) of Article 57 of that Directive for those investment firms which are required to deduct item (d) of this paragraph from the total of items (a) to (c);

(b)
an institution's net trading-book profits net of any foreseeable charges or dividends, less net losses on its other business, provided that none of those amounts has already been included in item (a) of this paragraph as one of the items set out in points (b) or (k) of Article 57 of Directive 2006/48/EC;

(c)
subordinated loan capital and/or the items referred to in paragraph 5 of this Article, subject to the conditions set out in paragraphs 3 and 4 of this Article and in Article 14; and

(d)
illiquid assets as specified in Article 15.

(a)
tangible fixed assets, except to the extent that land and buildings may be allowed to count against the loans which they are securing;

(b)
holdings in, including subordinated claims on, credit or financial institutions which may be included in the own funds of those institutions, unless they have been deducted under points (l) to (p) of Article 57 of Directive 2006/48/EC or under Article 16(d) of this Directive;

(c)
holdings and other investments in undertakings other than credit or financial institutions, which are not readily marketable;

(d)
deficiencies in subsidiaries;

(e)
deposits made, other than those which are available for repayment within 90 days, and also excluding payments in connection with margined futures or options contracts;

(f)
loans and other amounts due, other than those due to be repaid within 90 days; and

(g)
physical stocks, unless they are already subject to capital requirements at least as stringent as those set out in Articles 18 and 20.

(a)
the illiquid assets referred to in Article 13(2)(d) shall be deducted;

(b)
the exclusion referred to in point (a) of Article 13(2) shall not cover those components of points (l) to (p) of Article 57 of Directive 2006/48/EC which an investment firm holds in respect of undertakings included in the scope of consolidation as defined in Article 2(1) of this Directive;

(c)
the limits referred to in points (a) and (b) of Article 66(1) of Directive 2006/48/EC shall be calculated with reference to the original own funds less the components of points (l) to (p) of Article 57 of that Directive as referred to in point (b) of this Article which are elements of the original own funds of those undertakings; and

(d)
the components of points (l) to (p) of Article 57 of Directive 2006/48/EC referred to in point (c) of this Article shall be deducted from the original own funds rather than from the total of all items as laid down in Article 66(2) of that Directive for the purposes in particular of Articles 13(4), 13(5) and 14 of this Directive.

(a)
value adjustments made to take account of the credit quality of the counterparty may be included in the sum of value adjustments and provisions made for the exposures indicated in Annex II; and

(b)
subject to the approval of the competent authorities, if the credit risk of the counterparty is adequately taken into account in the valuation of a position included in the trading book, the expected loss amount for the counterparty risk exposure shall be zero.

(a)
the capital requirements, calculated in accordance with the methods and options laid down in Articles 28 to 32 and Annexes I, II and VI and, as appropriate, Annex V, for their trading-book business; and

(b)
the capital requirements, calculated in accordance with the methods and options laid down in Annexes III and IV and, as appropriate, Annex V, for all of their business activities.

(a)
the trading-book business of such institutions does not normally exceed 5 % of their total business;

(b)
their total trading-book positions do not normally exceed EUR 15 million; and

(c)
the trading-book business of such institutions never exceeds 6 % of their total business and their total trading-book positions never exceed EUR 20 million.

(a)
the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)
the amount laid down in Article 21 of this Directive.

(a)
investment firms that deal on own account only for the purpose of fulfilling or executing a client order or for the purpose of gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order; and

b)
investment firms:(i)that do not hold client money or securities;(ii)that undertake only dealing on own account;(iii)that have no external customers;(iv)the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.
(i)
that do not hold client money or securities;
(ii)
that undertake only dealing on own account;
(iii)
that have no external customers;
(iv)
the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.

(i)
that do not hold client money or securities;

(ii)
that undertake only dealing on own account;

(iii)
that have no external customers;

(iv)
the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.

(i)
that do not hold client money or securities;

(ii)
that undertake only dealing on own account;

(iii)
that have no external customers;

(iv)
the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.

(a)
each EU investment firm in such a group uses the calculation of own funds set out in Article 16;

(b)
all investment firms in such a group fall within the categories in Article 20(2) and (3);

(c)
each EU investment firm in such a group meets the requirements imposed in Articles 18 and 20 on an individual basis and at the same time deducts from its own funds any contingent liability in favour of investment firms, financial institutions, asset management companies and ancillary services undertakings, which would otherwise be consolidated and;

(d)
any financial holding company which is the parent financial holding company in a Member State of any investment firm in such a group holds at least as much capital, defined here as the sum of points (a) to (h) of Article 57 of Directive 2006/48/EC, as the sum of the full book value of any holdings, subordinated claims and instruments as referred to in Article 57 of that Directive in investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated, and the total amount of any contingent liability in favour of investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated.

(a)
the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)
the amount prescribed in Article 21 of this Directive.

(a)
the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)
the amount prescribed in Article 21 of this Directive.

(a)
such undertakings have been authorised in a third country and either satisfy the definition of credit institution set out in Article 4(1) of Directive 2006/48/EC or are recognised third-country investment firms;

(b)
such undertakings comply, on an individual basis, with capital adequacy rules equivalent to those laid down in this Directive; and

(c)
no regulations exist in the third countries in question which might significantly affect the transfer of funds within the group.

(a)
there is a satisfactory allocation of capital within the group; and

(b)
the regulatory, legal or contractual framework in which the institutions operate is such as to guarantee mutual financial support within the group.

(a)
the excess — where positive — of an institution's long positions over its short positions in all the financial instruments issued by the client in question, the net position in each of the different instruments being calculated according to the methods laid down in Annex I;

(b)
the net exposure, in the case of the underwriting of a debt or an equity instrument; and

(c)
the exposures due to the transactions, agreements and contracts referred to in Annex II with the client in question, such exposures being calculated in the manner laid down in that Annex, for the calculation of exposure values.

(a)
the exposure on the non-trading book to the client or group of clients in question does not exceed the limits laid down in Articles 111 to 117 of Directive 2006/48/EC, those limits being calculated with reference to own funds as specified in that Directive, so that the excess arises entirely on the trading book;

(b)
the institution meets an additional capital requirement on the excess in respect of the limits laid down in Article 111(1) and (2) of Directive 2006/48/EC, that additional capital requirement being calculated in accordance with Annex VI to that Directive;

(c)
where 10 days or less has elapsed since the excess occurred, the trading-book exposure to the client or group of connected clients in question shall not exceed 500 % of the institution's own funds;

(d)
any excesses that have persisted for more than 10 days must not, in aggregate, exceed 600 % of the institution's own funds; and

(e)
institutions shall report to the competent authorities every three months all cases where the limits laid down in Article 111(1) and (2) of Directive 2006/48/EC have been exceeded during the preceding three months.

(a)
references to Article 6 of Directive 2006/48/EC shall be construed as references to Article 5 of Directive 2004/39/EC;

(b)
references to Article 22 and 123 of Directive 2006/48/EC shall be construed s references to Article 34 of this Directive; and

(c)
references to Articles 44 to 52 of Directive 2006/48/EC shall be construed as references to Articles 54 and 58 of Directive 2004/39/EC.

(a)
for investment firms, those imposed in Article 54 and 58 of Directive 2004/39/EC; and

(b)
for credit institutions, those imposed in Articles 44 to 52 of Directive 2006/48/EC.

(a)
clarification of the definitions in Article 3 in order to ensure uniform application of this Directive;

(b)
clarification of the definitions in Article 3 to take account of developments on financial markets;

(c)
adjustment of the amounts of initial capital prescribed in Articles 5 to 9 and the amount referred to in Article 18(2) to take account of developments in the economic and monetary field;

(d)
adjustment of the categories of investment firms in Article 20(2) and (3) to take account of developments on financial markets;

(e)
clarification of the requirement laid down in Article 21 to ensure uniform application of this Directive;

(f)
alignment of terminology on and the framing of definitions in accordance with subsequent acts on institutions and related matters;

(g)
adjustment of the technical provisions in Annexes I to VII as a result of developments on financial markets, risk measurement, accounting standards or requirements which take account of Community legislation or which have regard to convergence of supervisory practices; or

(h)
technical adaptations to take account of the outcome of the review referred to in Article 65(3) of Directive 2004/39/EC.

(a)
the investment firm provides investment services or investment activities related to the financial instruments listed in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC;

(b)
the investment firm does not provide such investment services or undertake such investment activities for, or on behalf of, retail clients;

c)
breaches of the limits referred to in the introductory part of this paragraph arise in connection with exposures resulting from contracts that are financial instruments as listed in point (a) and relate to commodities or underlyings within the meaning of point 10 of Section C of Annex I to Directive 2004/39/EC (MiFID) and are calculated in accordance with Annexes III and IV of Directive 2006/48/EC, or in connection with exposures resulting from contracts concerning the delivery of commodities or emission allowances; and

(d)
the investment firm has a documented strategy for managing and, in particular, for controlling and limiting risks arising from the concentration of exposures. The investment firm shall inform the competent authorities of this strategy and all material changes to it without delay. The investment firm shall make appropriate arrangements to ensure a continuous monitoring of the creditworthiness of borrowers, according to their impact on concentration risk. These arrangements shall enable the investment firm to react adequately and sufficiently promptly to any deterioration in that creditworthiness.

(a)
the capital requirements arising from point (d) of Article 75 of Directive 2006/48/EC; and

b)
12/88 of the higher of the following:(i)the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and(ii)the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).
(i)
the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and
(ii)
the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).

(i)
the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(ii)
the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).

(i)
the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(ii)
the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).

(a)
an appropriate regime for the prudential supervision of investment firms whose main business consists exclusively of the provision of investment services or activities in relation to the commodity derivatives or derivatives contracts set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC; and

(b)
the desirability of amending Directive 2004/39/EC to create a further category of investment firm whose main business consists exclusively of the provision of investment services or activities in relation to the financial instruments set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC relating to energy supplies (including electricity, coal, gas and oil).

(a)
references in point 7 of Annex II to this Directive to Directive 2006/48/EC shall be read as references to Directive 2000/12/EC as that Directive stood prior to 1 January 2007; and

(b)
point 4 of Annex II to this Directive shall apply as it stood prior to 1 January 2007.

1.
The excess of an institution's long (short) positions over its short (long) positions in the same equity, debt and convertible issues and identical financial futures, options, warrants and covered warrants shall be its net position in each of those different instruments. In calculating the net position the competent authorities shall allow positions in derivative instruments to be treated, as laid down in points 4 to 7, as positions in the underlying (or notional) security or securities. Institutions' holdings of their own debt instruments shall be disregarded in calculating specific risk under point 14.

2.
No netting shall be allowed between a convertible and an offsetting position in the instrument underlying it, unless the competent authorities adopt an approach under which the likelihood of a particular convertible's being converted is taken into account or have a capital requirement to cover any loss which conversion might entail.

3.
All net positions, irrespective of their signs, must be converted on a daily basis into the institution's reporting currency at the prevailing spot exchange rate before their aggregation.

4.
Interest‐rate futures, forward‐rate agreements (FRAs) and forward commitments to buy or sell debt instruments shall be treated as combinations of long and short positions. Thus a long interest‐rate futures position shall be treated as a combination of a borrowing maturing on the delivery date of the futures contract and a holding of an asset with maturity date equal to that of the instrument or notional position underlying the futures contract in question. Similarly a sold FRA will be treated as a long position with a maturity date equal to the settlement date plus the contract period, and a short position with maturity equal to the settlement date. Both the borrowing and the asset holding shall be included in the first category set out in Table 1 in point 14 in order to calculate the capital required against specific risk for interest‐rate futures and FRAs. A forward commitment to buy a debt instrument shall be treated as a combination of a borrowing maturing on the delivery date and a long (spot) position in the debt instrument itself. The borrowing shall be included in the first category set out in Table 1 in point 14 for purposes of specific risk, and the debt instrument under whichever column is appropriate for it in the same table.The competent authorities may allow the capital requirement for an exchange‐traded future to be equal to the margin required by the exchange if they are fully satisfied that it provides an accurate measure of the risk associated with the future and that it is at least equal to the capital requirement for a future that would result from a calculation made using the method set out in this Annex or applying the internal models method described in Annex V. The competent authorities may also allow the capital requirement for an OTC derivatives contract of the type referred to in this point cleared by a clearing house recognised by them to be equal to the margin required by the clearing house if they are fully satisfied that it provides an accurate measure of the risk associated with the derivatives contract and that it is at least equal to the capital requirement for the contract in question that would result from a calculation made using the method set out in the this Annex or applying the internal models method described in Annex V.For the purposes of this point, ‘long position’ means a position in which an institution has fixed the interest rate it will receive at some time in the future, and ‘short position’ means a position in which it has fixed the interest rate it will pay at some time in the future.

5.
Options on interest rates, debt instruments, equities, equity indices, financial futures, swaps and foreign currencies shall be treated as if they were positions equal in value to the amount of the underlying instrument to which the option refers, multiplied by its delta for the purposes of this Annex. The latter positions may be netted off against any offsetting positions in the identical underlying securities or derivatives. The delta used shall be that of the exchange concerned, that calculated by the competent authorities or, where that is not available or for OTC-options, that calculated by the institution itself, subject to the competent authorities being satisfied that the model used by the institution is reasonable.However, the competent authorities may also prescribe that institutions calculate their deltas using a methodology specified by the competent authorities.Other risks, apart from the delta risk, associated with options shall be safeguarded against. The competent authorities may allow the requirement against a written exchange‐traded option to be equal to the margin required by the exchange if they are fully satisfied that it provides an accurate measure of the risk associated with the option and that it is at least equal to the capital requirement against an option that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V. The competent authorities may also allow the capital requirement for an OTC option cleared by a clearing house recognised by them to be equal to the margin required by the clearing house if they are fully satisfied that it provides an accurate measure of the risk associated with the option and that it is at least equal to the capital requirement for an OTC option that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V. In addition they may allow the requirement on a bought exchange‐traded or OTC option to be the same as that for the instrument underlying it, subject to the constraint that the resulting requirement does not exceed the market value of the option. The requirement against a written OTC option shall be set in relation to the instrument underlying it.

6.
Warrants relating to debt instruments and equities shall be treated in the same way as options under point 5.

7.
Swaps shall be treated for interest‐rate risk purposes on the same basis as on‐balance‐sheet instruments. Thus, an interest‐rate swap under which an institution receives floating‐rate interest and pays fixed‐rate interest shall be treated as equivalent to a long position in a floating‐rate instrument of maturity equivalent to the period until the next interest fixing and a short position in a fixed‐rate instrument with the same maturity as the swap itself.

8.
When calculating the capital requirement for market risk of the party who assumes the credit risk (the ‘protection seller’), unless specified differently, the notional amount of the credit derivative contract must be used. For the purpose of calculating the specific risk charge, other than for total return swaps, the maturity of the credit derivative contract is applicable instead of the maturity of the obligation. Positions are determined as follows:(i)A total return swap creates a long position in the general market risk of the reference obligation and a short position in the general market risk of a government bond with a maturity equivalent to the period until the next interest fixing and which is assigned a 0 % risk weight under Annex VI of Directive 2006/48/EC. It also creates a long position in the specific risk of the reference obligation.(ii)A credit default swap does not create a position for general market risk. For the purposes of specific risk, the institution must record a synthetic long position in an obligation of the reference entity, unless the derivative is rated externally and meets the conditions for a qualifying debt item, in which case a long position in the derivative is recorded. If premium or interest payments are due under the product, these cash flows must be represented as notional positions in government bonds.(iii)A single name credit linked note creates a long position in the general market risk of the note itself, as an interest rate product. For the purpose of specific risk, a synthetic long position is created in an obligation of the reference entity. An additional long position is created in the issuer of the note. Where the credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.(iv)In addition to a long position in the specific risk of the issuer of the note, a multiple name credit linked note providing proportional protection creates a position in each reference entity, with the total notional amount of the contract assigned across the positions according to the proportion of the total notional amount that each exposure to a reference entity represents. Where more than one obligation of a reference entity can be selected, the obligation with the highest risk weighting determines the specific risk.Where a multiple name credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.(v)A first-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity. If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, the maximum payment amount may be taken as the capital requirement for specific risk.A second-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity less one (that with the lowest specific risk capital requirement). If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, this amount may be taken as the capital requirement for specific risk.If a first or second-asset to default derivative is externally rated and meets the conditions for a qualifying debt item, then the protection seller need only calculate one specific risk charge reflecting the rating of the derivative.
(i)
A total return swap creates a long position in the general market risk of the reference obligation and a short position in the general market risk of a government bond with a maturity equivalent to the period until the next interest fixing and which is assigned a 0 % risk weight under Annex VI of Directive 2006/48/EC. It also creates a long position in the specific risk of the reference obligation.
(ii)
A credit default swap does not create a position for general market risk. For the purposes of specific risk, the institution must record a synthetic long position in an obligation of the reference entity, unless the derivative is rated externally and meets the conditions for a qualifying debt item, in which case a long position in the derivative is recorded. If premium or interest payments are due under the product, these cash flows must be represented as notional positions in government bonds.
(iii)
A single name credit linked note creates a long position in the general market risk of the note itself, as an interest rate product. For the purpose of specific risk, a synthetic long position is created in an obligation of the reference entity. An additional long position is created in the issuer of the note. Where the credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.
(iv)
In addition to a long position in the specific risk of the issuer of the note, a multiple name credit linked note providing proportional protection creates a position in each reference entity, with the total notional amount of the contract assigned across the positions according to the proportion of the total notional amount that each exposure to a reference entity represents. Where more than one obligation of a reference entity can be selected, the obligation with the highest risk weighting determines the specific risk.Where a multiple name credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.
(v)
A first-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity. If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, the maximum payment amount may be taken as the capital requirement for specific risk.A second-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity less one (that with the lowest specific risk capital requirement). If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, this amount may be taken as the capital requirement for specific risk.If a first or second-asset to default derivative is externally rated and meets the conditions for a qualifying debt item, then the protection seller need only calculate one specific risk charge reflecting the rating of the derivative.

(i)
A total return swap creates a long position in the general market risk of the reference obligation and a short position in the general market risk of a government bond with a maturity equivalent to the period until the next interest fixing and which is assigned a 0 % risk weight under Annex VI of Directive 2006/48/EC. It also creates a long position in the specific risk of the reference obligation.

(ii)
A credit default swap does not create a position for general market risk. For the purposes of specific risk, the institution must record a synthetic long position in an obligation of the reference entity, unless the derivative is rated externally and meets the conditions for a qualifying debt item, in which case a long position in the derivative is recorded. If premium or interest payments are due under the product, these cash flows must be represented as notional positions in government bonds.

(iii)
A single name credit linked note creates a long position in the general market risk of the note itself, as an interest rate product. For the purpose of specific risk, a synthetic long position is created in an obligation of the reference entity. An additional long position is created in the issuer of the note. Where the credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.

(iv)
In addition to a long position in the specific risk of the issuer of the note, a multiple name credit linked note providing proportional protection creates a position in each reference entity, with the total notional amount of the contract assigned across the positions according to the proportion of the total notional amount that each exposure to a reference entity represents. Where more than one obligation of a reference entity can be selected, the obligation with the highest risk weighting determines the specific risk.Where a multiple name credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.

(v)
A first-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity. If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, the maximum payment amount may be taken as the capital requirement for specific risk.A second-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity less one (that with the lowest specific risk capital requirement). If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, this amount may be taken as the capital requirement for specific risk.If a first or second-asset to default derivative is externally rated and meets the conditions for a qualifying debt item, then the protection seller need only calculate one specific risk charge reflecting the rating of the derivative.

(i)
A total return swap creates a long position in the general market risk of the reference obligation and a short position in the general market risk of a government bond with a maturity equivalent to the period until the next interest fixing and which is assigned a 0 % risk weight under Annex VI of Directive 2006/48/EC. It also creates a long position in the specific risk of the reference obligation.

(ii)
A credit default swap does not create a position for general market risk. For the purposes of specific risk, the institution must record a synthetic long position in an obligation of the reference entity, unless the derivative is rated externally and meets the conditions for a qualifying debt item, in which case a long position in the derivative is recorded. If premium or interest payments are due under the product, these cash flows must be represented as notional positions in government bonds.

(iii)
A single name credit linked note creates a long position in the general market risk of the note itself, as an interest rate product. For the purpose of specific risk, a synthetic long position is created in an obligation of the reference entity. An additional long position is created in the issuer of the note. Where the credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.

(iv)
In addition to a long position in the specific risk of the issuer of the note, a multiple name credit linked note providing proportional protection creates a position in each reference entity, with the total notional amount of the contract assigned across the positions according to the proportion of the total notional amount that each exposure to a reference entity represents. Where more than one obligation of a reference entity can be selected, the obligation with the highest risk weighting determines the specific risk.Where a multiple name credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.

(v)
A first-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity. If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, the maximum payment amount may be taken as the capital requirement for specific risk.A second-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity less one (that with the lowest specific risk capital requirement). If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, this amount may be taken as the capital requirement for specific risk.If a first or second-asset to default derivative is externally rated and meets the conditions for a qualifying debt item, then the protection seller need only calculate one specific risk charge reflecting the rating of the derivative.

9.
Institutions which mark to market and manage the interest‐rate risk on the derivative instruments covered in points 4 to 7 on a discounted‐cash‐flow basis may use sensitivity models to calculate the positions referred to in those points and may use them for any bond which is amortised over its residual life rather than via one final repayment of principal. Both the model and its use by the institution must be approved by the competent authorities. These models should generate positions which have the same sensitivity to interest‐rate changes as the underlying cash flows. This sensitivity must be assessed with reference to independent movements in sample rates across the yield curve, with at least one sensitivity point in each of the maturity bands set out in Table 2 of point 20. The positions shall be included in the calculation of capital requirements according to the provisions laid down in points 17 to 32.

10.
Institutions which do not use models under point 9 may, with the approval of the competent authorities, treat as fully offsetting any positions in derivative instruments covered in points 4 to 7 which meet the following conditions at least:(a)the positions are of the same value and denominated in the same currency;(b)the reference rate (for floating‐rate positions) or coupon (for fixed‐rate positions) is closely matched; and(c)the next interest‐fixing date or, for fixed coupon positions, residual maturity corresponds with the following limits:(i)less than one month hence: same day;(ii)between one month and one year hence: within seven days; and(iii)over one year hence: within 30 days.
(a)
the positions are of the same value and denominated in the same currency;
(b)
the reference rate (for floating‐rate positions) or coupon (for fixed‐rate positions) is closely matched; and
(c)
the next interest‐fixing date or, for fixed coupon positions, residual maturity corresponds with the following limits:(i)less than one month hence: same day;(ii)between one month and one year hence: within seven days; and(iii)over one year hence: within 30 days.
(i)
less than one month hence: same day;
(ii)
between one month and one year hence: within seven days; and
(iii)
over one year hence: within 30 days.

(a)
the positions are of the same value and denominated in the same currency;

(b)
the reference rate (for floating‐rate positions) or coupon (for fixed‐rate positions) is closely matched; and

(c)
the next interest‐fixing date or, for fixed coupon positions, residual maturity corresponds with the following limits:(i)less than one month hence: same day;(ii)between one month and one year hence: within seven days; and(iii)over one year hence: within 30 days.
(i)
less than one month hence: same day;
(ii)
between one month and one year hence: within seven days; and
(iii)
over one year hence: within 30 days.

(i)
less than one month hence: same day;

(ii)
between one month and one year hence: within seven days; and

(iii)
over one year hence: within 30 days.

(a)
the positions are of the same value and denominated in the same currency;

(b)
the reference rate (for floating‐rate positions) or coupon (for fixed‐rate positions) is closely matched; and

(c)
the next interest‐fixing date or, for fixed coupon positions, residual maturity corresponds with the following limits:(i)less than one month hence: same day;(ii)between one month and one year hence: within seven days; and(iii)over one year hence: within 30 days.
(i)
less than one month hence: same day;
(ii)
between one month and one year hence: within seven days; and
(iii)
over one year hence: within 30 days.

(i)
less than one month hence: same day;

(ii)
between one month and one year hence: within seven days; and

(iii)
over one year hence: within 30 days.

(i)
less than one month hence: same day;

(ii)
between one month and one year hence: within seven days; and

(iii)
over one year hence: within 30 days.

11.
The transferor of securities or guaranteed rights relating to title to securities in a repurchase agreement and the lender of securities in a securities lending shall include these securities in the calculation of its capital requirement under this Annex provided that such securities meet the criteria laid down in Article 11.

12.
The position risk on a traded debt instrument or equity (or debt or equity derivative) shall be divided into two components in order to calculate the capital required against it. The first shall be its specific‐risk component — this is the risk of a price change in the instrument concerned due to factors related to its issuer or, in the case of a derivative, the issuer of the underlying instrument. The second component shall cover its general risk — this is the risk of a price change in the instrument due (in the case of a traded debt instrument or debt derivative) to a change in the level of interest rates or (in the case of an equity or equity derivative) to a broad equity‐market movement unrelated to any specific attributes of individual securities.

13.
Net positions shall be classified according to the currency in which they are denominated and shall calculate the capital requirement for general and specific risk in each individual currency separately.

14.
The institution shall assign its net positions in the trading book, as calculated in accordance with point 1 to the appropriate categories in Table 1 on the basis of their issuer/obligor, external or internal credit assessment, and residual maturity, and then multiply them by the weightings shown in that table. It shall sum its weighted positions (regardless of whether they are long or short) in order to calculate its capital requirement against specific risk.Table 1CategoriesSpecific risk capital chargeDebt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional government or local authorities which would qualify for credit quality step 1 or which would receive a 0 % risk weight under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.0 %Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities which would qualify for credit quality step 2 or 3 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 28, Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Other qualifying items as defined in point 15.0,25  % (residual term to final maturity 6 months or less)1,00  % (residual term to final maturity greater than 6 and up to and including 24 months)1,60  % (residual term to final maturity exceeding 24 months)Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 4 or 5 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 26 of Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 3 or 4 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Exposures for which a credit assessment by a nominated ECAI is not available.8,00  %Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 5 or 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.12,00  %For institutions which apply the rules for the risk weighting of exposures under Articles 84 to 89 of Directive 2006/48/EC, to qualify for a credit quality step the obligor of the exposure shall have an internal rating with a PD equivalent to or lower than that associated with the appropriate credit quality step under the rules for the risk weighting of exposures to corporates under Articles 78 to 83 of that Directive.Instruments issued by a non-qualifying issuer shall receive a specific risk capital charge of 8 % or 12 % according to Table 1. Competent authorities may require institutions to apply a higher specific risk charge to such instruments and/or to disallow offsetting for the purposes of defining the extent of general market risk between such instruments and any other debt instruments.Securitisation exposures that would be subject to a deduction treatment as set out in Article 66(2) of Directive 2006/48/EC, or risk-weighted at 1,250 % as set out in Part 4 of Annex IX to that Directive, shall be subject to a capital charge that is no less than that set out under those treatments. Unrated liquidity facilities shall be subject to a capital charge that is no less than that set out in Part 4 of Annex IX to Directive 2006/48/EC.
Categories
Specific risk capital charge
Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional government or local authorities which would qualify for credit quality step 1 or which would receive a 0 % risk weight under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.
0 %
Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities which would qualify for credit quality step 2 or 3 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 28, Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Other qualifying items as defined in point 15.
0,25  % (residual term to final maturity 6 months or less)1,00  % (residual term to final maturity greater than 6 and up to and including 24 months)1,60  % (residual term to final maturity exceeding 24 months)
Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 4 or 5 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 26 of Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 3 or 4 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Exposures for which a credit assessment by a nominated ECAI is not available.
8,00  %
Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 5 or 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.
12,00  %

Categories
Specific risk capital charge

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional government or local authorities which would qualify for credit quality step 1 or which would receive a 0 % risk weight under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.
0 %

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities which would qualify for credit quality step 2 or 3 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 28, Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Other qualifying items as defined in point 15.
0,25  % (residual term to final maturity 6 months or less)1,00  % (residual term to final maturity greater than 6 and up to and including 24 months)1,60  % (residual term to final maturity exceeding 24 months)

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 4 or 5 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 26 of Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 3 or 4 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Exposures for which a credit assessment by a nominated ECAI is not available.
8,00  %

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 5 or 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.
12,00  %

Categories
Specific risk capital charge

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional government or local authorities which would qualify for credit quality step 1 or which would receive a 0 % risk weight under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.
0 %

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities which would qualify for credit quality step 2 or 3 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 28, Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Other qualifying items as defined in point 15.
0,25  % (residual term to final maturity 6 months or less)1,00  % (residual term to final maturity greater than 6 and up to and including 24 months)1,60  % (residual term to final maturity exceeding 24 months)

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 4 or 5 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 26 of Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 3 or 4 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Exposures for which a credit assessment by a nominated ECAI is not available.
8,00  %

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 5 or 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.
12,00  %

15.
For the purposes of point 14 qualifying items shall include:(a)long and short positions in assets qualifying for a credit quality step corresponding at least to investment grade in the mapping process described in Title V, Chapter 2, Section 3, Sub‐section 1 of Directive 2006/48/EC;(b)long and short positions in assets which, because of the solvency of the issuer, have a PD which is not higher than that of the assets referred to under (a), under the approach described in Title V, Chapter 2, Section 3, Sub‐section 2 of Directive 2006/48/EC;(c)long and short positions in assets for which a credit assessment by a nominated external credit assessment institution is not available and which meet the following conditions:(i)they are considered by the institutions concerned to be sufficiently liquid;(ii)their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and(iii)they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;(d)long and short positions in assets issued by institutions subject to the capital adequacy requirements set out in Directive 2006/48/EC which are considered by the institutions concerned to be sufficiently liquid and whose investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and(e)securities issued by institutions that are deemed to be of equivalent, or higher, credit quality than those associated with credit quality step 2 under the rules for the risk weighting of exposures to institutions set out in Articles 78 to 83 of Directive 2006/48/EC and that are subject to supervisory and regulatory arrangements comparable to those under this Directive.The manner in which the debt instruments are assessed shall be subject to scrutiny by the competent authorities, which shall overturn the judgment of the institution if they consider that the instruments concerned are subject to too high a degree of specific risk to be qualifying items.
(a)
long and short positions in assets qualifying for a credit quality step corresponding at least to investment grade in the mapping process described in Title V, Chapter 2, Section 3, Sub‐section 1 of Directive 2006/48/EC;
(b)
long and short positions in assets which, because of the solvency of the issuer, have a PD which is not higher than that of the assets referred to under (a), under the approach described in Title V, Chapter 2, Section 3, Sub‐section 2 of Directive 2006/48/EC;
(c)
long and short positions in assets for which a credit assessment by a nominated external credit assessment institution is not available and which meet the following conditions:(i)they are considered by the institutions concerned to be sufficiently liquid;(ii)their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and(iii)they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;
(i)
they are considered by the institutions concerned to be sufficiently liquid;
(ii)
their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and
(iii)
they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;
(d)
long and short positions in assets issued by institutions subject to the capital adequacy requirements set out in Directive 2006/48/EC which are considered by the institutions concerned to be sufficiently liquid and whose investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and
(e)
securities issued by institutions that are deemed to be of equivalent, or higher, credit quality than those associated with credit quality step 2 under the rules for the risk weighting of exposures to institutions set out in Articles 78 to 83 of Directive 2006/48/EC and that are subject to supervisory and regulatory arrangements comparable to those under this Directive.

(a)
long and short positions in assets qualifying for a credit quality step corresponding at least to investment grade in the mapping process described in Title V, Chapter 2, Section 3, Sub‐section 1 of Directive 2006/48/EC;

(b)
long and short positions in assets which, because of the solvency of the issuer, have a PD which is not higher than that of the assets referred to under (a), under the approach described in Title V, Chapter 2, Section 3, Sub‐section 2 of Directive 2006/48/EC;

(c)
long and short positions in assets for which a credit assessment by a nominated external credit assessment institution is not available and which meet the following conditions:(i)they are considered by the institutions concerned to be sufficiently liquid;(ii)their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and(iii)they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;
(i)
they are considered by the institutions concerned to be sufficiently liquid;
(ii)
their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and
(iii)
they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;

(i)
they are considered by the institutions concerned to be sufficiently liquid;

(ii)
their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and

(iii)
they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;

(d)
long and short positions in assets issued by institutions subject to the capital adequacy requirements set out in Directive 2006/48/EC which are considered by the institutions concerned to be sufficiently liquid and whose investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and

(e)
securities issued by institutions that are deemed to be of equivalent, or higher, credit quality than those associated with credit quality step 2 under the rules for the risk weighting of exposures to institutions set out in Articles 78 to 83 of Directive 2006/48/EC and that are subject to supervisory and regulatory arrangements comparable to those under this Directive.

(a)
long and short positions in assets qualifying for a credit quality step corresponding at least to investment grade in the mapping process described in Title V, Chapter 2, Section 3, Sub‐section 1 of Directive 2006/48/EC;

(b)
long and short positions in assets which, because of the solvency of the issuer, have a PD which is not higher than that of the assets referred to under (a), under the approach described in Title V, Chapter 2, Section 3, Sub‐section 2 of Directive 2006/48/EC;

(c)
long and short positions in assets for which a credit assessment by a nominated external credit assessment institution is not available and which meet the following conditions:(i)they are considered by the institutions concerned to be sufficiently liquid;(ii)their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and(iii)they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;
(i)
they are considered by the institutions concerned to be sufficiently liquid;
(ii)
their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and
(iii)
they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;

(i)
they are considered by the institutions concerned to be sufficiently liquid;

(ii)
their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and

(iii)
they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;

(i)
they are considered by the institutions concerned to be sufficiently liquid;

(ii)
their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and

(iii)
they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;

(d)
long and short positions in assets issued by institutions subject to the capital adequacy requirements set out in Directive 2006/48/EC which are considered by the institutions concerned to be sufficiently liquid and whose investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and

(e)
securities issued by institutions that are deemed to be of equivalent, or higher, credit quality than those associated with credit quality step 2 under the rules for the risk weighting of exposures to institutions set out in Articles 78 to 83 of Directive 2006/48/EC and that are subject to supervisory and regulatory arrangements comparable to those under this Directive.

16.
The competent authorities shall require the institution to apply the maximum weighting shown in Table 1 to point 14 to instruments that show a particular risk because of the insufficient solvency of the issuer.

17.
The procedure for calculating capital requirements against general risk involves two basic steps. First, all positions shall be weighted according to maturity (as explained in point 18), in order to compute the amount of capital required against them. Second, allowance shall be made for this requirement to be reduced when a weighted position is held alongside an opposite weighted position within the same maturity band. A reduction in the requirement shall also be allowed when the opposite weighted positions fall into different maturity bands, with the size of this reduction depending both on whether the two positions fall into the same zone, or not, and on the particular zones they fall into. There are three zones (groups of maturity bands) altogether.

18.
The institution shall assign its net positions to the appropriate maturity bands in column 2 or 3, as appropriate, in Table 2 in point 20. It shall do so on the basis of residual maturity in the case of fixed-rate instruments and on the basis of the period until the interest rate is next set in the case of instruments on which the interest rate is variable before final maturity. It shall also distinguish between debt instruments with a coupon of 3 % or more and those with a coupon of less than 3 % and thus allocate them to column 2 or column 3 in Table 2. It shall then multiply each of them by the weighing for the maturity band in question in column 4 in Table 2.

19.
It shall then work out the sum of the weighted long positions and the sum of the weighted short positions in each maturity band. The amount of the former which are matched by the latter in a given maturity band shall be the matched weighted position in that band, while the residual long or short position shall be the unmatched weighted position for the same band. The total of the matched weighted positions in all bands shall then be calculated.

20.
The institution shall compute the totals of the unmatched weighted long positions for the bands included in each of the zones in Table 2 in order to derive the unmatched weighted long position for each zone. Similarly, the sum of the unmatched weighted short positions for each band in a particular zone shall be summed to compute the unmatched weighted short position for that zone. That part of the unmatched weighted long position for a given zone that is matched by the unmatched weighted short position for the same zone shall be the matched weighted position for that zone. That part of the unmatched weighted long or unmatched weighted short position for a zone that cannot be thus matched shall be the unmatched weighted position for that zone.Table 2ZoneMaturity bandWeighting (in %)Assumed interest rate change (in %)Coupon of 3 % or moreCoupon of less than 3 %One0 ≤ 1 month0 ≤ 1 month0,00—> 1 ≤ 3 months> 1 ≤ 3 months0,201,00> 3 ≤ 6 months> 3 ≤ 6 months0,401,00> 6 ≤ 12 months> 6 ≤ 12 months0,701,00Two> 1 ≤ 2 years> 1,0  ≤ 1,9 years1,250,90> 2 ≤ 3 years> 1,9  ≤ 2,8 years1,750,80> 3 ≤ 4 years> 2,8  ≤ 3,6 years2,250,75Three> 4 ≤ 5 years> 3,6  ≤ 4,3 years2,750,75> 5 ≤ 7 years> 4,3  ≤ 5,7 years3,250,70> 7 ≤ 10 years> 5,7  ≤ 7,3 years3,750,65> 10 ≤ 15 years> 7,3  ≤ 9,3 years4,500,60> 15 ≤ 20 years> 9,3  ≤ 10,6 years5,250,60> 20 years> 10,6  ≤ 12,0 years6,000,60> 12,0  ≤ 20,0 years8,000,60> 20 years12,500,60
Zone
Maturity band
Weighting (in %)
Assumed interest rate change (in %)
Coupon of 3 % or more
Coupon of less than 3 %
One
0 ≤ 1 month
0 ≤ 1 month
0,00
—
> 1 ≤ 3 months
> 1 ≤ 3 months
0,20
1,00
> 3 ≤ 6 months
> 3 ≤ 6 months
0,40
1,00
> 6 ≤ 12 months
> 6 ≤ 12 months
0,70
1,00
Two
> 1 ≤ 2 years
> 1,0  ≤ 1,9 years
1,25
0,90
> 2 ≤ 3 years
> 1,9  ≤ 2,8 years
1,75
0,80
> 3 ≤ 4 years
> 2,8  ≤ 3,6 years
2,25
0,75
Three
> 4 ≤ 5 years
> 3,6  ≤ 4,3 years
2,75
0,75
> 5 ≤ 7 years
> 4,3  ≤ 5,7 years
3,25
0,70
> 7 ≤ 10 years
> 5,7  ≤ 7,3 years
3,75
0,65
> 10 ≤ 15 years
> 7,3  ≤ 9,3 years
4,50
0,60
> 15 ≤ 20 years
> 9,3  ≤ 10,6 years
5,25
0,60
> 20 years
> 10,6  ≤ 12,0 years
6,00
0,60

> 12,0  ≤ 20,0 years
8,00
0,60

> 20 years
12,50
0,60

Zone
Maturity band
Weighting (in %)
Assumed interest rate change (in %)

Coupon of 3 % or more
Coupon of less than 3 %

One
0 ≤ 1 month
0 ≤ 1 month
0,00
—

> 1 ≤ 3 months
> 1 ≤ 3 months
0,20
1,00

> 3 ≤ 6 months
> 3 ≤ 6 months
0,40
1,00

> 6 ≤ 12 months
> 6 ≤ 12 months
0,70
1,00

Two
> 1 ≤ 2 years
> 1,0  ≤ 1,9 years
1,25
0,90

> 2 ≤ 3 years
> 1,9  ≤ 2,8 years
1,75
0,80

> 3 ≤ 4 years
> 2,8  ≤ 3,6 years
2,25
0,75

Three
> 4 ≤ 5 years
> 3,6  ≤ 4,3 years
2,75
0,75

> 5 ≤ 7 years
> 4,3  ≤ 5,7 years
3,25
0,70

> 7 ≤ 10 years
> 5,7  ≤ 7,3 years
3,75
0,65

> 10 ≤ 15 years
> 7,3  ≤ 9,3 years
4,50
0,60

> 15 ≤ 20 years
> 9,3  ≤ 10,6 years
5,25
0,60

> 20 years
> 10,6  ≤ 12,0 years
6,00
0,60

> 12,0  ≤ 20,0 years
8,00
0,60

> 20 years
12,50
0,60

Zone
Maturity band
Weighting (in %)
Assumed interest rate change (in %)

Coupon of 3 % or more
Coupon of less than 3 %

One
0 ≤ 1 month
0 ≤ 1 month
0,00
—

> 1 ≤ 3 months
> 1 ≤ 3 months
0,20
1,00

> 3 ≤ 6 months
> 3 ≤ 6 months
0,40
1,00

> 6 ≤ 12 months
> 6 ≤ 12 months
0,70
1,00

Two
> 1 ≤ 2 years
> 1,0  ≤ 1,9 years
1,25
0,90

> 2 ≤ 3 years
> 1,9  ≤ 2,8 years
1,75
0,80

> 3 ≤ 4 years
> 2,8  ≤ 3,6 years
2,25
0,75

Three
> 4 ≤ 5 years
> 3,6  ≤ 4,3 years
2,75
0,75

> 5 ≤ 7 years
> 4,3  ≤ 5,7 years
3,25
0,70

> 7 ≤ 10 years
> 5,7  ≤ 7,3 years
3,75
0,65

> 10 ≤ 15 years
> 7,3  ≤ 9,3 years
4,50
0,60

> 15 ≤ 20 years
> 9,3  ≤ 10,6 years
5,25
0,60

> 20 years
> 10,6  ≤ 12,0 years
6,00
0,60

> 12,0  ≤ 20,0 years
8,00
0,60

> 20 years
12,50
0,60

21.
The amount of the unmatched weighted long (short) position in zone one which is matched by the unmatched weighted short (long) position in zone two shall then be computed. This shall be referred to in point 25 as the matched weighted position between zones one and two. The same calculation shall then be undertaken with regard to that part of the unmatched weighted position in zone two which is left over and the unmatched weighted position in zone three in order to calculate the matched weighted position between zones two and three.

22.
The institution may, if it wishes, reverse the order in point 21 so as to calculate the matched weighted position between zones two and three before calculating that position between zones one and two.

23.
The remainder of the unmatched weighted position in zone one shall then be matched with what remains of that for zone three after the latter's matching with zone two in order to derive the matched weighted position between zones one and three.

24.
Residual positions, following the three separate matching calculations in points 21, 22 and 23, shall be summed.

25.
The institution's capital requirement shall be calculated as the sum of:(a)10 % of the sum of the matched weighted positions in all maturity bands;(b)40 % of the matched weighted position in zone one;(c)30 % of the matched weighted position in zone two;(d)30 % of the matched weighted position in zone three;(e)40 % of the matched weighted position between zones one and two and between zones two and three (see point 21);(f)150 % of the matched weighted position between zones one and three; and(g)100 % of the residual unmatched weighted positions.
(a)
10 % of the sum of the matched weighted positions in all maturity bands;
(b)
40 % of the matched weighted position in zone one;
(c)
30 % of the matched weighted position in zone two;
(d)
30 % of the matched weighted position in zone three;
(e)
40 % of the matched weighted position between zones one and two and between zones two and three (see point 21);
(f)
150 % of the matched weighted position between zones one and three; and
(g)
100 % of the residual unmatched weighted positions.

(a)
10 % of the sum of the matched weighted positions in all maturity bands;

(b)
40 % of the matched weighted position in zone one;

(c)
30 % of the matched weighted position in zone two;

(d)
30 % of the matched weighted position in zone three;

(e)
40 % of the matched weighted position between zones one and two and between zones two and three (see point 21);

(f)
150 % of the matched weighted position between zones one and three; and

(g)
100 % of the residual unmatched weighted positions.

(a)
10 % of the sum of the matched weighted positions in all maturity bands;

(b)
40 % of the matched weighted position in zone one;

(c)
30 % of the matched weighted position in zone two;

(d)
30 % of the matched weighted position in zone three;

(e)
40 % of the matched weighted position between zones one and two and between zones two and three (see point 21);

(f)
150 % of the matched weighted position between zones one and three; and

(g)
100 % of the residual unmatched weighted positions.

26.
The competent authorities may allow institutions in general or on an individual basis to use a system for calculating the capital requirement for the general risk on traded debt instruments which reflects duration, instead of the system set out in points 17 to 25, provided that the institution does so on a consistent basis.

27.
Under a system referred to in point 26 the institution shall take the market value of each fixed‐rate debt instrument and thence calculate its yield to maturity, which is implied discount rate for that instrument. In the case of floating‐rate instruments, the institution shall take the market value of each instrument and thence calculate its yield on the assumption that the principal is due when the interest rate can next be changed.

28.
The institution shall then calculate the modified duration of each debt instrument on the basis of the following formula: modified duration = ((duration (D))/(1 + r)), where:where:R = yield to maturity (see point 25),Ct= cash payment in time t,M = total maturity (see point 25).

29.
The institution shall then allocate each debt instrument to the appropriate zone in Table 3. It shall do so on the basis of the modified duration of each instrument.Table 3ZoneModified duration(in years)Assumed interest (change in %)One> 0 ≤ 1,01,0Two> 1,0  ≤ 3,60,85Three> 3,60,7
Zone
Modified duration(in years)
Assumed interest (change in %)
One
> 0 ≤ 1,0
1,0
Two
> 1,0  ≤ 3,6
0,85
Three
> 3,6
0,7

Zone
Modified duration(in years)
Assumed interest (change in %)

One
> 0 ≤ 1,0
1,0

Two
> 1,0  ≤ 3,6
0,85

Three
> 3,6
0,7

Zone
Modified duration(in years)
Assumed interest (change in %)

One
> 0 ≤ 1,0
1,0

Two
> 1,0  ≤ 3,6
0,85

Three
> 3,6
0,7

30.
The institution shall then calculate the duration‐weighted position for each instrument by multiplying its market price by its modified duration and by the assumed interest‐rate change for an instrument with that particular modified duration (see column 3 in Table 3).

31.
The institution shall calculate its duration-weighted long and its duration-weighted short positions within each zone. The amount of the former which are matched by the latter within each zone shall be the matched duration‐weighted position for that zone.The institution shall then calculate the unmatched duration-weighted positions for each zone. It shall then follow the procedures laid down for unmatched weighted positions in points 21 to 24.

32.
The institution's capital requirement shall then be calculated as the sum of:(a)2 % of the matched duration-weighted position for each zone;(b)40 % of the matched duration-weighted positions between zones one and two and between zones two and three;(c)150 % of the matched duration-weighted position between zones one and three; and(d)100 % of the residual unmatched duration-weighted positions.
(a)
2 % of the matched duration-weighted position for each zone;
(b)
40 % of the matched duration-weighted positions between zones one and two and between zones two and three;
(c)
150 % of the matched duration-weighted position between zones one and three; and
(d)
100 % of the residual unmatched duration-weighted positions.

(a)
2 % of the matched duration-weighted position for each zone;

(b)
40 % of the matched duration-weighted positions between zones one and two and between zones two and three;

(c)
150 % of the matched duration-weighted position between zones one and three; and

(d)
100 % of the residual unmatched duration-weighted positions.

(a)
2 % of the matched duration-weighted position for each zone;

(b)
40 % of the matched duration-weighted positions between zones one and two and between zones two and three;

(c)
150 % of the matched duration-weighted position between zones one and three; and

(d)
100 % of the residual unmatched duration-weighted positions.

33.
The institution shall sum all its net long positions and all its net short positions in accordance with point 1. The sum of the two figures shall be its overall gross position. The difference between them shall be its overall net position.

34.
The institution shall sum all its net long positions and all its net short positions in accordance with point 1. It shall multiply its overall gross position by 4 % in order to calculate its capital requirement against specific risk.

35.
By derogation from point 34, the competent authorities may allow the capital requirement against specific risk to be 2 % rather than 4 % for those portfolios of equities that an institution holds which meet the following conditions:(a)the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;(b)the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and(c)no individual position shall comprise more than 5 % of the value of the institution's whole equity portfolio.For the purpose of point (c), the competent authorities may authorise individual positions of up to 10 % provided that the total of such positions does not exceed 50 % of the portfolio.
(a)
the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;
(b)
the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and
(c)
no individual position shall comprise more than 5 % of the value of the institution's whole equity portfolio.

(a)
the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;

(b)
the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and

(c)
no individual position shall comprise more than 5 % of the value of the institution's whole equity portfolio.

(a)
the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;

(b)
the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and

(c)
no individual position shall comprise more than 5 % of the value of the institution's whole equity portfolio.

36.
Its capital requirement against general risk shall be its overall net position multiplied by 8 %.

37.
Stock-index futures, the delta-weighted equivalents of options in stock-index futures and stock indices collectively referred to hereafter as ‘stock-index futures’, may be broken down into positions in each of their constituent equities. These positions may be treated as underlying positions in the equities in question, and may, subject to the approval of the competent authorities, be netted against opposite positions in the underlying equities themselves.

38.
The competent authorities shall ensure that any institution which has netted off its positions in one or more of the equities constituting a stock-index future against one or more positions in the stock‐index future itself has adequate capital to cover the risk of loss caused by the future's values not moving fully in line with that of its constituent equities; they shall also do this when an institution holds opposite positions in stock‐index futures which are not identical in respect of either their maturity or their composition or both.

39.
By derogation from points 37 and 38, stock-index futures which are exchange traded and — in the opinion of the competent authorities — represent broadly diversified indices shall attract a capital requirement against general risk of 8 %, but no capital requirement against specific risk. Such stock‐index futures shall be included in the calculation of the overall net position in point 33, but disregarded in the calculation of the overall gross position in the same point.

40.
If a stock-index future is not broken down into its underlying positions, it shall be treated as if it were an individual equity. However, the specific risk on this individual equity can be ignored if the stock-index future in question is exchange traded and, in the opinion of the competent authorities, represents a broadly diversified index.

41.
In the case of the underwriting of debt and equity instruments, the competent authorities may allow an institution to use the following procedure in calculating its capital requirements. Firstly, it shall calculate the net positions by deducting the underwriting positions which are subscribed or sub‐underwritten by third parties on the basis of formal agreements. Secondly, it shall reduce the net positions by the reduction factors in Table 4Table 4working day 0:100 %working day 1:90 %working days 2 to 3:75 %working day 4:50 %working day 5:25 %after working day 5:0 %.‘Working day zero’ shall be the working day on which the institution becomes unconditionally committed to accepting a known quantity of securities at an agreed price.Thirdly, it shall calculate its capital requirements using the reduced underwriting positions.The competent authorities shall ensure that the institution holds sufficient capital against the risk of loss which exists between the time of the initial commitment and working day 1.
working day 0:
100 %
working day 1:
90 %
working days 2 to 3:
75 %
working day 4:
50 %
working day 5:
25 %
after working day 5:
0 %.

working day 0:
100 %

working day 1:
90 %

working days 2 to 3:
75 %

working day 4:
50 %

working day 5:
25 %

after working day 5:
0 %.

working day 0:
100 %

working day 1:
90 %

working days 2 to 3:
75 %

working day 4:
50 %

working day 5:
25 %

after working day 5:
0 %.

42.
An allowance shall be given for protection provided by credit derivatives, in accordance with the principles set out in points 43 to 46.

43.
Full allowance shall be given when the value of two legs always move in the opposite direction and broadly to the same extent. This will be the case in the following situations:(a)the two legs consist of completely identical instruments; or(b)a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.In these situations, a specific risk capital charge should not be applied to either side of the position.
(a)
the two legs consist of completely identical instruments; or
(b)
a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.

(a)
the two legs consist of completely identical instruments; or

(b)
a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.

(a)
the two legs consist of completely identical instruments; or

(b)
a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.

44.
An 80 % offset will be applied when the value of two legs always move in the opposite direction and where there is an exact match in terms of the reference obligation, the maturity of both the reference obligation and the credit derivative, and the currency of the underlying exposure. In addition, key features of the credit derivative contract should not cause the price movement of the credit derivative to materially deviate from the price movements of the cash position. To the extent that the transaction transfers risk, an 80 % specific risk offset will be applied to the side of the transaction with the higher capital charge, while the specific risk requirements on the other side shall be zero.

45.
Partial allowance shall be given when the value of two legs usually move in the opposite direction. This would be the case in the following situations:(a)the position falls under point 43(b) but there is an asset mismatch between the reference obligation and the underlying exposure. However, the positions meet the following requirements:(i)the reference obligation ranks pari passu with or is junior to the underlying obligation; and(ii)the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;(b)the position falls under point 43(a) or point 44 but there is a currency or maturity mismatch between the credit protection and the underlying asset (currency mismatches should be included in the normal reporting foreign exchange risk under Annex III); or(c)the position falls under point 44 but there is an asset mismatch between the cash position and the credit derivative. However, the underlying asset is included in the (deliverable) obligations in the credit derivative documentation.In each of those situations, rather than adding the specific risk capital requirements for each side of the transaction, only the higher of the two capital requirements shall apply.
(a)
the position falls under point 43(b) but there is an asset mismatch between the reference obligation and the underlying exposure. However, the positions meet the following requirements:(i)the reference obligation ranks pari passu with or is junior to the underlying obligation; and(ii)the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;
(i)
the reference obligation ranks pari passu with or is junior to the underlying obligation; and
(ii)
the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;
(b)
the position falls under point 43(a) or point 44 but there is a currency or maturity mismatch between the credit protection and the underlying asset (currency mismatches should be included in the normal reporting foreign exchange risk under Annex III); or
(c)
the position falls under point 44 but there is an asset mismatch between the cash position and the credit derivative. However, the underlying asset is included in the (deliverable) obligations in the credit derivative documentation.

(a)
the position falls under point 43(b) but there is an asset mismatch between the reference obligation and the underlying exposure. However, the positions meet the following requirements:(i)the reference obligation ranks pari passu with or is junior to the underlying obligation; and(ii)the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;
(i)
the reference obligation ranks pari passu with or is junior to the underlying obligation; and
(ii)
the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;

(i)
the reference obligation ranks pari passu with or is junior to the underlying obligation; and

(ii)
the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;

(b)
the position falls under point 43(a) or point 44 but there is a currency or maturity mismatch between the credit protection and the underlying asset (currency mismatches should be included in the normal reporting foreign exchange risk under Annex III); or

(c)
the position falls under point 44 but there is an asset mismatch between the cash position and the credit derivative. However, the underlying asset is included in the (deliverable) obligations in the credit derivative documentation.

(a)
the position falls under point 43(b) but there is an asset mismatch between the reference obligation and the underlying exposure. However, the positions meet the following requirements:(i)the reference obligation ranks pari passu with or is junior to the underlying obligation; and(ii)the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;
(i)
the reference obligation ranks pari passu with or is junior to the underlying obligation; and
(ii)
the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;

(i)
the reference obligation ranks pari passu with or is junior to the underlying obligation; and

(ii)
the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;

(i)
the reference obligation ranks pari passu with or is junior to the underlying obligation; and

(ii)
the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;

(b)
the position falls under point 43(a) or point 44 but there is a currency or maturity mismatch between the credit protection and the underlying asset (currency mismatches should be included in the normal reporting foreign exchange risk under Annex III); or

(c)
the position falls under point 44 but there is an asset mismatch between the cash position and the credit derivative. However, the underlying asset is included in the (deliverable) obligations in the credit derivative documentation.

46.
In all situations not falling under points 43 to 45, a specific risk capital charge will be assessed against both sides of the positions.

47.
The capital requirements for positions in CIUs which meet the conditions specified in Article 11 for a trading book capital treatment shall be calculated in accordance with the methods set out in points 48 to 56.

48.
Without prejudice to other provisions in this section, positions in CIUs shall be subject to a capital requirement for position risk (specific and general) of 32 %. Without prejudice to the provisions of the fourth paragraph of point 2.1 of Annex III or the sixth paragraph of point 12 of Annex V (commodity risk) taken together with the fourth paragraph of point 2.1 of Annex III, where the modified gold treatment set out in those points is used, positions in CIUs shall be subject to a capital requirement for position risk (specific and general) and foreign-exchange risk of no more than 40 %.

49.
Institutions may determine the capital requirement for positions in CIUs which meet the criteria set out in point 51, by the methods set out in points 53 to 56.

50.
Unless noted otherwise, no netting is permitted between the underlying investments of a CIU and other positions held by the institution.

51.
The general eligibility criteria for using the methods in points 53 to 56, for CIUs issued by companies supervised or incorporated within the Community are that:(a)the CIU's prospectus or equivalent document shall include:(i)the categories of assets the CIU is authorised to invest in;(ii)if investment limits apply, the relative limits and the methodologies to calculate them;(iii)if leverage is allowed, the maximum level of leverage; and(iv)if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;(b)the business of the CIU shall be reported in half-yearly and annual reports to enable an assessment to be made of the assets and liabilities, income and operations over the reporting period;(c)the units/shares of the CIU are redeemable in cash, out of the undertaking's assets, on a daily basis at the request of the unit holder;(d)investments in the CIU shall be segregated from the assets of the CIU manager; and(e)there shall be adequate risk assessment of the CIU, by the investing institution.
(a)
the CIU's prospectus or equivalent document shall include:(i)the categories of assets the CIU is authorised to invest in;(ii)if investment limits apply, the relative limits and the methodologies to calculate them;(iii)if leverage is allowed, the maximum level of leverage; and(iv)if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;
(i)
the categories of assets the CIU is authorised to invest in;
(ii)
if investment limits apply, the relative limits and the methodologies to calculate them;
(iii)
if leverage is allowed, the maximum level of leverage; and
(iv)
if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;
(b)
the business of the CIU shall be reported in half-yearly and annual reports to enable an assessment to be made of the assets and liabilities, income and operations over the reporting period;
(c)
the units/shares of the CIU are redeemable in cash, out of the undertaking's assets, on a daily basis at the request of the unit holder;
(d)
investments in the CIU shall be segregated from the assets of the CIU manager; and
(e)
there shall be adequate risk assessment of the CIU, by the investing institution.

(a)
the CIU's prospectus or equivalent document shall include:(i)the categories of assets the CIU is authorised to invest in;(ii)if investment limits apply, the relative limits and the methodologies to calculate them;(iii)if leverage is allowed, the maximum level of leverage; and(iv)if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;
(i)
the categories of assets the CIU is authorised to invest in;
(ii)
if investment limits apply, the relative limits and the methodologies to calculate them;
(iii)
if leverage is allowed, the maximum level of leverage; and
(iv)
if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;

(i)
the categories of assets the CIU is authorised to invest in;

(ii)
if investment limits apply, the relative limits and the methodologies to calculate them;

(iii)
if leverage is allowed, the maximum level of leverage; and

(iv)
if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;

(b)
the business of the CIU shall be reported in half-yearly and annual reports to enable an assessment to be made of the assets and liabilities, income and operations over the reporting period;

(c)
the units/shares of the CIU are redeemable in cash, out of the undertaking's assets, on a daily basis at the request of the unit holder;

(d)
investments in the CIU shall be segregated from the assets of the CIU manager; and

(e)
there shall be adequate risk assessment of the CIU, by the investing institution.

(a)
the CIU's prospectus or equivalent document shall include:(i)the categories of assets the CIU is authorised to invest in;(ii)if investment limits apply, the relative limits and the methodologies to calculate them;(iii)if leverage is allowed, the maximum level of leverage; and(iv)if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;
(i)
the categories of assets the CIU is authorised to invest in;
(ii)
if investment limits apply, the relative limits and the methodologies to calculate them;
(iii)
if leverage is allowed, the maximum level of leverage; and
(iv)
if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;

(i)
the categories of assets the CIU is authorised to invest in;

(ii)
if investment limits apply, the relative limits and the methodologies to calculate them;

(iii)
if leverage is allowed, the maximum level of leverage; and

(iv)
if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;

(i)
the categories of assets the CIU is authorised to invest in;

(ii)
if investment limits apply, the relative limits and the methodologies to calculate them;

(iii)
if leverage is allowed, the maximum level of leverage; and

(iv)
if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;

(b)
the business of the CIU shall be reported in half-yearly and annual reports to enable an assessment to be made of the assets and liabilities, income and operations over the reporting period;

(c)
the units/shares of the CIU are redeemable in cash, out of the undertaking's assets, on a daily basis at the request of the unit holder;

(d)
investments in the CIU shall be segregated from the assets of the CIU manager; and

(e)
there shall be adequate risk assessment of the CIU, by the investing institution.

52.
Third country CIUs may be eligible if the requirements in points (a) to (e) of point 51 are met, subject to the approval of the institution's competent authority.

53.
Where the institution is aware of the underlying investments of the CIU on a daily basis, the institution may look through to those underlying investments in order to calculate the capital requirements for position risk (general and specific) for those positions in accordance with the methods set out in this Annex or, if permission has been granted, in accordance with the methods set out in Annex V. Under this approach, positions in CIUs shall be treated as positions in the underlying investments of the CIU. Netting is permitted between positions in the underlying investments of the CIU and other positions held by the institution, as long as the institution holds a sufficient quantity of units to allow for redemption/creation in exchange for the underlying investments.

54.
Institutions may calculate the capital requirements for position risk (general and specific) for positions in CIUs in accordance with the methods set out in this Annex or, if permission has been granted, in accordance with the methods set out in Annex V, to assumed positions representing those necessary to replicate the composition and performance of the externally generated index or fixed basket of equities or debt securities referred to in (a), subject to the following conditions:(a)the purpose of the CIU's mandate is to replicate the composition and performance of an externally generated index or fixed basket of equities or debt securities; and(b)a minimum correlation of 0.9 between daily price movements of the CIU and the index or basket of equities or debt securities it tracks can be clearly established over a minimum period of six months. ‘Correlation’ in this context means the correlation coefficient between daily returns on the CIU and the index or basket of equities or debt securities it tracks.
(a)
the purpose of the CIU's mandate is to replicate the composition and performance of an externally generated index or fixed basket of equities or debt securities; and
(b)
a minimum correlation of 0.9 between daily price movements of the CIU and the index or basket of equities or debt securities it tracks can be clearly established over a minimum period of six months. ‘Correlation’ in this context means the correlation coefficient between daily returns on the CIU and the index or basket of equities or debt securities it tracks.

(a)
the purpose of the CIU's mandate is to replicate the composition and performance of an externally generated index or fixed basket of equities or debt securities; and

(b)
a minimum correlation of 0.9 between daily price movements of the CIU and the index or basket of equities or debt securities it tracks can be clearly established over a minimum period of six months. ‘Correlation’ in this context means the correlation coefficient between daily returns on the CIU and the index or basket of equities or debt securities it tracks.

(a)
the purpose of the CIU's mandate is to replicate the composition and performance of an externally generated index or fixed basket of equities or debt securities; and

(b)
a minimum correlation of 0.9 between daily price movements of the CIU and the index or basket of equities or debt securities it tracks can be clearly established over a minimum period of six months. ‘Correlation’ in this context means the correlation coefficient between daily returns on the CIU and the index or basket of equities or debt securities it tracks.

55.
Where the institution is not aware of the underlying investments of the CIU on a daily basis, the institution may calculate the capital requirements for position risk (general and specific) in accordance with the methods set out in this Annex, subject to the following conditions:(a)it will be assumed that the CIU first invests to the maximum extent allowed under its mandate in the asset classes attracting the highest capital requirement for position risk (general and specific), and then continues making investments in descending order until the maximum total investment limit is reached. The position in the CIU will be treated as a direct holding in the assumed position;(b)institutions shall take account of the maximum indirect exposure that they could achieve by taking leveraged positions through the CIU when calculating their capital requirement for position risk, by proportionally increasing the position in the CIU up to the maximum exposure to the underlying investment items resulting from the mandate; and(c)should the capital requirement for position risk (general and specific) according to this point exceed that set out in point 48, the capital requirement shall be capped at that level.
(a)
it will be assumed that the CIU first invests to the maximum extent allowed under its mandate in the asset classes attracting the highest capital requirement for position risk (general and specific), and then continues making investments in descending order until the maximum total investment limit is reached. The position in the CIU will be treated as a direct holding in the assumed position;
(b)
institutions shall take account of the maximum indirect exposure that they could achieve by taking leveraged positions through the CIU when calculating their capital requirement for position risk, by proportionally increasing the position in the CIU up to the maximum exposure to the underlying investment items resulting from the mandate; and
(c)
should the capital requirement for position risk (general and specific) according to this point exceed that set out in point 48, the capital requirement shall be capped at that level.

(a)
it will be assumed that the CIU first invests to the maximum extent allowed under its mandate in the asset classes attracting the highest capital requirement for position risk (general and specific), and then continues making investments in descending order until the maximum total investment limit is reached. The position in the CIU will be treated as a direct holding in the assumed position;

(b)
institutions shall take account of the maximum indirect exposure that they could achieve by taking leveraged positions through the CIU when calculating their capital requirement for position risk, by proportionally increasing the position in the CIU up to the maximum exposure to the underlying investment items resulting from the mandate; and

(c)
should the capital requirement for position risk (general and specific) according to this point exceed that set out in point 48, the capital requirement shall be capped at that level.

(a)
it will be assumed that the CIU first invests to the maximum extent allowed under its mandate in the asset classes attracting the highest capital requirement for position risk (general and specific), and then continues making investments in descending order until the maximum total investment limit is reached. The position in the CIU will be treated as a direct holding in the assumed position;

(b)
institutions shall take account of the maximum indirect exposure that they could achieve by taking leveraged positions through the CIU when calculating their capital requirement for position risk, by proportionally increasing the position in the CIU up to the maximum exposure to the underlying investment items resulting from the mandate; and

(c)
should the capital requirement for position risk (general and specific) according to this point exceed that set out in point 48, the capital requirement shall be capped at that level.

56.
Institutions may rely on a third party to calculate and report capital requirements for position risk (general and specific) for positions in CIUs falling under points 53 and 55, in accordance with the methods set out in this Annex, provided that the correctness of the calculation and the report is adequately ensured.

1.
In the case of transactions in which debt instruments, equities, foreign currencies and commodities (excluding repurchase and reverse repurchase agreements and securities or commodities lending and securities or commodities borrowing) are unsettled after their due delivery dates, an institution must calculate the price difference to which it is exposed. This is the difference between the agreed settlement price for the debt instrument, equity, foreign currency or commodity in question and its current market value, where the difference could involve a loss for the institution. It must multiply this difference by the appropriate factor in column A of Table 1 in order to calculate its capital requirement.Table 1Number of working days after due settlement date( %)5 — 15816 — 305031 — 457546 or more100
Number of working days after due settlement date
( %)
5 — 15
8
16 — 30
50
31 — 45
75
46 or more
100

Number of working days after due settlement date
( %)

5 — 15
8

16 — 30
50

31 — 45
75

46 or more
100

Number of working days after due settlement date
( %)

5 — 15
8

16 — 30
50

31 — 45
75

46 or more
100

2.
An institution shall be required to hold own funds, as set out in Table 2, if:(a)it has paid for securities, foreign currencies or commodities before receiving them or it has delivered securities, foreign currencies or commodities before receiving payment for them; and(b)in the case of cross-border transactions, one day or more has elapsed since it made that payment or delivery.Table 2Capital treatment for free deliveriesTransaction TypeUp to first contractual payment or delivery legFrom first contractual payment or delivery leg up to four days after second contractual payment or delivery legFrom 5 business days post second contractual payment or delivery leg until extinction of the transactionFree deliveryNo capital chargeTreat as an exposureDeduct value transferred plus current positive exposure from own funds
(a)
it has paid for securities, foreign currencies or commodities before receiving them or it has delivered securities, foreign currencies or commodities before receiving payment for them; and
(b)
in the case of cross-border transactions, one day or more has elapsed since it made that payment or delivery.Table 2Capital treatment for free deliveriesTransaction TypeUp to first contractual payment or delivery legFrom first contractual payment or delivery leg up to four days after second contractual payment or delivery legFrom 5 business days post second contractual payment or delivery leg until extinction of the transactionFree deliveryNo capital chargeTreat as an exposureDeduct value transferred plus current positive exposure from own funds
Transaction Type
Up to first contractual payment or delivery leg
From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg
From 5 business days post second contractual payment or delivery leg until extinction of the transaction
Free delivery
No capital charge
Treat as an exposure
Deduct value transferred plus current positive exposure from own funds

(a)
it has paid for securities, foreign currencies or commodities before receiving them or it has delivered securities, foreign currencies or commodities before receiving payment for them; and

(b)
in the case of cross-border transactions, one day or more has elapsed since it made that payment or delivery.Table 2Capital treatment for free deliveriesTransaction TypeUp to first contractual payment or delivery legFrom first contractual payment or delivery leg up to four days after second contractual payment or delivery legFrom 5 business days post second contractual payment or delivery leg until extinction of the transactionFree deliveryNo capital chargeTreat as an exposureDeduct value transferred plus current positive exposure from own funds
Transaction Type
Up to first contractual payment or delivery leg
From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg
From 5 business days post second contractual payment or delivery leg until extinction of the transaction
Free delivery
No capital charge
Treat as an exposure
Deduct value transferred plus current positive exposure from own funds

Transaction Type
Up to first contractual payment or delivery leg
From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg
From 5 business days post second contractual payment or delivery leg until extinction of the transaction

Free delivery
No capital charge
Treat as an exposure
Deduct value transferred plus current positive exposure from own funds

(a)
it has paid for securities, foreign currencies or commodities before receiving them or it has delivered securities, foreign currencies or commodities before receiving payment for them; and

(b)
in the case of cross-border transactions, one day or more has elapsed since it made that payment or delivery.Table 2Capital treatment for free deliveriesTransaction TypeUp to first contractual payment or delivery legFrom first contractual payment or delivery leg up to four days after second contractual payment or delivery legFrom 5 business days post second contractual payment or delivery leg until extinction of the transactionFree deliveryNo capital chargeTreat as an exposureDeduct value transferred plus current positive exposure from own funds
Transaction Type
Up to first contractual payment or delivery leg
From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg
From 5 business days post second contractual payment or delivery leg until extinction of the transaction
Free delivery
No capital charge
Treat as an exposure
Deduct value transferred plus current positive exposure from own funds

Transaction Type
Up to first contractual payment or delivery leg
From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg
From 5 business days post second contractual payment or delivery leg until extinction of the transaction

Free delivery
No capital charge
Treat as an exposure
Deduct value transferred plus current positive exposure from own funds

Transaction Type
Up to first contractual payment or delivery leg
From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg
From 5 business days post second contractual payment or delivery leg until extinction of the transaction

Free delivery
No capital charge
Treat as an exposure
Deduct value transferred plus current positive exposure from own funds

3.
In applying a risk weight to free delivery exposures treated according to column 3 of Table 2, institutions using the approach set out in Articles 84 to 89 of Directive 2006/48/EC, may assign PDs to counterparties, for which they have no other non‐trading book exposure, on the basis of the counterparty's external rating. Institutions using own estimates of loss given defaults (‘LGDs’) may apply the LGD set out in point 8 of Part 2 of Annex VII to Directive 2006/48/EC to free delivery exposures treated according to column 3 of Table 2 provided that they apply it to all such exposures. Alternatively, institutions using the approach set out in Articles 84 to 89 of Directive 2006/48/EC may apply the risk weights, as set out in Articles 78 to 83 of that Directive provided that they apply them to all such exposures or may apply a 100 % risk weight to all such exposures.If the amount of positive exposure resulting from free delivery transactions is not material, institutions may apply a risk weight of 100 % to these exposures.

4.
In cases of a system wide failure of a settlement or clearing system, competent authorities may waive the capital requirements calculated as set out in points 1 and 2 until the situation is rectified. In this case, the failure of a counterparty to settle a trade shall not be deemed a default for purposes of credit risk.

5.
An institution shall be required to hold capital against the CCR arising from exposures due to the following:(a)OTC derivative instruments and credit derivatives;(b)Repurchase agreements, reverse repurchase agreements, securities or commodities lending or borrowing transactions based on securities or commodities included in the trading book;(c)margin lending transactions based on securities or commodities; and(d)long settlement transactions.
(a)
OTC derivative instruments and credit derivatives;
(b)
Repurchase agreements, reverse repurchase agreements, securities or commodities lending or borrowing transactions based on securities or commodities included in the trading book;
(c)
margin lending transactions based on securities or commodities; and
(d)
long settlement transactions.

(a)
OTC derivative instruments and credit derivatives;

(b)
Repurchase agreements, reverse repurchase agreements, securities or commodities lending or borrowing transactions based on securities or commodities included in the trading book;

(c)
margin lending transactions based on securities or commodities; and

(d)
long settlement transactions.

(a)
OTC derivative instruments and credit derivatives;

(b)
Repurchase agreements, reverse repurchase agreements, securities or commodities lending or borrowing transactions based on securities or commodities included in the trading book;

(c)
margin lending transactions based on securities or commodities; and

(d)
long settlement transactions.

6.
Subject to the provisions of points 7 to 10, exposure values and risk‐weighted exposure amounts for such exposures shall be calculated in accordance with the provisions of Section 3 of Chapter 2 of Title V of Directive 2006/48/EC with references to ‘credit institutions’ in that Section interpreted as references to ‘institutions’, references to ‘parent credit institutions’ interpreted as references to ‘parent institutions’, and with concomitant terms interpreted accordingly.

7.
For the purposes of point 6:Annex IV to Directive 2006/48/EC shall be considered to be amended to include point 8 of Section C of Annex I to Directive 2004/39/EC;Annex III to Directive 2006/48/EC shall be considered to be amended to include, after the footnotes of Table 1, the following text:‘To obtain a figure for potential future credit exposure in the case of total return swap credit derivatives and credit default swap credit derivatives, the nominal amount of the instrument is multiplied by the following percentages:—where the reference obligation is one that if it gave rise to a direct exposure of the institution it would be a qualifying item for the purposes of Annex I: 5 %; and—where the reference obligation is one that if it gave rise to a direct exposure of the institution it would not be a qualifying item for the purposes of Annex I: 10 %.However, in the case of a credit default swap, an institution the exposure of which arising from the swap represents a long position in the underlying shall be permitted to use a figure of 0 % for potential future credit exposure, unless the credit default swap is subject to closeout upon the insolvency of the entity the exposure of which arising from the swap represents a short position in the underlying, even though the underlying has not defaulted.’.Where the credit derivative provides protection in relation to ‘nthto default’ amongst a number of underlying obligations, which of the percentage figures prescribed above is to be applied is determined by the obligation with the nthlowest credit quality determined by whether it is one that if incurred by the institution would be a qualifying item for the purposes of Annex I.
—
where the reference obligation is one that if it gave rise to a direct exposure of the institution it would be a qualifying item for the purposes of Annex I: 5 %; and
—
where the reference obligation is one that if it gave rise to a direct exposure of the institution it would not be a qualifying item for the purposes of Annex I: 10 %.

—
where the reference obligation is one that if it gave rise to a direct exposure of the institution it would be a qualifying item for the purposes of Annex I: 5 %; and

—
where the reference obligation is one that if it gave rise to a direct exposure of the institution it would not be a qualifying item for the purposes of Annex I: 10 %.

—
where the reference obligation is one that if it gave rise to a direct exposure of the institution it would be a qualifying item for the purposes of Annex I: 5 %; and

—
where the reference obligation is one that if it gave rise to a direct exposure of the institution it would not be a qualifying item for the purposes of Annex I: 10 %.

8.
For the purposes of point 6 , in calculating risk‐weighted exposure amounts institutions shall not be permitted to use the Financial Collateral Simple Method, set out in points 24 to 29, Part 3 , Annex VIII to Directive 2006/48/EC, for the recognition of the effects of financial collateral.

9.
For the purposes of point 6 , in the case of repurchase transactions and securities or commodities lending or borrowing transactions booked in the trading book, all financial instruments and commodities that are eligible to be included in the trading book may be recognised as eligible collateral. For exposures due to OTC derivative instruments booked in the trading book, commodities that are eligible to be included in the trading book may also be recognised as eligible collateral. For the purposes of calculating volatility adjustments where such financial instruments or commodities which are not eligible under Annex VIII of Directive 2006/48/EC are lent, sold or provided, or borrowed, purchased or received by way of collateral or otherwise under such a transaction, and the institution is using the Supervisory volatility adjustments approach under Part 3 of Annex VIII to that Directive, such instruments and commodities shall be treated in the same way as non‐main index equities listed on a recognised exchange.Where institutions are using the Own Estimates of Volatility adjustments approach under Part 3 of Annex VIII to Directive 2006/48/EC in respect of financial instruments or commodities which are not eligible under Annex VIII of that Directive, volatility adjustments must be calculated for each individual item. Where institutions are using the Internal Models Approach defined in Part 3 of Annex VIII to Directive 2006/48/EC, they may also apply this approach in the trading book.

10.
For the purposes of point 6, in relation to the recognition of master netting agreements covering repurchase transactions and/or securities or commodities lending or borrowing transactions and/or other capital market‐driven transactions netting across positions in the trading book and the non‐trading book will only be recognised when the netted transactions fulfil the following conditions:(a)all transactions are marked to market daily; and(b)any items borrowed, purchased or received under the transactions may be recognised as eligible financial collateral under Title V, Chapter 2, Section 3, Subsection 3 of Directive 2006/48/EC without the application of point 9 of this Annex.
(a)
all transactions are marked to market daily; and
(b)
any items borrowed, purchased or received under the transactions may be recognised as eligible financial collateral under Title V, Chapter 2, Section 3, Subsection 3 of Directive 2006/48/EC without the application of point 9 of this Annex.

(a)
all transactions are marked to market daily; and

(b)
any items borrowed, purchased or received under the transactions may be recognised as eligible financial collateral under Title V, Chapter 2, Section 3, Subsection 3 of Directive 2006/48/EC without the application of point 9 of this Annex.

(a)
all transactions are marked to market daily; and

(b)
any items borrowed, purchased or received under the transactions may be recognised as eligible financial collateral under Title V, Chapter 2, Section 3, Subsection 3 of Directive 2006/48/EC without the application of point 9 of this Annex.

11.
Where a credit derivative included in the trading book forms part of an internal hedge and the credit protection is recognised under Directive 2006/48/EC, there shall be deemed not to be counterparty risk arising from the position in the credit derivative.

12.
The capital requirement shall be 8 % of the total risk‐weighted exposure amounts.

(a)
the net spot position (i.e. all asset items less all liability items, including accrued interest, in the currency in question or, for gold, the net spot position in gold);

(b)
the net forward position (i.e. all amounts to be received less all amounts to be paid under forward exchange and gold transactions, including currency and gold futures and the principal on currency swaps not included in the spot position);

(c)
irrevocable guarantees (and similar instruments) that are certain to be called and likely to be irrecoverable;

(d)
net future income/expenses not yet accrued but already fully hedged (at the discretion of the reporting institution and with the prior consent of the competent authorities, net future income/expenses not yet entered in accounting records but already fully hedged by forward foreign‐exchange transactions may be included here). Such discretion must be exercised on a consistent basis;

(e)
the net delta (or delta‐based) equivalent of the total book of foreign‐currency and gold options; and

(f)
the market value of other (i.e. non‐foreign-currency and non‐gold) options.

(a)
positions in different sub‐categories of commodities in cases where the sub‐categories are deliverable against each other; and

(b)
positions in similar commodities if they are close substitutes and if a minimum correlation of 0,9 between price movements can be clearly established over a minimum period of one year.

8.
Commodity futures and forward commitments to buy or sell individual commodities shall be incorporated in the measurement system as notional amounts in terms of the standard unit of measurement and assigned a maturity with reference to expiry date.The competent authorities may allow the capital requirement for an exchange‐traded future to be equal to the margin required by the exchange if they are fully satisfied that it provides an accurate measure of the risk associated with the future and that it is at least equal to the capital requirement for a future that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V.The competent authorities may also allow the capital requirement for an OTC commodity derivatives contract of the type referred to in this point cleared by a clearing house recognised by them to be equal to the margin required by the clearing house if they are fully satisfied that it provides an accurate measure of the risk associated with the derivatives contract and that it is at least equal to the capital requirement for the contract in question that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V.

9.
Commodity swaps where one side of the transaction is a fixed price and the other the current market price shall be incorporated into the maturity ladder approach, as set out in points 13 to 18, as a series of positions equal to the notional amount of the contract, with one position corresponding with each payment on the swap and slotted into the maturity ladder set out in Table 1 to point 13. The positions would be long positions if the institution is paying a fixed price and receiving a floating price and short positions if the institution is receiving a fixed price and paying a floating price.Commodity swaps where the sides of the transaction are in different commodities are to be reported in the relevant reporting ladder for the maturity ladder approach.

10.
Options on commodities or on commodity derivatives shall be treated as if they were positions equal in value to the amount of the underlying to which the option refers, multiplied by its delta for the purposes of this Annex. The latter positions may be netted off against any offsetting positions in the identical underlying commodity or commodity derivative. The delta used shall be that of the exchange concerned, that calculated by the competent authorities or, where none of those is available, or for OTC options, that calculated by the institution itself, subject to the competent authorities being satisfied that the model used by the institution is reasonable.However, the competent authorities may also prescribe that institutions calculate their deltas using a methodology specified by the competent authorities.Other risks, apart from the delta risk, associated with commodity options shall be safeguarded against.The competent authorities may allow the requirement for a written exchange‐traded commodity option to be equal to the margin required by the exchange if they are fully satisfied that it provides an accurate measure of the risk associated with the option and that it is at least equal to the capital requirement against an option that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V.The competent authorities may also allow the capital requirement for an OTC commodity option cleared by a clearing house recognised by them to be equal to the margin required by the clearing house if they are fully satisfied that it provides an accurate measure of the risk associated with the option and that it is at least equal to the capital requirement for an OTC option that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V.In addition they may allow the requirement on a bought exchange‐traded or OTC commodity option to be the same as that for the commodity underlying it, subject to the constraint that the resulting requirement does not exceed the market value of the option. The requirement for a written OTC option shall be set in relation to the commodity underlying it.

11.
Warrants relating to commodities shall be treated in the same way as commodity options referred to in point 10.

12.
The transferor of commodities or guaranteed rights relating to title to commodities in a repurchase agreement and the lender of commodities in a commodities lending agreement shall include such commodities in the calculation of its capital requirement under this Annex.

13.
The institution shall use a separate maturity ladder in line with Table 1 for each commodity. All positions in that commodity and all positions which are regarded as positions in the same commodity pursuant to point 7 shall be assigned to the appropriate maturity bands. Physical stocks shall be assigned to the first maturity band.Table 1Maturity band(1)Spread rate (in %)(2)0 ≤ 1 month1,50> 1 ≤ 3 months1,50> 3 ≤ 6 months1,50> 6 ≤ 12 months1,50> 1 ≤ 2 years1,50> 2 ≤ 3 years1,50> 3 years1,50
Maturity band(1)
Spread rate (in %)(2)
0 ≤ 1 month
1,50
> 1 ≤ 3 months
1,50
> 3 ≤ 6 months
1,50
> 6 ≤ 12 months
1,50
> 1 ≤ 2 years
1,50
> 2 ≤ 3 years
1,50
> 3 years
1,50

Maturity band(1)
Spread rate (in %)(2)

0 ≤ 1 month
1,50

> 1 ≤ 3 months
1,50

> 3 ≤ 6 months
1,50

> 6 ≤ 12 months
1,50

> 1 ≤ 2 years
1,50

> 2 ≤ 3 years
1,50

> 3 years
1,50

Maturity band(1)
Spread rate (in %)(2)

0 ≤ 1 month
1,50

> 1 ≤ 3 months
1,50

> 3 ≤ 6 months
1,50

> 6 ≤ 12 months
1,50

> 1 ≤ 2 years
1,50

> 2 ≤ 3 years
1,50

> 3 years
1,50

14.
Competent authorities may allow positions which are, or are regarded pursuant to point 7 as, positions in the same commodity to be offset and assigned to the appropriate maturity bands on a net basis for the following:(a)positions in contracts maturing on the same date; and(b)positions in contracts maturing within 10 days of each other if the contracts are traded on markets which have daily delivery dates.
(a)
positions in contracts maturing on the same date; and
(b)
positions in contracts maturing within 10 days of each other if the contracts are traded on markets which have daily delivery dates.

(a)
positions in contracts maturing on the same date; and

(b)
positions in contracts maturing within 10 days of each other if the contracts are traded on markets which have daily delivery dates.

(a)
positions in contracts maturing on the same date; and

(b)
positions in contracts maturing within 10 days of each other if the contracts are traded on markets which have daily delivery dates.

15.
The institution shall then calculate the sum of the long positions and the sum of the short positions in each maturity band. The amount of the former (latter) which are matched by the latter (former) in a given maturity band shall be the matched positions in that band, while the residual long or short position shall be the unmatched position for the same band.

16.
That part of the unmatched long (short) position for a given maturity band that is matched by the unmatched short (long) position for a maturity band further out shall be the matched position between two maturity bands. That part of the unmatched long or unmatched short position that cannot be thus matched shall be the unmatched position.

17.
The institution's capital requirement for each commodity shall be calculated on the basis of the relevant maturity ladder as the sum of the following:(a)the sum of the matched long and short positions, multiplied by the appropriate spread rate as indicated in the second column of Table 1 to point 13 for each maturity band and by the spot price for the commodity;(b)the matched position between two maturity bands for each maturity band into which an unmatched position is carried forward, multiplied by 0,6 % (carry rate) and by the spot price for the commodity; and(c)the residual unmatched positions, multiplied by 15 % (outright rate) and by the spot price for the commodity.
(a)
the sum of the matched long and short positions, multiplied by the appropriate spread rate as indicated in the second column of Table 1 to point 13 for each maturity band and by the spot price for the commodity;
(b)
the matched position between two maturity bands for each maturity band into which an unmatched position is carried forward, multiplied by 0,6 % (carry rate) and by the spot price for the commodity; and
(c)
the residual unmatched positions, multiplied by 15 % (outright rate) and by the spot price for the commodity.

(a)
the sum of the matched long and short positions, multiplied by the appropriate spread rate as indicated in the second column of Table 1 to point 13 for each maturity band and by the spot price for the commodity;

(b)
the matched position between two maturity bands for each maturity band into which an unmatched position is carried forward, multiplied by 0,6 % (carry rate) and by the spot price for the commodity; and

(c)
the residual unmatched positions, multiplied by 15 % (outright rate) and by the spot price for the commodity.

(a)
the sum of the matched long and short positions, multiplied by the appropriate spread rate as indicated in the second column of Table 1 to point 13 for each maturity band and by the spot price for the commodity;

(b)
the matched position between two maturity bands for each maturity band into which an unmatched position is carried forward, multiplied by 0,6 % (carry rate) and by the spot price for the commodity; and

(c)
the residual unmatched positions, multiplied by 15 % (outright rate) and by the spot price for the commodity.

18.
The institution's overall capital requirement for commodities risk shall be calculated as the sum of the capital requirements calculated for each commodity according to point 17.

19.
The institution's capital requirement for each commodity shall be calculated as the sum of:(a)15 % of the net position, long or short, multiplied by the spot price for the commodity; and(b)3 % of the gross position, long plus short, multiplied by the spot price for the commodity.
(a)
15 % of the net position, long or short, multiplied by the spot price for the commodity; and
(b)
3 % of the gross position, long plus short, multiplied by the spot price for the commodity.

(a)
15 % of the net position, long or short, multiplied by the spot price for the commodity; and

(b)
3 % of the gross position, long plus short, multiplied by the spot price for the commodity.

(a)
15 % of the net position, long or short, multiplied by the spot price for the commodity; and

(b)
3 % of the gross position, long plus short, multiplied by the spot price for the commodity.

20.
The institution's overall capital requirement for commodities risk shall be calculated as the sum of the capital requirements calculated for each commodity according to point 19.

21.
Competent authorities may authorise institutions to use the minimum spread, carry and outright rates set out in the following table (Table 2) instead of those indicated in points 13, 14, 17 and 18 provided that the institutions, in the opinion of their competent authorities:(a)undertake significant commodities business;(b)have a diversified commodities portfolio; and(c)are not yet in a position to use internal models for the purpose of calculating the capital requirement on commodities risk in accordance with Annex V.Table 2Precious metals (except gold)Base metalsAgricultural products (softs)Other, including energy productsSpread rate ( %)1,01,21,51,5Carry rate ( %)0,30,50,60,6Outright rate ( %)8101215
(a)
undertake significant commodities business;
(b)
have a diversified commodities portfolio; and
(c)
are not yet in a position to use internal models for the purpose of calculating the capital requirement on commodities risk in accordance with Annex V.

Precious metals (except gold)
Base metals
Agricultural products (softs)
Other, including energy products
Spread rate ( %)
1,0
1,2
1,5
1,5
Carry rate ( %)
0,3
0,5
0,6
0,6
Outright rate ( %)
8
10
12
15

(a)
undertake significant commodities business;

(b)
have a diversified commodities portfolio; and

(c)
are not yet in a position to use internal models for the purpose of calculating the capital requirement on commodities risk in accordance with Annex V.

Precious metals (except gold)
Base metals
Agricultural products (softs)
Other, including energy products

Spread rate ( %)
1,0
1,2
1,5
1,5

Carry rate ( %)
0,3
0,5
0,6
0,6

Outright rate ( %)
8
10
12
15

(a)
undertake significant commodities business;

(b)
have a diversified commodities portfolio; and

(c)
are not yet in a position to use internal models for the purpose of calculating the capital requirement on commodities risk in accordance with Annex V.

Precious metals (except gold)
Base metals
Agricultural products (softs)
Other, including energy products

Spread rate ( %)
1,0
1,2
1,5
1,5

Carry rate ( %)
0,3
0,5
0,6
0,6

Outright rate ( %)
8
10
12
15

(a)
the internal risk‐measurement model is closely integrated into the daily risk‐management process of the institution and serves as the basis for reporting risk exposures to senior management of the institution;

(b)
the institution has a risk control unit that is independent from business trading units and reports directly to senior management. The unit must be responsible for designing and implementing the institution's risk‐management system. It shall produce and analyse daily reports on the output of the risk‐measurement model and on the appropriate measures to be taken in terms of trading limits. The unit shall also conduct the initial and on-going validation of the internal model;

(c)
the institution's board of directors and senior management are actively involved in the risk‐control process and the daily reports produced by the risk‐control unit are reviewed by a level of management with sufficient authority to enforce both reductions of positions taken by individual traders as well as in the institution's overall risk exposure;

(d)
the institution has sufficient numbers of staff skilled in the use of sophisticated models in the trading, risk‐control, audit and back‐office areas;

(e)
the institution has established procedures for monitoring and ensuring compliance with a documented set of internal policies and controls concerning the overall operation of the risk‐measurement system;

(f)
the institution's model has a proven track record of reasonable accuracy in measuring risks;

(g)
the institution frequently conducts a rigorous programme of stress testing and the results of these tests are reviewed by senior management and reflected in the policies and limits it sets.This process shall particularly address illiquidity of markets in stressed market conditions, concentration risk, one way markets, event and jump‐to‐default risks, non-linearity of products, deep out‐of‐the‐money positions, positions subject to the gapping of prices and other risks that may not be captured appropriately in the internal models. The shocks applied shall reflect the nature of the portfolios and the time it could take to hedge out or manage risks under severe market conditions; and

(h)
the institution must conduct, as part of its regular internal auditing process, an independent review of its risk‐measurement system.

(a)
the adequacy of the documentation of the risk‐management system and process and the organisation of the risk‐control unit;

(b)
the integration of market risk measures into daily risk management and the integrity of the management information system;

(c)
the process the institution employs for approving risk‐pricing models and valuation systems that are used by front and back‐office personnel;

(d)
the scope of market risks captured by the risk‐measurement model and the validation of any significant changes in the risk‐measurement process;

(e)
the accuracy and completeness of position data, the accuracy and appropriateness of volatility and correlation assumptions, and the accuracy of valuation and risk sensitivity calculations;

(f)
the verification process the institution employs to evaluate the consistency, timeliness and reliability of data sources used to run internal models, including the independence of such data sources; and

(g)
the verification process the institution uses to evaluate back‐testing that is conducted to assess the models' accuracy.

(a)
tests to demonstrate that any assumptions made within the internal model are appropriate and do not underestimate or overestimate the risk;

(b)
in addition to the regulatory back-testing programmes, institutions shall carry out their own internal model validation tests in relation to the risks and structures of their portfolios; and

(c)
the use of hypothetical portfolios to ensure that the internal model is able to account for particular structural features that may arise, for example material basis risks and concentration risk.

(a)
it explains the historical price variation in the portfolio;

(b)
it captures concentration in terms of magnitude and changes of composition of the portfolio;

(c)
it is robust to an adverse environment;

(d)
it is validated through back‐testing aimed at assessing whether specific risk is being accurately captured. If competent authorities allow this back‐testing to be performed on the basis of relevant sub‐portfolios, these must be chosen in a consistent manner;

(e)
it captures name-related basis risk, that is institutions shall demonstrate that the internal model is sensitive to material idiosyncratic differences between similar but not identical positions; and

(f)
it captures event risk.

—
where an institution is subject to event risk that is not reflected in its value‐at‐risk measure, because it is beyond the 10-day holding period and 99 percent confidence interval (low probability and high severity events), the institution shall ensure that the impact of such events is factored in to its internal capital assessment; and

—
the institution's internal model shall conservatively assess the risk arising from less liquid positions and positions with limited price transparency under realistic market scenarios. In addition, the internal model shall meet minimum data standards. Proxies shall be appropriately conservative and may be used only where available data is insufficient or is not reflective of the true volatility of a position or portfolio.

Number of overshootings
Plus-factor

Fewer than 5
0,00

5
0,40

6
0,50

7
0,65

8
0,75

9
0,85

10 or more
1,00

(a)
its previous day's value‐at‐risk measure according to the parameters specified in this Annex plus, where appropriate, the incremental default risk charge required under point 5; or

(b)
an average of the daily value‐at‐risk measures on each of the preceding 60 business days, multiplied by the factor mentioned in point 7, adjusted by the factor referred to in point 8 plus, where appropriate, the incremental default risk charge required under point 5.

(a)
at least daily calculation of the value‐at‐risk measure;

(b)
a 99th percentile, one‐tailed confidence interval;

(c)
a 10‐day equivalent holding period;

(d)
an effective historical observation period of at least one year except where a shorter observation period is justified by a significant upsurge in price volatility; and

(e)
three‐monthly data set updates.

Excess over the limits(on the basis of a percentage of own funds)
Factors

Up to 40 %
200 %

From 40 % to 60 %
300 %

From 60 % to 80 %
400 %

From 80 % to 100 %
500 %

From 100 % to 250 %
600 %

Over 250 %
900 %

1.
Positions/portfolios held with trading intent shall comply with the following requirements:(a)there must be a clearly documented trading strategy for the position/instrument or portfolios, approved by senior management, which shall include expected holding horizon;(b)there must be clearly defined policies and procedures for the active management of the position, which shall include the following:(i)positions entered into on a trading desk;(ii)position limits are set and monitored for appropriateness;(iii)dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;(iv)positions are reported to senior management as an integral part of the institution's risk management process; and(v)positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and(c)there must be clearly defined policy and procedures to monitor the position against the institution's trading strategy including the monitoring of turnover and stale positions in the institution's trading book.
(a)
there must be a clearly documented trading strategy for the position/instrument or portfolios, approved by senior management, which shall include expected holding horizon;
(b)
there must be clearly defined policies and procedures for the active management of the position, which shall include the following:(i)positions entered into on a trading desk;(ii)position limits are set and monitored for appropriateness;(iii)dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;(iv)positions are reported to senior management as an integral part of the institution's risk management process; and(v)positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and
(i)
positions entered into on a trading desk;
(ii)
position limits are set and monitored for appropriateness;
(iii)
dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;
(iv)
positions are reported to senior management as an integral part of the institution's risk management process; and
(v)
positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and
(c)
there must be clearly defined policy and procedures to monitor the position against the institution's trading strategy including the monitoring of turnover and stale positions in the institution's trading book.

(a)
there must be a clearly documented trading strategy for the position/instrument or portfolios, approved by senior management, which shall include expected holding horizon;

(b)
there must be clearly defined policies and procedures for the active management of the position, which shall include the following:(i)positions entered into on a trading desk;(ii)position limits are set and monitored for appropriateness;(iii)dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;(iv)positions are reported to senior management as an integral part of the institution's risk management process; and(v)positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and
(i)
positions entered into on a trading desk;
(ii)
position limits are set and monitored for appropriateness;
(iii)
dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;
(iv)
positions are reported to senior management as an integral part of the institution's risk management process; and
(v)
positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and

(i)
positions entered into on a trading desk;

(ii)
position limits are set and monitored for appropriateness;

(iii)
dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;

(iv)
positions are reported to senior management as an integral part of the institution's risk management process; and

(v)
positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and

(c)
there must be clearly defined policy and procedures to monitor the position against the institution's trading strategy including the monitoring of turnover and stale positions in the institution's trading book.

(a)
there must be a clearly documented trading strategy for the position/instrument or portfolios, approved by senior management, which shall include expected holding horizon;

(b)
there must be clearly defined policies and procedures for the active management of the position, which shall include the following:(i)positions entered into on a trading desk;(ii)position limits are set and monitored for appropriateness;(iii)dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;(iv)positions are reported to senior management as an integral part of the institution's risk management process; and(v)positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and
(i)
positions entered into on a trading desk;
(ii)
position limits are set and monitored for appropriateness;
(iii)
dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;
(iv)
positions are reported to senior management as an integral part of the institution's risk management process; and
(v)
positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and

(i)
positions entered into on a trading desk;

(ii)
position limits are set and monitored for appropriateness;

(iii)
dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;

(iv)
positions are reported to senior management as an integral part of the institution's risk management process; and

(v)
positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and

(i)
positions entered into on a trading desk;

(ii)
position limits are set and monitored for appropriateness;

(iii)
dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;

(iv)
positions are reported to senior management as an integral part of the institution's risk management process; and

(v)
positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and

(c)
there must be clearly defined policy and procedures to monitor the position against the institution's trading strategy including the monitoring of turnover and stale positions in the institution's trading book.

1.
Institutions shall establish and maintain systems and controls sufficient to provide prudent and reliable valuation estimates.

2.
Systems and controls shall include at least the following elements:(a)documented policies and procedures for the process of valuation. This includes clearly defined responsibilities of the various areas involved in the determination of the valuation, sources of market information and review of their appropriateness, frequency of independent valuation, timing of closing prices, procedures for adjusting valuations, month end and ad‐hoc verification procedures; and(b)reporting lines for the department accountable for the valuation process that are clear and independent of the front office.The reporting line shall ultimately be to a main board executive director.
(a)
documented policies and procedures for the process of valuation. This includes clearly defined responsibilities of the various areas involved in the determination of the valuation, sources of market information and review of their appropriateness, frequency of independent valuation, timing of closing prices, procedures for adjusting valuations, month end and ad‐hoc verification procedures; and
(b)
reporting lines for the department accountable for the valuation process that are clear and independent of the front office.

(a)
documented policies and procedures for the process of valuation. This includes clearly defined responsibilities of the various areas involved in the determination of the valuation, sources of market information and review of their appropriateness, frequency of independent valuation, timing of closing prices, procedures for adjusting valuations, month end and ad‐hoc verification procedures; and

(b)
reporting lines for the department accountable for the valuation process that are clear and independent of the front office.

(a)
documented policies and procedures for the process of valuation. This includes clearly defined responsibilities of the various areas involved in the determination of the valuation, sources of market information and review of their appropriateness, frequency of independent valuation, timing of closing prices, procedures for adjusting valuations, month end and ad‐hoc verification procedures; and

(b)
reporting lines for the department accountable for the valuation process that are clear and independent of the front office.

3.
Marking to market is the at least daily valuation of positions at readily available close out prices that are sourced independently. Examples include exchange prices, screen prices, or quotes from several independent reputable brokers.

4.
When marking to market, the more prudent side of bid/offer shall be used unless the institution is a significant market maker in the particular type of financial instrument or commodity in question and it can close out at mid market.

5.
Where marking to market is not possible, institutions must mark to model their positions/portfolios before applying trading book capital treatment. Marking to model is defined as any valuation which has to be benchmarked, extrapolated or otherwise calculated from a market input.

6.
The following requirements must be complied with when marking to model:(a)senior management shall be aware of the elements of the trading book which are subject to mark to model and shall understand the materiality of the uncertainty this creates in the reporting of the risk/performance of the business;(b)market inputs shall be sourced, where possible, in line with market prices, and the appropriateness of the market inputs of the particular position being valued and the parameters of the model shall be assessed on a frequent basis;(c)where available, valuation methodologies which are accepted market practice for particular financial instruments or commodities shall be used;(d)where the model is developed by the institution itself, it shall be based on appropriate assumptions, which have been assessed and challenged by suitably qualified parties independent of the development process;(e)there shall be formal change control procedures in place and a secure copy of the model shall be held and periodically used to check valuations;(f)risk management shall be aware of the weaknesses of the models used and how best to reflect those in the valuation output; and(g)the model shall be subject to periodic review to determine the accuracy of its performance (e.g. assessing the continued appropriateness of assumptions, analysis of profit and loss versus risk factors, comparison of actual close out values to model outputs).For the purposes of point (d), the model shall be developed or approved independently of the front office and shall be independently tested, including validation of the mathematics, assumptions and software implementation.
(a)
senior management shall be aware of the elements of the trading book which are subject to mark to model and shall understand the materiality of the uncertainty this creates in the reporting of the risk/performance of the business;
(b)
market inputs shall be sourced, where possible, in line with market prices, and the appropriateness of the market inputs of the particular position being valued and the parameters of the model shall be assessed on a frequent basis;
(c)
where available, valuation methodologies which are accepted market practice for particular financial instruments or commodities shall be used;
(d)
where the model is developed by the institution itself, it shall be based on appropriate assumptions, which have been assessed and challenged by suitably qualified parties independent of the development process;
(e)
there shall be formal change control procedures in place and a secure copy of the model shall be held and periodically used to check valuations;
(f)
risk management shall be aware of the weaknesses of the models used and how best to reflect those in the valuation output; and
(g)
the model shall be subject to periodic review to determine the accuracy of its performance (e.g. assessing the continued appropriateness of assumptions, analysis of profit and loss versus risk factors, comparison of actual close out values to model outputs).

(a)
senior management shall be aware of the elements of the trading book which are subject to mark to model and shall understand the materiality of the uncertainty this creates in the reporting of the risk/performance of the business;

(b)
market inputs shall be sourced, where possible, in line with market prices, and the appropriateness of the market inputs of the particular position being valued and the parameters of the model shall be assessed on a frequent basis;

(c)
where available, valuation methodologies which are accepted market practice for particular financial instruments or commodities shall be used;

(d)
where the model is developed by the institution itself, it shall be based on appropriate assumptions, which have been assessed and challenged by suitably qualified parties independent of the development process;

(e)
there shall be formal change control procedures in place and a secure copy of the model shall be held and periodically used to check valuations;

(f)
risk management shall be aware of the weaknesses of the models used and how best to reflect those in the valuation output; and

(g)
the model shall be subject to periodic review to determine the accuracy of its performance (e.g. assessing the continued appropriateness of assumptions, analysis of profit and loss versus risk factors, comparison of actual close out values to model outputs).

(a)
senior management shall be aware of the elements of the trading book which are subject to mark to model and shall understand the materiality of the uncertainty this creates in the reporting of the risk/performance of the business;

(b)
market inputs shall be sourced, where possible, in line with market prices, and the appropriateness of the market inputs of the particular position being valued and the parameters of the model shall be assessed on a frequent basis;

(c)
where available, valuation methodologies which are accepted market practice for particular financial instruments or commodities shall be used;

(d)
where the model is developed by the institution itself, it shall be based on appropriate assumptions, which have been assessed and challenged by suitably qualified parties independent of the development process;

(e)
there shall be formal change control procedures in place and a secure copy of the model shall be held and periodically used to check valuations;

(f)
risk management shall be aware of the weaknesses of the models used and how best to reflect those in the valuation output; and

(g)
the model shall be subject to periodic review to determine the accuracy of its performance (e.g. assessing the continued appropriateness of assumptions, analysis of profit and loss versus risk factors, comparison of actual close out values to model outputs).

7.
Independent price verification should be performed in addition to daily marking to market or marking to model. This is the process by which market prices or model inputs are regularly verified for accuracy and independence. While daily marking to market may be performed by dealers, verification of market prices and model inputs should be performed by a unit independent of the dealing room, at least monthly (or, depending on the nature of the market/trading activity, more frequently). Where independent pricing sources are not available or pricing sources are more subjective, prudent measures such as valuation adjustments may be appropriate.

8.
Institutions shall establish and maintain procedures for considering valuation adjustments/reserves.

9.
The competent authorities shall require the following valuation adjustments/reserves to be formally considered: unearned credit spreads, close‐out costs, operational risks, early termination, investing and funding costs, future administrative costs and, where relevant, model risk.

10.
Less liquid positions could arise from both market events and institution‐related situations e.g. concentrated positions and/or stale positions.

11.
Institutions shall consider several factors when determining whether a valuation reserve is necessary for less liquid positions. These factors include the amount of time it would take to hedge out the position/risks within the position, the volatility and average of bid/offer spreads, the availability of market quotes (number and identity of market makers) and the volatility and average of trading volumes, market concentrations, the aging of positions, the extent to which valuation relies on marking-to-model, and the impact of other model risks.

12.
When using third party valuations or marking to model, institutions shall consider whether to apply a valuation adjustment. In addition, institutions shall consider the need for establishing reserves for less liquid positions and on an ongoing basis review their continued suitability.

13.
When valuation adjustments/reserves give rise to material losses of the current financial year, these shall be deducted from an institution's original own funds according to point (k) of Article 57 of Directive 2006/48/EC

14.
Other profits/losses originating from valuation adjustments/reserves shall be included in the calculation of ‘net trading book profits’ mentioned in point (b) of Article 13(2) and be added to/deducted from the additional own funds eligible to cover market risk requirements according to such provisions.

15.
Valuation adjustments/reserves which exceed those made under the accounting framework to which the institution is subject shall be treated in accordance with point 13 if they give rise to material losses, or point 14 otherwise.

1.
An internal hedge is a position that materially or completely offsets the component risk element of a non‐trading book position or a set of positions. Positions arising from internal hedges are eligible for trading book capital treatment, provided that they are held with trading intent and that the general criteria on trading intent and prudent valuation specified in Parts A and B are met. In particular:(a)internal hedges shall not be primarily intended to avoid or reduce capital requirements;(b)internal hedges shall be properly documented and subject to particular internal approval and audit procedures;(c)the internal transaction shall be dealt with at market conditions;(d)the bulk of the market risk that is generated by the internal hedge shall be dynamically managed in the trading book within the authorised limits; and(e)internal transactions shall be carefully monitored.Monitoring must be ensured by adequate procedures.
(a)
internal hedges shall not be primarily intended to avoid or reduce capital requirements;
(b)
internal hedges shall be properly documented and subject to particular internal approval and audit procedures;
(c)
the internal transaction shall be dealt with at market conditions;
(d)
the bulk of the market risk that is generated by the internal hedge shall be dynamically managed in the trading book within the authorised limits; and
(e)
internal transactions shall be carefully monitored.

(a)
internal hedges shall not be primarily intended to avoid or reduce capital requirements;

(b)
internal hedges shall be properly documented and subject to particular internal approval and audit procedures;

(c)
the internal transaction shall be dealt with at market conditions;

(d)
the bulk of the market risk that is generated by the internal hedge shall be dynamically managed in the trading book within the authorised limits; and

(e)
internal transactions shall be carefully monitored.

(a)
internal hedges shall not be primarily intended to avoid or reduce capital requirements;

(b)
internal hedges shall be properly documented and subject to particular internal approval and audit procedures;

(c)
the internal transaction shall be dealt with at market conditions;

(d)
the bulk of the market risk that is generated by the internal hedge shall be dynamically managed in the trading book within the authorised limits; and

(e)
internal transactions shall be carefully monitored.

2.
The treatment referred to in point 1 applies without prejudice to the capital requirements applicable to the ‘non‐trading book leg’ of the internal hedge.

3.
Notwithstanding points 1 and 2, when an institution hedges a non‐trading book credit risk exposure using a credit derivative booked in its trading book (using an internal hedge), the non‐trading book exposure is not deemed to be hedged for the purposes of calculating capital requirements unless the institution purchases from an eligible third party protection provider a credit derivative meeting the requirements set out in point 19 of Part 2 of Annex VIII to Directive 2006/48/EC with regard to the non‐trading book exposure. Where such third party protection is purchased and is recognised as a hedge of a non-trading book exposure for the purposes of calculating capital requirements, neither the internal nor external credit derivative hedge shall be included in the trading book for the purposes of calculating capital requirements.

1.
Institutions shall have clearly defined policies and procedures for determining which position to include in the trading book for the purposes of calculating their capital requirements, consistent with the criteria set out in Article 11 and taking into account the institution's risk management capabilities and practices. Compliance with these policies and procedures shall be fully documented and subject to periodic internal audit.

2.
Institutions shall have clearly defined policies and procedures for overall management of the trading book. At a minimum these policies and procedures shall address:(a)the activities the institution considers to be trading and as constituting part of the trading book for capital requirement purposes;(b)the extent to which a position can be marked‐to‐market daily by reference to an active, liquid two-way market;(c)for positions that are marked‐to‐model, the extent to which the institution can:(i)identify all material risks of the position;(ii)hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and(iii)derive reliable estimates for the key assumptions and parameters used in the model;(d)the extent to which the institution can, and is required to, generate valuations for the position that can be validated externally in a consistent manner;(e)the extent to which legal restrictions or other operational requirements would impede the institution's ability to effect a liquidation or hedge of the position in the short term;(f)the extent to which the institution can, and is required to, actively risk manage the position within its trading operation; and(g)the extent to which the institution may transfer risk or positions between the non‐trading and trading books and the criteria for such transfers.
(a)
the activities the institution considers to be trading and as constituting part of the trading book for capital requirement purposes;
(b)
the extent to which a position can be marked‐to‐market daily by reference to an active, liquid two-way market;
(c)
for positions that are marked‐to‐model, the extent to which the institution can:(i)identify all material risks of the position;(ii)hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and(iii)derive reliable estimates for the key assumptions and parameters used in the model;
(i)
identify all material risks of the position;
(ii)
hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and
(iii)
derive reliable estimates for the key assumptions and parameters used in the model;
(d)
the extent to which the institution can, and is required to, generate valuations for the position that can be validated externally in a consistent manner;
(e)
the extent to which legal restrictions or other operational requirements would impede the institution's ability to effect a liquidation or hedge of the position in the short term;
(f)
the extent to which the institution can, and is required to, actively risk manage the position within its trading operation; and
(g)
the extent to which the institution may transfer risk or positions between the non‐trading and trading books and the criteria for such transfers.

(a)
the activities the institution considers to be trading and as constituting part of the trading book for capital requirement purposes;

(b)
the extent to which a position can be marked‐to‐market daily by reference to an active, liquid two-way market;

(c)
for positions that are marked‐to‐model, the extent to which the institution can:(i)identify all material risks of the position;(ii)hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and(iii)derive reliable estimates for the key assumptions and parameters used in the model;
(i)
identify all material risks of the position;
(ii)
hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and
(iii)
derive reliable estimates for the key assumptions and parameters used in the model;

(i)
identify all material risks of the position;

(ii)
hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and

(iii)
derive reliable estimates for the key assumptions and parameters used in the model;

(d)
the extent to which the institution can, and is required to, generate valuations for the position that can be validated externally in a consistent manner;

(e)
the extent to which legal restrictions or other operational requirements would impede the institution's ability to effect a liquidation or hedge of the position in the short term;

(f)
the extent to which the institution can, and is required to, actively risk manage the position within its trading operation; and

(g)
the extent to which the institution may transfer risk or positions between the non‐trading and trading books and the criteria for such transfers.

(a)
the activities the institution considers to be trading and as constituting part of the trading book for capital requirement purposes;

(b)
the extent to which a position can be marked‐to‐market daily by reference to an active, liquid two-way market;

(c)
for positions that are marked‐to‐model, the extent to which the institution can:(i)identify all material risks of the position;(ii)hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and(iii)derive reliable estimates for the key assumptions and parameters used in the model;
(i)
identify all material risks of the position;
(ii)
hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and
(iii)
derive reliable estimates for the key assumptions and parameters used in the model;

(i)
identify all material risks of the position;

(ii)
hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and

(iii)
derive reliable estimates for the key assumptions and parameters used in the model;

(i)
identify all material risks of the position;

(ii)
hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and

(iii)
derive reliable estimates for the key assumptions and parameters used in the model;

(d)
the extent to which the institution can, and is required to, generate valuations for the position that can be validated externally in a consistent manner;

(e)
the extent to which legal restrictions or other operational requirements would impede the institution's ability to effect a liquidation or hedge of the position in the short term;

(f)
the extent to which the institution can, and is required to, actively risk manage the position within its trading operation; and

(g)
the extent to which the institution may transfer risk or positions between the non‐trading and trading books and the criteria for such transfers.

3.
Competent authorities may allow institutions to treat positions that are holdings in the trading book as set out in Article 57(l), (m) and (n) of Directive 2006/48/EC as equity or debt instruments, as appropriate, where an institution demonstrates that it is an active market maker in these positions. In this case, the institution shall have adequate systems and controls surrounding the trading of eligible own funds instruments.

4.
Term trading-related repo‐style transactions that an institution accounts for in its non‐trading book may be included in the trading book for capital requirement purposes so long as all such repo-style transactions are included. For this purpose, trading‐related repo‐style transactions are defined as those that meet the requirements of Article 11(2) and of Annex VII, Part A, and both legs are in the form of either cash or securities includable in the trading book. Regardless of where they are booked, all repo‐style transactions are subject to a non‐trading book counterparty credit risk charge.

Directive
Deadline for transposition

Council Directive 93/6/EEC
1.7.1995

Directive 98/31/EC
21.7.2000

Directive 98/33/EC
21.7.2000

Directive 2002/87/EC
11.8.2004

Directive 2004/39/EC
30.4.2006/31.1.2007

Directive 2005/1/EC
13.5.2005

This Directive
Directive 93/6/EEC
Directive 98/31/EC
Directive 98/33/EC
Directive 2002/87/EC
Directive 2004/39/EC

Article 1(1) first sentence

Article 1(1) second sentence and (2)
Article 1

Article 2(1)

Article 2(2)
Article 7(3)

Article 3(1)(a)
Article 2(1)

Article 3(1)(b)
Article 2(2)

Article 67(1)

Article 3(1)(c) to (e)
Article 2(3) to (5)

Article 3(1)(f) and (g)

Article 3(1)(h)
Article 2(10)

Article 3(1)(i)
Article 2(11)

Article 3(1)

Article 3(1)(j)
Article 2(14)

Article 3(1)(k) and (l)
Article 2(15) and (16)
Article 1(1)(b)

Article 3(1)(m)
Article 2(17)
Article 1(1)(c)

Article 3(1)(n)
Article 2(18)
Article 1(1)(d)

Article 3(1)(o) to (q)
Article 2(19) to (21)

Article 3(1)(r)
Article 2(23)

Article 3(1)(s)
Article 2(26)

Article 3(2)
Article 2(7) and (8)

Article 3(3)(a) and (b)
Article 7(3)

Article 26

Article 3(3)(c)
Article 7(3)

Article 4
Article 2(24)

Article 5
Article 3(1) and (2)

Article 6
Article 3(4)

Article 67(2)

Article 7
Article 3(4a)

Article 67(3)

Article 8
Article 3(4b)

Article 67(3)

Article 9
Article 3(3)

Article 10
Article 3(5) to (8)

Article 11
Article 2(6)

Article 12 first paragraph
Article 2(25)

Article 12 second paragraph

Article 13(1) first sub-paragraph
Annex V(1) first sub-paragraph

Article 13(1) second sub‐paragraph and (2) to (5)
Annex V(1) second sub‐paragraph and (2) to (5)
Article 1(7) and Annex 4(a)(b)

Article 14
Annex V(6) and (7)
Annex 4(c)

Article 15
Annex V(8)

Article 16
Annex V(9)

Article 17

Article 18(1) first sub-paragraph
Article 4(1) first sub-paragraph

Article 18(1)(a) and (b)
Article 4(1)(i) and (ii)
Article 1(2)

Article 18(2) to (4)
Article 4(6) to (8)

Article 19(1)

Article 19(2)
Article 11(2)

Article 19(3)

Article 20

Article 21
Annex IV

Article 22

Article 23 first and second paragraph
Article 7(5) and (6)

Article 23 third paragraph

Article 24

Article 25

Article 26(1)
Article 7(10)
Article 1(4)

Article 26(2) to (4)
Article 7(11) to (13)

Article 27
Article 7(14) and (15)

Article 28(1)
Article 5(1)

Article 28(2)
Article 5(2)
Article 1(3)

Article 28(3)

Article 29(1)(a) to (c) and next two sub-paragraphs
Annex VI(2)

Article 29(1) last sub-paragraph

Article 29(2)
Annex VI(3)

Article 30(1) and (2) first sub‐paragraph
Annex VI(4) and (5)

Article 30(2) second sub‐paragraph

Article 30(3) and (4)
Annex VI(6) and (7)

Article 31
Annex VI(8)(1), (2) first sentence, (3) to (5)

Article 32
Annex VI(9) and (10)

Article 33(1) and (2)

Article 33(3)
Article 6(2)

Article 34

Article 35(1) to (4)
Article 8(1) to (4)

Article 35(5)
Article 8(5) first sentence
Article 1(5)

Article 36
Article 9(1) to (3)

Article 37

Article 38
Article 9(4)

Article 39

Article 40
Article 2(9)

Article 41(1)(a) to (c)
Article 10 first, second and third indents

Article 41(1)(d) and (e)

Article 41(1)(f)
Article 10 fourth indent

Article 41(1)(g)

Article 42

Article 43

Article 44

Article 45

Article 46
Article 12

Article 47

Article 48

Article 49

Article 50
Article 15

Annex I(1) to (4)
Annex I(1) to (4)

Annex I(4) last paragraph
Article 2(22)

Annex I(5) to (7)
Annex I(5) to (7)

Annex I(8)

Annex I(9) to (11)
Annex I(8) to (10)

Annex I(12) to (14)
Annex I(12) to (14)

Annex I(15) and (16)
Article 2(12)

Annex I(17) to (41)
Annex I(15) to (39)

Annex I(42) to (56)

Annex II(1) and (2)
Annex II(1) and (2)

Annex II(3) to (10)

Annex III(1)
Annex III(1) first sub-paragraph
Article 1(7) and Annex 3(a)

Annex III(2)
Annex III(2)

Annex III(2.1) first to third paragraphs
Annex III(3.1)
Article 1(7) and Annex 3(b)

Annex III(2.1) fourth paragraph

Annex III(2.1) fifth paragraph
Annex III(3.2)
Article 1(7) and Annex 3(b)

Annex III(2.2), (3), (3.1)
Annex III(4) to (6)
Article 1(7) and Annex 3(c)

Annex III(3.2)
Annex III(8)

Annex III(4)
Annex III(11)

Annex IV(1) to (20)
Annex VII(1) to (20)
Article 1(7) and Annex 5

Annex IV(21)
Article 11a
Article 1(6)

Annex V(1) to (12) fourth paragraph
Annex VIII(1) to (13)(ii)
Article 1(7) and Annex 5

Annex V(12) fifth paragraph

Annex V(12) sixth paragraph to (13)
Annex VIII(13)(iii) to (14)
Article 1(7) and Annex 5

Annex VI
Annex VI(8)(2) after the first sentence

Annex VII

Annex VIII

Annex IX

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 47(2) thereof,

Having regard to the proposal from the Commission,

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

Having regard to the Opinion of the European Central Bank(2),

After consulting the Committee of the Regions,

Acting in accordance with the procedure laid down in Article 251 of the Treaty(3),

(1) Council Directive 93/6/EEC of 15 March 1993 on the capital adequacy of investment firms and credit institutions(4)has been significantly amended on several occasions. Now that new amendments are being made to the said Directive, it is desirable, in order to clarify matters, that it should be recast.

(2) One of the objectives of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments(5)is to allow investment firms authorised by the competent authorities of their home Member State and supervised by the same authorities to establish branches and provide services freely in other Member States. That Directive accordingly provides for the coordination of the rules governing the authorisation and pursuit of the business of investment firms.

(3) Directive 2004/39/EC does not, however, establish common standards for the own funds of investment firms nor indeed does it establish the amounts of the initial capital of such firms or a common framework for monitoring the risks incurred by them.

(4) It is appropriate to effect only the essential harmonisation that is necessary and sufficient to secure the mutual recognition of authorisation and of prudential supervision systems; in order to achieve mutual recognition within the framework of the internal financial market, measures should be laid down to coordinate the definition of the own funds of investment firms, the establishment of the amounts of their initial capital and the establishment of a common framework for monitoring the risks incurred by investment firms.

(5) Since the objectives of this Directive, namely the establishment of the capital adequacy requirements applying to investment firms and credit institutions, the rules for their calculation and the rules for their prudential supervision, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and the effects of the proposed action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve its objectives.

(6) It is appropriate to establish different amounts of initial capital depending on the range of activities that investment firms are authorised to undertake.

(7) Existing investment firms should be permitted, under certain conditions, to continue their business even if they do not comply with the minimum amount of initial capital fixed for new investment firms.

(8) Member States should be able to establish rules stricter than those provided for in this Directive.

(9) The smooth operation of the internal market requires not only legal rules but also close and regular cooperation and significantly enhanced convergence of regulatory and supervisory practices between the competent authorities of the Member States.

(10) The Commission Communication of 11 May 1999 entitled ‘Implementing the framework for financial markets: Action Plan’ listed a number of goals that need to be achieved in order to complete the internal market in financial services. The Lisbon European Council of 23 and 24 March 2000 set the goal of implementing the action plan by 2005. Recasting of the provisions on own funds is a key element of the action plan.

(11) Since investment firms face in respect of their trading book business the same risks as credit institutions, it is appropriate for the pertinent provisions of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions(6)to apply equally to investment firms.

(12) The own funds of investment firms or credit institutions (hereinafter referred to collectively as ‘institutions’) can serve to absorb losses which are not matched by a sufficient volume of profits, to ensure the continuity of institutions and to protect investors. The own funds also serve as an important yardstick for the competent authorities, in particular for the assessment of the solvency of institutions and for other prudential purposes. Furthermore, institutions, engage in direct competition with each other in the internal market. Therefore, in order to strengthen the Community financial system and to prevent distortions of competition, it is appropriate to lay down common basic standards for own funds.

(13) For the purposes of recital (12), it is appropriate for the definition of own funds as laid down in Directive 2006/48/EC to serve as a basis, and to provide for supplementary specific rules which take into account the different scope of market risk related capital requirements.

(14) As regards credit institutions, common standards have already been established for the supervision and monitoring of different types of risks by Directive 2000/12/EC.

(15) In that respect, the provisions on minimum capital requirements should be considered in conjunction with other specific instruments which also harmonise the fundamental techniques of the supervision of institutions.

(16) It is necessary to develop common standards for market risks incurred by credit institutions and provide a complementary framework for the supervision of the risks incurred by institutions, in particular market risks, and more especially position risks, counterparty/settlement risks and foreign-exchange risks.

(17) It is necessary to provide for the concept of a ‘trading book’ comprising positions in securities and other financial instruments which are held for trading purposes and which are subject mainly to market risks and exposures relating to certain financial services provided to customers.

(18) With a view to reducing the administrative burden for institutions with negligible trading-book business in both absolute and relative terms, such institutions should be able to apply Directive 2006/48/EC, rather than the requirements laid down in Annexes I and II to this Directive.

(19) It is important that monitoring of settlement/delivery risks should take account of the existence of systems offering adequate protection reducing those risks.

(20) In any case, institutions should comply with this Directive as regards the coverage of the foreign-exchange risks on their overall business. Lower capital requirements should be imposed for positions in closely correlated currencies, whether statistically confirmed or arising out of binding intergovernmental agreements.

(21) The capital requirements for commodity dealers, including those dealers currently exempt from the requirements of Directive 2004/39/EC, will be reviewed as appropriate in conjunction with the review of that exemption as set out in Article 65(3) of that Directive.

(22) The goal of liberalisation of gas and electricity markets is both economically and politically important for the Community. With this in mind, the capital requirements and other prudential rules to be applied to firms active in those markets should be proportionate and should not unduly interfere with achievement of the goal of liberalisation. This goal should, in particular, be kept in mind when the reviews referred to in recital 21 are carried out.

(23) The existence of internal systems for monitoring and controlling interest-rate risks on all business of institutions is a particularly important way of minimising such risks. Consequently, such systems should be supervised by the competent authorities.

(24) Since Directive 2006/48/EC does not establish common rules for the monitoring and control of large exposures in activities which are principally subject to market risks, it is therefore appropriate to provide for such rules.

(25) Operational risk is a significant risk faced by institutions and requires coverage by own funds. It is essential to take account of the diversity of institutions in the EU by providing alternative approaches.

(26) Directive 2006/48/EC states the principle of consolidation. It does not establish common rules for the consolidation of financial institutions which are involved in activities principally subject to market risks.

(27) In order to ensure adequate solvency of institutions within a group, it is essential that the minimum capital requirements apply on the basis of the consolidated financial situation of the group. In order to ensure that own funds are appropriately distributed within the group and are available to protect investments where needed, the minimum capital requirements should apply to individual institutions within a group, unless this objective can be effectively achieved by other means.

(28) Directive 2006/48/EC does not apply to groups which include one or more investment firms but no credit institutions. A common framework for the introduction of the supervision of investment firms on a consolidated basis should therefore be provided for.

(29) Institutions should ensure that they have internal capital which, having regard to the risks to which they are or might be exposed, is adequate in quantity, quality and distribution. Accordingly, institutions should have strategies and processes in place for assessing and maintaining the adequacy of their internal capital.

(30) Competent authorities should evaluate the adequacy of own funds of institutions, having regard to the risks to which the latter are exposed.

(31) In order for the internal banking market to operate effectively, the Committee of European Banking Supervisors should contribute to the consistent application of this Directive and to the convergence of supervisory practices throughout the Community, and should report on a yearly basis to the Community Institutions on progress made.

(32) In order for the internal market to operate with increasing effectiveness it is essential that there should be significantly enhanced convergence in the implementation and application of the provisions of harmonising Community legislation.

(33) For the same reason, and to ensure that Community institutions which are active in several Member States are not disproportionately burdened as a result of the continued responsibilities of individual Member State competent authorities for authorisation and supervision, it is essential significantly to enhance the cooperation between competent authorities. In this context the role of the consolidating supervisor should be strengthened.

(34) In order for the internal market to operate with increasing effectiveness and for citizens of the Union to be afforded adequate levels of transparency, it is necessary that competent authorities disclose publicly and in a way which allows for meaningful comparison the manner in which the requirements of this Directive are implemented.

(35) In order to strengthen market discipline and stimulate institutions to improve their market strategy, risk control and internal management organisation, appropriate public disclosures by institutions should be provided for.

(36) The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(7).

(37) In its Resolution of 5 February 2002 on the implementation of financial services legislation(8), the Parliament requested that the Parliament and the Council should have an equal role in supervising the way in which the Commission exercises its executive role in order to reflect the legislative powers of Parliament under Article 251 of the Treaty. In the solemn declaration made before the Parliament the same day, by its President, the Commission supported this request. On 11 December 2002, the Commission proposed amendments to Decision 1999/468/EC and then submitted an amended proposal on 22 April 2004. The Parliament considers that this proposal does not preserve its legislative prerogatives. In the Parliament’s view, the Parliament and the Council should have the opportunity of evaluating the conferral of implementing powers on the Commission within a determined period. It is therefore appropriate to limit the period during which the Commission may adopt implementing measures.

(38) The Parliament should be given a period of three months from the first transmission of draft amendments and implementing measures to allow it to examine them and to give its opinion. However, in urgent and duly justified cases, it should be possible to shorten this period. If, within that period, a resolution is adopted by the Parliament, the Commission should re-examine the draft amendments or measures.

(39) In order to avoid disruption to markets and to ensure continuity in overall levels of own funds, it is appropriate to provide for specific transitional arrangements.

(40) This Directive respects fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union as general principles of Community law.

(41) The obligation to transpose this Directive into national law should be confined to those provisions that represent a substantive change compared to earlier directives. The obligation to transpose the provisions that remain unchanged exists under the earlier directives.

(42) This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Part B of Annex VIII,

HAVE ADOPTED THIS DIRECTIVE:
Article 1

1.   This Directive lays down the capital adequacy requirements applying to investment firms and credit institutions, the rules for their calculation and the rules for their prudential supervision. Member States shall apply the requirements of this Directive to investment firms and credit institutions as defined in Article 3.

2.   A Member State may impose additional or more stringent requirements on those investment firms and credit institutions that it has authorised.
Article 2

1.   Subject to Articles 18, 20, 22 to 32, 34 and 39 of this Directive, Articles 68 to 73 of Directive 2006/48/EC shall apply mutatis mutandis to investment firms. In applying Articles 70 to 72 of Directive 2006/48/EC to investment firms, every reference to a parent credit institution in a Member State shall be construed as a reference to a parent investment firm in a Member State and every reference to an EU parent credit institution shall be construed as a reference to an EU parent investment firm.

Where a credit institution has as a parent undertaking a parent investment firm in a Member State, only that parent investment firm shall be subject to requirements on a consolidated basis in accordance with Articles 71 to 73 of Directive 2006/48/EC.

Where an investment firm has as a parent undertaking a parent credit institution in a Member State, only that parent credit institution shall be subject to requirements on a consolidated basis in accordance with Articles 71 to 73 of Directive 2006/48/EC.

Where a financial holding company has as a subsidiary both a credit institution and an investment firm, requirements on the basis of the consolidated financial situation of the financial holding company shall apply to the credit institution.

2.   When a group covered by paragraph 1 does not include a credit institution, Directive 2006/48/EC shall apply, subject to the following:

(a)

every reference to credit institutions shall be construed as a reference to investment firms;

(b)

in Articles 125 and 140(2) of Directive 2006/48/EC, each reference to other articles of that Directive shall be construed as a reference to Directive 2004/39/EC;

(c)

for the purposes of Article 39(3) of Directive 2006/48/EC, references to the European Banking Committee shall be construed as references to the Council and the Commission; and

(d)

by way of derogation from Article 140(1) of Directive 2006/48/EC, where a group does not include a credit institution, the first sentence of that Article shall be replaced by the following: ‘Where an investment firm, a financial holding company or a mixed-activity holding company controls one or more subsidiaries which are insurance companies, the competent authorities and the authorities entrusted with the public task of supervising insurance undertakings shall cooperate closely’.
Article 3

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

(a)

‘credit institutions’ means credit institutions as defined in Article 4(1) of Directive 2006/48/EC;

(b)

‘investment firms’ means institutions as defined in Article 4(1)(1) of Directive 2004/39/EC, which are subject to the requirements imposed by that Directive, excluding:

(i)

credit institutions;

(ii)

local firms as defined in point (p); and

(iii)

firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;

(c)

‘institutions’ means credit institutions and investment firms;

(d)

‘recognised third-country investment firms’ means firms meeting the following conditions:

(i)

firms which, if they were established within the Community, would be covered by the definition of investment firm;

(ii)

firms which are authorised in a third country; and

(iii)

firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;

(e)

‘financial instruments’ means any contract that gives rise to both a financial asset of one party and a financial liability or equity instrument of another party;

(f)

‘parent investment firm in a Member State’ means an investment firm which has an institution or financial institution as a subsidiary or which holds a participation in one or both such entities, and which is not itself a subsidiary of another institution authorised in the same Member State or of a financial holding company set up in the same Member State;

(g)

‘EU parent investment firm’ means a parent investment firm in a Member State which is not a subsidiary of another institution authorised in any Member State or of a financial holding company set up in any Member State;

(h)

‘over-the-counter (OTC) derivative instruments’ means the items falling within the list in Annex IV to Directive 2006/48/EC other than those items to which an exposure value of zero is attributed under point 6 of Part 2 of Annex III to that Directive;

(i)

‘regulated market’ means a market as defined in Article 4(1)(14) of Directive 2004/39/EC;

(j)

‘convertible’ means a security which, at the option of the holder, may be exchanged for another security;

(k)

‘warrant’ means a security which gives the holder the right to purchase an underlying asset at a stipulated price until or at the expiry date of the warrant and which may be settled by the delivery of the underlying itself or by cash settlement;

(l)

‘stock financing’ means positions where physical stock has been sold forward and the cost of funding has been locked in until the date of the forward sale;

(m)

‘repurchase agreement’ and ‘reverse repurchase agreement’ mean any agreement in which an institution or its counterparty transfers securities or commodities or guaranteed rights relating to title — to securities or commodities where that guarantee is issued by a recognised exchange which holds the rights to the securities or commodities and the agreement does not allow an institution to transfer or pledge a particular security or commodity to more than one counterparty at one time, subject to a commitment to repurchase them — or substituted securities or commodities of the same description — at a specified price on a future date specified, or to be specified, by the transferor, being a repurchase agreement for the institution selling the securities or commodities and a reverse repurchase agreement for the institution buying them;

(n)

‘securities or commodities lending’ and ‘securities or commodities borrowing’ mean any transaction in which an institution or its counterparty transfers securities or commodities against appropriate collateral, subject to a commitment that the borrower will return equivalent securities or commodities at some future date or when requested to do so by the transferor, that transaction being securities or commodities lending for the institution transferring the securities or commodities and being securities or commodities borrowing for the institution to which they are transferred;

(o)

‘clearing member’ means a member of the exchange or the clearing house which has a direct contractual relationship with the central counterparty (market guarantor);

(p)

‘local firm’ means a firm dealing for its own account on markets in financial futures or options or other derivatives and on cash markets for the sole purpose of hedging positions on derivatives markets, or dealing for the accounts of other members of those markets and being guaranteed by clearing members of the same markets, where responsibility for ensuring the performance of contracts entered into by such a firm is assumed by clearing members of the same markets;

(q)

‘delta’ means the expected change in an option price as a proportion of a small change in the price of the instrument underlying the option;

(r)

‘own funds’ means own funds as defined in Directive 2006/48/EC; and

(s)

‘capital’ means own funds.

For the purposes of applying supervision on a consolidated basis, the term ‘investment firm’ shall include third-country investment firms.

For the purposes of point (e), financial instruments shall include both primary financial instruments or cash instruments and derivative financial instruments the value of which is derived from the price of an underlying financial instrument, a rate, an index or the price of another underlying item, and include as a minimum the instruments specified in Section C of Annex I to Directive 2004/39/EC.

2.   The terms ‘parent undertaking’, ‘subsidiary undertaking’, ‘asset management company’ and ‘financial institution’ shall cover undertakings defined in Article 4 of Directive 2006/48/EC.

The terms ‘financial holding company’, ‘parent financial holding company in a Member State’, ‘EU parent financial holding company’ and ‘ancillary services undertaking’ shall cover undertakings defined in Article 4 of Directive 2006/48/EC, save that every reference to credit institutions shall be read as a reference to institutions.

3.   For the purposes of applying Directive 2006/48/EC to groups covered by Article 2(1) which do not include a credit institution, the following definitions shall apply:

(a)

‘financial holding company’ means a financial institution the subsidiary undertakings of which are either exclusively or mainly investment firms or other financial institutions, at least one of which is an investment firm, and which is not a mixed financial holding company within the meaning of Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate(9);

(b)

‘mixed-activity holding company’ means a parent undertaking, other than a financial holding company or an investment firm or a mixed financial holding company within the meaning of Directive 2002/87/EC, the subsidiaries of which include at least one investment firm; and

(c)

‘competent authorities’ means the national authorities which are empowered by law or regulation to supervise investment firms.
Article 4

For the purposes of this Directive, ‘initial capital’ shall be comprised of the items referred to in Article 57(a) and (b) of Directive 2006/48/EC.
Article 5

1.   An investment firm that does not deal in any financial instruments for its own account or underwrite issues of financial instruments on a firm commitment basis, but which holds clients’ money and/or securities and which offers one or more of the following services, shall have initial capital of EUR 125 000:

(a)

the reception and transmission of investors’ orders for financial instruments;

(b)

the execution of investors’ orders for financial instruments; or

(c)

the management of individual portfolios of investments in financial instruments.

2.   The competent authorities may allow an investment firm which executes investors’ orders for financial instruments to hold such instruments for its own account if the following conditions are met:

(a)

such positions arise only as a result of the firm’s failure to match investors’ orders precisely;

(b)

the total market value of all such positions is subject to a ceiling of 15 % of the firm’s initial capital;

(c)

the firm meets the requirements laid down in Articles 18, 20 and 28; and

(d)

such positions are incidental and provisional in nature and strictly limited to the time required to carry out the transaction in question.

The holding of non-trading-book positions in financial instruments in order to invest own funds shall not be considered as dealing in relation to the services set out in paragraph 1 or for the purposes of paragraph 3.

3.   Member States may reduce the amount referred to in paragraph 1 to EUR 50 000 where a firm is not authorised to hold clients’ money or securities, to deal for its own account, or to underwrite issues on a firm commitment basis.
Article 6

Local firms shall have initial capital of EUR 50 000 insofar as they benefit from the freedom of establishment or to provide services specified in Articles 31 and 32 of Directive 2004/39/EC.
Article 7

Coverage for the firms referred to in Article 3(1)(b)(iii) shall take one of the following forms:

(a)

initial capital of EUR 50 000;

(b)

professional indemnity insurance covering the whole territory of the Community or some other comparable guarantee against liability arising from professional negligence, representing at least EUR 1 000 000 applying to each claim and in aggregate EUR 1 500 000 per year for all claims; or

(c)

a combination of initial capital and professional indemnity insurance in a form resulting in a level of coverage equivalent to that referred to in points (a) or (b).

The amounts referred to in the first sub-paragraph shall be periodically reviewed by the Commission in order to take account of changes in the European Index of Consumer Prices as published by Eurostat, in line with and at the same time as the adjustments made under Article 4(7) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation(10).
Article 8

If a firm as referred to in Article 3(1)(b)(iii) is also registered under Directive 2002/92/EC, it shall comply with Article 4(3) of that Directive and have coverage in one of the following forms:

(a)

initial capital of EUR 25 000;

(b)

professional indemnity insurance covering the whole territory of the Community or some other comparable guarantee against liability arising from professional negligence, representing at least EUR 500 000 applying to each claim and in aggregate EUR 750 000 per year for all claims; or

(c)

a combination of initial capital and professional indemnity insurance in a form resulting in a level of coverage equivalent to that referred to in points (a) or (b).
Article 9

All investment firms other than those referred to in Articles 5 to 8 shall have initial capital of EUR 730 000.
Article 10

1.   By way of derogation from Articles 5(1), 5(3), 6 and 9, Member States may continue an authorisation of investment firms and firms covered by Article 6 which was in existence before 31 December 1995, the own funds of which firms or investment firms are less than the initial capital levels specified for them in Articles 5(1), 5(3), 6 and 9.

The own funds of such firms or investment firms shall not fall below the highest reference level calculated after the date of notification contained in Directive 93/6/EEC. That reference level shall be the average daily level of own funds calculated over a six-month period preceding the date of calculation. It shall be calculated every six months in respect of the corresponding preceding period.

2.   If control of a firm covered by paragraph 1 is taken by a natural or legal person other than the person who controlled it previously, the own funds of that firm shall attain at least the level specified for them in Articles 5(1), 5(3), 6 and 9, except in the case of a first transfer by inheritance made after 31 December 1995, subject to the competent authorities’ approval and for a period of not more than 10 years from the date of that transfer.

3.   In certain specific circumstances, and with the approval of the competent authorities, in the event of a merger of two or more investment firms and/or firms covered by Article 6, the own funds of the firm produced by the merger need not attain the level specified in Articles 5(1), 5(3), 6 and 9. Nevertheless, during any period when the level specified in Articles 5(1), 5(3), 6 and 9 has not been attained, the own funds of the new firm may not fall below the merged firms’ total own funds at the time of the merger.

4.   The own funds of investment firms and firms covered by Article 6 may not fall below the level specified in Articles 5(1), 5(3), 6 and 9 and paragraphs 1 and 3 of this Article.

In the event that the own funds of such firms and investment firms fall below that level, the competent authorities may, where the circumstances justify it, allow such firms a limited period in which to rectify their situations or cease their activities.
Article 11

1.   The trading book of an institution shall consist of all positions in financial instruments and commodities held either with trading intent or in order to hedge other elements of the trading book and which are either free of any restrictive covenants on their tradability or able to be hedged.

2.   Positions held with trading intent are those held intentionally for short-term resale and/or with the intention of benefiting from actual or expected short-term price differences between buying and selling prices or from other price or interest rate variations. The term ‘positions’ shall include proprietary positions and positions arising from client servicing and market making.

3.   Trading intent shall be evidenced on the basis of the strategies, policies and procedures set up by the institution to manage the position or portfolio in accordance with Part A of Annex VII.

4.   Institutions shall establish and maintain systems and controls to manage their trading book in accordance with Parts B and D of Annex VII.

5.   Internal hedges may be included in the trading book, in which case Part C of Annex VII shall apply.
Article 12

‘Original own funds’ means the sum of points (a) to (c), less the sum of points (i) to (k) of Article 57 of Directive 2006/48/EC.

The Commission shall, by 1 January 2009,,submit an appropriate proposal to the European Parliament and to the Council for amendment of this Chapter.
Article 13

1.   Subject to paragraphs 2 to 5 of this Article and Articles 14 to 17, the own funds of investment firms and credit institutions shall be determined in accordance with Directive 2006/48/EC.

In addition, the first subparagraph applies to investment firms which do not have one of the legal forms referred to in Article 1(1) of the Fourth Council Directive 78/660/EEC of 25 July 1978 based on Article 54(3) of the Treaty on the annual accounts of certain types of companies(11).

2.   By way of derogation from paragraph 1, the competent authorities may permit those institutions which are obliged to meet the capital requirements calculated in accordance with Articles 21 and 28 to 32 and Annexes I and III to VI to use, for that purpose only, an alternative determination of own funds. No part of the own funds used for that purpose may be used simultaneously to meet other capital requirements.

Such an alternative determination shall be the sum of the items set out in points (a) to (c) of this subparagraph, minus the item set out in point (d), with the deduction of that last item being left to the discretion of the competent authorities:

(a)

own funds as defined in Directive 2006/48/EC,excluding only points (l) to (p) of Article 57 of that Directive for those investment firms which are required to deduct item (d) of this paragraph from the total of items (a) to (c);

(b)

an institution’s net trading-book profits net of any foreseeable charges or dividends, less net losses on its other business, provided that none of those amounts has already been included in item (a) of this paragraph as one of the items set out in points (b) or (k) of Article 57 of Directive 2006/48/EC;

(c)

subordinated loan capital and/or the items referred to in paragraph 5 of this Article, subject to the conditions set out in paragraphs 3 and 4 of this Article and in Article 14; and

(d)

illiquid assets as specified in Article 15.

3.   The subordinated loan capital referred to in point (c) of the second subparagraph of paragraph 2 shall have an initial maturity of at least two years. It shall be fully paid up and the loan agreement shall not include any clause providing that in specified circumstances, other than the winding up of the institution, the debt will become repayable before the agreed repayment date, unless the competent authorities approve the repayment. Neither the principal nor the interest on such subordinated loan capital may be repaid if such repayment would mean that the own funds of the institution in question would then amount to less than 100 % of that institution’s overall capital requirements.

In addition, an institution shall notify the competent authorities of all repayments on such subordinated loan capital as soon as its own funds fall below 120 % of its overall capital requirements.

4.   The subordinated loan capital referred to in point (c) of the second subparagraph of paragraph 2 may not exceed a maximum of 150 % of the original own funds left to meet the requirements calculated in accordance with Articles 21 and 28 to 32 and Annexes I to VI and may approach that maximum only in particular circumstances acceptable to the competent authorities.

5.   The competent authorities may permit institutions to replace the subordinated loan capital referred to in point (c) of the second subparagraph of paragraph 2 with points (d) to (h) of Article 57 of Directive 2006/48/EC.
Article 14

1.   The competent authorities may permit investment firms to exceed the ceiling for subordinated loan capital set out in Article 13(4) if they judge it prudentially adequate and provided that the total of such subordinated loan capital and the items referred to in Article 13(5) does not exceed 200 % of the original own funds left to meet the requirements calculated in accordance with Articles 21 and 28 to 32 and Annexes I and III to VI, or 250 % of the same amount where investment firms deduct the item set out in Article 13(2)(d) when calculating own funds.

2.   The competent authorities may permit the ceiling for subordinated loan capital set out in Article 13(4) to be exceeded by a credit institution if they judge it prudentially adequate and provided that the total of such subordinated loan capital and points (d) to (h) of Article 57 of Directive 2006/48/EC does not exceed 250 % of the original own funds left to meet the requirements calculated in accordance with Articles 28 to 32 and Annexes I and III to VI to this Directive.
Article 15

Illiquid assets as referred to in point (d) of the second subparagraph of Article 13(2) shall include the following:

(a)

tangible fixed assets, except to the extent that land and buildings may be allowed to count against the loans which they are securing;

(b)

holdings in, including subordinated claims on, credit or financial institutions which may be included in the own funds of those institutions, unless they have been deducted under points (l) to (p) of Article 57 of Directive 2006/48/EC or under Article 16(d) of this Directive;

(c)

holdings and other investments in undertakings other than credit or financial institutions, which are not readily marketable;

(d)

deficiencies in subsidiaries;

(e)

deposits made, other than those which are available for repayment within 90 days, and also excluding payments in connection with margined futures or options contracts;

(f)

loans and other amounts due, other than those due to be repaid within 90 days; and

(g)

physical stocks, unless they are already subject to capital requirements at least as stringent as those set out in Articles 18 and 20.

For the purposes of point (b), where shares in a credit or financial institution are held temporarily for the purpose of a financial assistance operation designed to reorganise and save that institution, the competent authorities may waive the application of this Article. They may also waive it in respect of those shares which are included in an investment firm’s trading book.
Article 16

Investment firms included in a group which has been granted the waiver provided for in Article 22 shall calculate their own funds in accordance with Articles 13 to 15, subject to the following:

(a)

the illiquid assets referred to in Article 13(2)(d) shall be deducted;

(b)

the exclusion referred to in point (a) of Article 13(2) shall not cover those components of points (l) to (p) of Article 57 of Directive 2006/48/EC which an investment firm holds in respect of undertakings included in the scope of consolidation as defined in Article 2(1) of this Directive;

(c)

the limits referred to in points (a) and (b) of Article 66(1) of Directive 2006/48/EC shall be calculated with reference to the original own funds less the components of points (l) to (p) of Article 57 of that Directive as referred to in point (b) of this Article which are elements of the original own funds of those undertakings; and

(d)

the components of points (l) to (p) of Article 57 of Directive 2006/48/EC referred to in point (c) of this Article shall be deducted from the original own funds rather than from the total of all items as laid down in Article 66(2) of that Directive for the purposes in particular of Articles 13(4), 13(5) and 14 of this Directive.
Article 17

1.   Where an institution calculates risk-weighted exposure amounts for the purposes of Annex II to this Directive in accordance with Articles 84 to 89 of Directive 2006/48/EC, then for the purposes of the calculation provided for in point 4 of Part 1 of Annex VII to Directive 2006/48/EC, the following shall apply:

(a)

value adjustments made to take account of the credit quality of the counterparty may be included in the sum of value adjustments and provisions made for the exposures indicated in Annex II; and

(b)

subject to the approval of the competent authorities, if the credit risk of the counterparty is adequately taken into account in the valuation of a position included in the trading book, the expected loss amount for the counterparty risk exposure shall be zero.

For the purposes of point (a), for such institutions, such value adjustments shall not be included in own funds other than in accordance with the provisions of this paragraph.

2.   For the purposes of this Article, Article 153 and 154 of Directive 2006/48/EC shall apply.
Article 18

1.   Institutions shall have own funds which are always more than or equal to the sum of the following:

(a)

the capital requirements, calculated in accordance with the methods and options laid down in Articles 28 to 32 and Annexes I, II and VI and, as appropriate, Annex V, for their trading-book business; and

(b)

the capital requirements, calculated in accordance with the methods and options laid down in Annexes III and IV and, as appropriate, Annex V, for all of their business activities.

2.   By way of derogation from paragraph 1, the competent authorities may allow institutions to calculate the capital requirements for their trading book business in accordance with Article 75(a) of Directive 2006/48/EC and points 6, 7, and 9 of Annex II to this Directive, where the size of the trading book business meets the following requirements:

(a)

the trading-book business of such institutions does not normally exceed 5 % of their total business;

(b)

their total trading-book positions do not normally exceed EUR 15 million; and

(c)

the trading-book business of such institutions never exceeds 6 % of their total business and their total trading-book positions never exceed EUR 20 million.

3.   In order to calculate the proportion that trading-book business bears to total business for the purposes of points (a) and (c) of paragraph 2, the competent authorities may refer either to the size of the combined on- and off-balance-sheet business, to the profit and loss account or to the own funds of the institutions in question, or to a combination of those measures. When the size of on- and off-balance-sheet business is assessed, debt instruments shall be valued at their market prices or their principal values, equities at their market prices and derivatives according to the nominal or market values of the instruments underlying them. Long positions and short positions shall be summed regardless of their signs.

4.   If an institution should happen for more than a short period to exceed either or both of the limits imposed in paragraph 2(a) and (b) or either or both of the limits imposed in paragraph 2(c), it shall be required to meet the requirements imposed in paragraph 1(a) in respect of its trading-book business and to notify the competent authority thereof.
Article 19

1.   For the purposes of point 14 of Annex I, subject to the discretion of the national authorities, a 0 % weighting can be assigned to debt securities issued by the entities listed in Table 1 of Annex I, where these debt securities are denominated and funded in domestic currency.

2.   By way of derogation from points 13 and 14 of Annex I, Member States may set a specific risk requirement for any bonds falling within points 68 to 70 of Part 1 of Annex VI to Directive 2006/48/EC which shall be equal to the specific risk requirement for a qualifying item with the same residual maturity as such bonds and reduced in accordance with the percentages given in point 71 of Part 1 to Annex VI to that Directive.

3.   If, as set out in point 52 of Annex I, a competent authority approves a third country’s collective investment undertaking (CIU) as eligible, a competent authority in another Member State may make use of this approval without conducting its own assessment.
Article 20

1.   Subject to paragraphs 2, 3 and 4 of this Article, and Article 34 of this Directive, the requirements in Article 75 of Directive 2006/48/EC shall apply to investment firms.

2.   By way of derogation from paragraph 1, competent authorities may allow investment firms that are not authorised to provide the investment services listed in points 3 and 6 of Section A of Annex I to Directive 2004/39/EC to provide own funds which are always more than or equal to the higher of the following:

(a)

the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)

the amount laid down in Article 21 of this Directive.

3.   By way of derogation from paragraph 1, competent authorities may allow investment firms which hold initial capital as set out in Article 9, but which fall within the following categories, to provide own funds which are always more than or equal to the sum of the capital requirements calculated in accordance with the requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC and the amount laid down in Article 21 of this Directive:

(a)

investment firms that deal on own account only for the purpose of fulfilling or executing a client order or for the purpose of gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order; and

b)

investment firms:

(i)

that do not hold client money or securities;

(ii)

that undertake only dealing on own account;

(iii)

that have no external customers;

(iv)

the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.

4.   Investment firms referred to in paragraphs 2 and 3 shall remain subject to all other provisions regarding operational risk set out in Annex V of Directive 2006/48/EC.

5.   Article 21 shall apply only to investment firms to which paragraphs (2) or (3) or Article 46 apply and in the manner specified therein.
Article 21

Investment firms shall be required to hold own funds equivalent to one quarter of their preceding year’s fixed overheads.

The competent authorities may adjust that requirement in the event of a material change in a firm’s business since the preceding year.

Where a firm has not completed a year’s business, starting from the day it starts up, the requirement shall be a quarter of the fixed overheads projected in its business plan, unless an adjustment to that plan is required by the competent authorities.
Article 22

1.   The competent authorities required or mandated to exercise supervision of groups covered by Article 2 on a consolidated basis may waive, on a case-by-case basis, the application of capital requirements on a consolidated basis provided that:

(a)

each EU investment firm in such a group uses the calculation of own funds set out in Article 16;

(b)

all investment firms in such a group fall within the categories in Article 20(2) and (3);

(c)

each EU investment firm in such a group meets the requirements imposed in Articles 18 and 20 on an individual basis and at the same time deducts from its own funds any contingent liability in favour of investment firms, financial institutions, asset management companies and ancillary services undertakings, which would otherwise be consolidated and;

(d)

any financial holding company which is the parent financial holding company in a Member State of any investment firm in such a group holds at least as much capital, defined here as the sum of points (a) to (h) of Article 57 of Directive 2006/48/EC, as the sum of the full book value of any holdings, subordinated claims and instruments as referred to in Article 57 of that Directive in investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated, and the total amount of any contingent liability in favour of investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated.

Where the criteria in the first subparagraph are met, each EU investment firm shall have in place systems to monitor and control the sources of capital and funding of all financial holding companies, investment firms, financial institutions, asset management companies and ancillary services undertakings within the group.

2.   By way of derogation from paragraph 1, competent authorities may permit financial holding companies which are the parent financial holding company in a Member State of an investment firm in such a group to use a value lower than the value calculated under paragraph 1(d), but no lower than the sum of the requirements imposed in Articles 18 and 20 on an individual basis to investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated and the total amount of any contingent liability in favour of investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated. For the purposes of this paragraph, the capital requirement for investment undertakings of third countries, financial institutions, asset management companies and ancillary services undertakings is a notional capital requirement.
Article 23

The competent authorities shall require investment firms in a group which has been granted the waiver provided for in Article 22 to notify them of the risks which could undermine their financial positions, including those associated with the composition and sources of their capital and funding. If the competent authorities then consider that the financial positions of those investment firms is not adequately protected, they shall require them to take measures including, if necessary, limitations on the transfer of capital from such firms to group entities.

Where the competent authorities waive the obligation of supervision on a consolidated basis provided for in Article 22, they shall take other appropriate measures to monitor the risks, namely large exposures, of the whole group, including any undertakings not located in a Member State.

Where the competent authorities waive the application of capital requirements on a consolidated basis provided for in Article 22, the requirements of Article 123 and Chapter 5 of Title V of Directive 2006/48/EC shall apply on an individual basis, and the requirements of Article 124 of that Directive shall apply to the supervision of investment firms on an individual basis.
Article 24

1.   By way of derogation from Article 2(2), competent authorities may exempt investment firms from the consolidated capital requirement established in that Article, provided that all the investment firms in the group are covered by Article 20(2) and the group does not include credit institutions.

2.   Where the requirements of paragraph 1 are met, a parent investment firm in a Member State shall be required to provide own funds at a consolidated level which are always more than or equal to the higher of the following two amounts, calculated on the basis of the parent investment firm’s consolidated financial position and in compliance with Section 3 of this Chapter:

(a)

the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)

the amount prescribed in Article 21 of this Directive.

3.   Where the requirements of paragraph 1 are met, an investment firm controlled by a financial holding company shall be required to provide own funds at a consolidated level which are always more than or equal to the higher of the following two amounts, calculated on the basis of the financial holding company’s consolidated financial position and in compliance with Section 3 of this Chapter:

(a)

the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)

the amount prescribed in Article 21 of this Directive.
Article 25

By way of derogation from Article 2(2), competent authorities may exempt investment firms from the consolidated capital requirement established in that Article, provided that all the investment firms in the group fall within the investment firms referred to in Article 20(2) and (3), and the group does not include credit institutions.

Where the requirements of the first paragraph are met, a parent investment firm in a Member State shall be required to provide own funds at a consolidated level which are always more than or equal to the sum of the requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC and the amount prescribed in Article 21 of this Directive, calculated on the basis of the parent investment firm’s consolidated financial position and in compliance with Section 3 of this Chapter.

Where the requirements of the first paragraph are met, an investment firm controlled by a financial holding company shall be required to provide own funds at a consolidated level which are always more than or equal to the sum of the requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC and the amount prescribed in Article 21 of this Directive, calculated on the basis of the financial holding company’s consolidated financial position and in compliance with Section 3 of this Chapter.
Article 26

1.   Where the waiver provided for in Article 22 is not exercised, the competent authorities may, for the purpose of calculating the capital requirements set out in Annexes I and V and the exposures to clients set out in Articles 28 to 32 and Annex VI on a consolidated basis, permit positions in the trading book of one institution to offset positions in the trading book of another institution according to the rules set out in Articles 28 to 32 Annexes I, V and VI.

In addition, the competent authorities may allow foreign-exchange positions in one institution to offset foreign-exchange positions in another institution in accordance with the rules set out in Annex III and/or Annex V. They may also allow commodities positions in one institution to offset commodities positions in another institution in accordance with the rules set out in Annex IV and/or Annex V.

2.   The competent authorities may permit offsetting of the trading book and of the foreign-exchange and commodities positions, respectively, of undertakings located in third countries, subject to the simultaneous fulfilment of the following conditions:

(a)

such undertakings have been authorised in a third country and either satisfy the definition of credit institution set out in Article 4(1) of Directive 2006/48/EC or are recognised third-country investment firms;

(b)

such undertakings comply, on an individual basis, with capital adequacy rules equivalent to those laid down in this Directive; and

(c)

no regulations exist in the third countries in question which might significantly affect the transfer of funds within the group.

3.   The competent authorities may also allow the offsetting provided for in paragraph 1 between institutions within a group that have been authorised in the Member State in question, provided that:

(a)

there is a satisfactory allocation of capital within the group; and

(b)

the regulatory, legal or contractual framework in which the institutions operate is such as to guarantee mutual financial support within the group.

4.   Furthermore, the competent authorities may allow the offsetting provided for in paragraph 1 between institutions within a group that fulfil the conditions imposed in paragraph 3 and any institution included in the same group which has been authorised in another Member State provided that that institution is obliged to fulfil the capital requirements imposed in Articles 18, 20 and 28 on an individual basis.
Article 27

1.   In the calculation of own funds on a consolidated basis Article 65 of Directive 2006/48/EC shall apply.

2.   The competent authorities responsible for exercising supervision on a consolidated basis may recognise the validity of the specific own-funds definitions applicable to the institutions concerned under Chapter IV in the calculation of their consolidated own funds.
Article 28

1.   Institutions shall monitor and control their large exposures in accordance with Articles 106 to 118 of Directive 2006/48/EC.

2.   By way of derogation from paragraph 1, institutions which calculate the capital requirements for their trading-book business in accordance with Annexes I and II, and, as appropriate, Annex V to this Directive, shall monitor and control their large exposures in accordance with Articles 106 to 118 of Directive 2006/48/EC subject to the amendments laid down in Articles 29 to 32 of this Directive.

3.   By 31 December 2007, the Commission shall submit to the European Parliament and to the Council a report on the functioning of this Section, together with any appropriate proposals.
Article 29

1.   The exposures to individual clients which arise on the trading book shall be calculated by summing the following items:

(a)

the excess — where positive — of an institution’s long positions over its short positions in all the financial instruments issued by the client in question, the net position in each of the different instruments being calculated according to the methods laid down in Annex I;

(b)

the net exposure, in the case of the underwriting of a debt or an equity instrument; and

(c)

the exposures due to the transactions, agreements and contracts referred to in Annex II with the client in question, such exposures being calculated in the manner laid down in that Annex, for the calculation of exposure values.

For the purposes of point (b), the net exposure is calculated by deducting those underwriting positions which are subscribed or sub-underwritten by third parties on the basis of a formal agreement reduced by the factors set out in point 41 of Annex I.

For the purposes of point (b), pending further coordination, the competent authorities shall require institutions to set up systems to monitor and control their underwriting exposures between the time of the initial commitment and working day one in the light of the nature of the risks incurred in the markets in question.

For the purposes of point (c), Articles 84 to 89 of Directive 2006/48/EC shall be excluded from the reference in point 6 of Annex II to this Directive.

2.   The exposures to groups of connected clients on the trading book shall be calculated by summing the exposures to individual clients in a group, as calculated in paragraph 1.
Article 30

1.   The overall exposures to individual clients or groups of connected clients shall be calculated by summing the exposures which arise on the trading book and the exposures which arise on the non-trading book, taking into account Article 112 to 117 of Directive 2006/48/EC.

In order to calculate the exposure which arises on the non-trading book, institutions shall take the exposure arising from assets which are deducted from their own funds by virtue of point (d) of the second subparagraph of Article 13(2) to be zero.

2.   Institutions’ overall exposures to individual clients and groups of connected clients calculated in accordance with paragraph 4 shall be reported in accordance with Article 110 of Directive 2006/48/EC.

Other than in relation to repurchase transactions, securities or commodities lending or borrowing transactions, the calculation of large exposures to individual clients and groups of connected clients for reporting purposes shall not include the recognition of credit risk mitigation.

3.   The sum of the exposures to an individual client or group of connected clients in paragraph 1 shall be limited in accordance with Articles 111 to 117 of Directive 2006/48/EC.

4.   By derogation from paragraph 3 competent authorities may allow assets constituting claims and other exposures on recognised third-country investment firms and recognised clearing houses and exchanges in financial instruments to be subject to the same treatment accorded to those on institutions laid out in Articles 113(3)(i), 115(2) and 116 of Directive 2006/48/EC.
Article 31

The competent authorities may authorise the limits laid down in Articles 111 to 117 of Directive 2006/48/EC to be exceeded if the following conditions are met:

(a)

the exposure on the non-trading book to the client or group of clients in question does not exceed the limits laid down in Articles 111 to 117 of Directive 2006/48/EC, those limits being calculated with reference to own funds as specified in that Directive, so that the excess arises entirely on the trading book;

(b)

the institution meets an additional capital requirement on the excess in respect of the limits laid down in Article 111(1) and (2) of Directive 2006/48/EC, that additional capital requirement being calculated in accordance with Annex VI to that Directive;

(c)

where 10 days or less has elapsed since the excess occurred, the trading-book exposure to the client or group of connected clients in question shall not exceed 500 % of the institution’s own funds;

(d)

any excesses that have persisted for more than 10 days must not, in aggregate, exceed 600 % of the institution’s own funds; and

(e)

institutions shall report to the competent authorities every three months all cases where the limits laid down in Article 111(1) and (2) of Directive 2006/48/EC have been exceeded during the preceding three months.

In relation to point (e), in each case in which the limits have been exceeded the amount of the excess and the name of the client concerned shall be reported.
Article 32

1.   The competent authorities shall establish procedures to prevent institutions from deliberately avoiding the additional capital requirements that they would otherwise incur, on exposures exceeding the limits laid down in Article 111(1) and (2) of Directive 2006/48/EC once those exposures have been maintained for more than 10 days, by means of temporarily transferring the exposures in question to another company, whether within the same group or not, and/or by undertaking artificial transactions to close out the exposure during the 10-day period and create a new exposure.

The competent authorities shall notify the Council and the Commission of those procedures.

Institutions shall maintain systems which ensure that any transfer which has the effect referred to in the first subparagraph is immediately reported to the competent authorities.

2.   The competent authorities may permit institutions which are allowed to use the alternative determination of own funds under Article 13(2) to use that determination for the purposes of Articles 30(2), 30(3) and 31 provided that the institutions concerned are required to meet all of the obligations set out in Articles 110 to 117 of Directive 2006/48/EC, in respect of the exposures which arise outside their trading books by using own funds as defined in that Directive.
Article 33

1.   All trading book positions shall be subject to prudent valuation rules as specified in Annex VII, Part B. These rules shall require institutions to ensure that the value applied to each of its trading book positions appropriately reflects the current market value. The former value shall contain an appropriate degree of certainty having regard to the dynamic nature of trading book positions, the demands of prudential soundness and the mode of operation and purpose of capital requirements in respect of trading book positions.

2.   Trading book positions shall be re-valued at least daily.

3.   In the absence of readily available market prices, the competent authorities may waive the requirement imposed in paragraphs 1 and 2 and shall require institutions to use alternative methods of valuation provided that those methods are sufficiently prudent and have been approved by competent authorities.
Article 34

Competent authorities shall require that every investment firm, as well as meeting the requirements set out in Article 13 of Directive 2004/39/EC, shall meet the requirements set out in Articles 22 and 123 of Directive 2006/48/EC, subject to the provisions on level of application set out in Articles 68 to 73 of that Directive.
Article 35

1.   Member States shall require that investment firms and credit institutions provide the competent authorities of their home Member States with all the information necessary for the assessment of their compliance with the rules adopted in accordance with this Directive. Member States shall also ensure that internal control mechanisms and administrative and accounting procedures of the institutions permit the verification of their compliance with such rules at all times.

2.   Investment firms shall report to the competent authorities in the manner specified by the latter at least once every month in the case of firms covered by Article 9, at least once every three months in the case of firms covered by Article 5(1) and at least once every six months in the case of firms covered by Article 5(3).

3.   Notwithstanding paragraph 2, investment firms covered by Articles 5(1) and 9 shall be required to provide the information on a consolidated or sub-consolidated basis only once every six months.

4.   Credit institutions shall be obliged to report in the manner specified by the competent authorities as often as they are obliged to report under Directive 2006/48/EC.

5.   The competent authorities shall oblige institutions to report to them immediately any case in which their counter parties in repurchase and reverse repurchase agreements or securities and commodities-lending and securities and commodities-borrowing transactions default on their obligations.
Article 36

1.   Member States shall designate the authorities which are competent to carry out the duties provided for in this Directive. They shall inform the Commission thereof, indicating any division of duties.

2.   The competent authorities shall be public authorities or bodies officially recognized by national law or by public authorities as part of the supervisory system in operation in the Member State concerned.

3.   The competent authorities shall be granted all the powers necessary for the performance of their tasks, and in particular that of overseeing the constitution of trading books.
Article 37

1.   Chapter 4 of Title V of Directive 2006/48/EC shall apply mutatis mutandis to the supervision of investment firms in accordance with the following:

(a)

references to Article 6 of Directive 2006/48/EC shall be construed as references to Article 5 of Directive 2004/39/EC;

(b)

references to Article 22 and 123 of Directive 2006/48/EC shall be construed s references to Article 34 of this Directive; and

(c)

references to Articles 44 to 52 of Directive 2006/48/EC shall be construed as references to Articles 54 and 58 of Directive 2004/39/EC.

Where an EU parent financial holding company has as subsidiary both a credit institution and an investment firm, Title V, Chapter 4 of Directive 2006/48/EC shall apply to the supervision of institutions as if references to credit institutions were to institutions.

2.   Article 129(2) of Directive 2006/48/EC shall also apply to the recognition of internal models of institutions under Annex V to this Directive where the application is submitted by an EU parent credit institution and its subsidiaries or an EU parent investment firm and its subsidiaries, or jointly by the subsidiaries of an EU parent financial holding company.

The period for the recognition referred to in the first sub-paragraph shall be six months.
Article 38

1.   The competent authorities of the Member States shall cooperate closely in the performance of the duties provided for in this Directive, particularly where investment services are provided on the basis of the freedom to provide services or through the establishment of branches.

The competent authorities shall on request supply one another with all information likely to facilitate the supervision of the capital adequacy of institutions, in particular the verification of their compliance with the rules laid down in this Directive.

2.   Any exchange of information between competent authorities which is provided for in this Directive shall be subject to the following obligations of professional secrecy:

(a)

for investment firms, those imposed in Article 54 and 58 of Directive 2004/39/EC; and

(b)

for credit institutions, those imposed in Articles 44 to 52 of Directive 2006/48/EC.
Article 39

The requirements set out in Title V, Chapter 5 of Directive 2006/48/EC shall apply to investment firms.
Article 40

For the purposes of the calculation of minimum capital requirements for counterparty risk under this Directive, and for the calculation of minimum capital requirements for credit risk under Directive 2006/48/EC, and without prejudice to the provisions of Part 2, point 6 of Annex III to that Directive, exposures to recognised third-country investment firms and exposures to recognised clearing houses and exchanges shall be treated as exposures to institutions.
Article 22

1.   The Commission shall decide on any technical adaptations in the following areas in accordance with the procedure referred to in Article 42(2):

(a)

clarification of the definitions in Article 3 in order to ensure uniform application of this Directive;

(b)

clarification of the definitions in Article 3 to take account of developments on financial markets;

(c)

adjustment of the amounts of initial capital prescribed in Articles 5 to 9 and the amount referred to in Article 18(2) to take account of developments in the economic and monetary field;

(d)

adjustment of the categories of investment firms in Article 20(2) and (3) to take account of developments on financial markets;

(e)

clarification of the requirement laid down in Article 21 to ensure uniform application of this Directive;

(f)

alignment of terminology on and the framing of definitions in accordance with subsequent acts on institutions and related matters;

(g)

adjustment of the technical provisions in Annexes I to VII as a result of developments on financial markets, risk measurement, accounting standards or requirements which take account of Community legislation or which have regard to convergence of supervisory practices; or

(h)

technical adaptations to take account of the outcome of the review referred to in Article 65(3) of Directive 2004/39/EC.

2.   None of the implementing measures enacted may change the essential provisions of this Directive
Article 42

1.   The Commission shall be assisted by the European Banking Committee established by Commission Decision 2004/10/EC(12)of 5 November 2003 (hereinafter referred to as ‘the Committee’).

2.   Where reference is made to this paragraph, the procedure laid down in Article 5 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 7(3) and 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be three months.

3.   Without prejudice to the implementing measures already adopted, upon expiry of a two-year period following the adoption of this Directive, and by 1 April 2008, the application of the provisions of this Directive requiring the adoption of technical rules, amendments and decisions in accordance with paragraph 2 shall be suspended. Acting on a proposal from the Commission and in accordance with the procedure laid down in Article 251 of the Treaty, the Parliament and the Council may renew those provisions and, to that end, shall review them prior to the expiry of the period or by the date referred to in this paragraph, whichever the earlier.

4.   The Committee shall adopt its Rules of Procedure
Article 43

Article 152(1) to (7) of Directive 2006/48/EC shall apply, in accordance with Article 2 and Chapter V, Sections 2 and 3 of this Directive, to investment firms calculating risk-weighted exposure amounts, for the purposes of Annex II to this Directive, in accordance with Articles 84 to 89 of Directive 2006/48/EC, or using the Advanced Measurement Approach as specified in Article 105 of that Directive for the calculation of their capital requirements for operational risk.
Article 44

Until 31 December 2012, for investment firms the relevant indicator for the trading and sales business line of which represents at least 50 % of the total of relevant indicators for all of their business lines calculated in accordance with Article 20 of this Directive and points 1 to 4 of Part 2 of Annex X to Directive 2006/48/EC, Member States may apply a percentage of 15 % to the business line ‘trading and sales’.
Article 45

1.   Competent authorities may permit investment firms to exceed the limits concerning large exposures set out in Article 111 of Directive 2006/48/EC. Investment firms need not include any excesses in their calculation of capital requirements exceeding such limits, as set out in Article 75(b) of that Directive. This discretion is available until 31 December 2010 or the date of entry into force of any modifications consequent to the treatment of large exposures pursuant to Article 119 of Directive 2006/48/EC, whichever is the earlier. For this discretion to be exercised, the following conditions shall be met:

(a)

the investment firm provides investment services or investment activities related to the financial instruments listed in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC;

(b)

the investment firm does not provide such investment services or undertake such investment activities for, or on behalf of, retail clients;

c)

breaches of the limits referred to in the introductory part of this paragraph arise in connection with exposures resulting from contracts that are financial instruments as listed in point (a) and relate to commodities or underlyings within the meaning of point 10 of Section C of Annex I to Directive 2004/39/EC (MiFID) and are calculated in accordance with Annexes III and IV of Directive 2006/48/EC, or in connection with exposures resulting from contracts concerning the delivery of commodities or emission allowances; and

(d)

the investment firm has a documented strategy for managing and, in particular, for controlling and limiting risks arising from the concentration of exposures. The investment firm shall inform the competent authorities of this strategy and all material changes to it without delay. The investment firm shall make appropriate arrangements to ensure a continuous monitoring of the creditworthiness of borrowers, according to their impact on concentration risk. These arrangements shall enable the investment firm to react adequately and sufficiently promptly to any deterioration in that creditworthiness.

2.   Where an investment firm exceeds the internal limits set according to the strategy referred to in point (d) of paragraph 1, it shall notify the competent authority without delay of the size and nature of the excess and of the counterparty.
Article 46

By way of derogation from Article 20(1), until 31 December 2011 competent authorities may choose, on a case-by-case basis, not to apply the capital requirements arising from point (d) of Article 75 of Directive 2006/48/EC in respect of investment firms to which Article 20(2) and (3) do not apply, whose total trading book positions never exceed EUR 50 million and whose average number of relevant employees during the financial year does not exceed 100.

Instead, the capital requirement in relation to those investment firms shall be at least the lower of:

(a)

the capital requirements arising from point (d) of Article 75 of Directive 2006/48/EC; and

b)

12/88 of the higher of the following:

(i)

the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(ii)

the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).

If point (b) applies, an incremental increase shall be applied on at least an annual basis.

Applying this derogation shall not result in a reduction in the overall level of capital requirements for an investment firm, in comparison to the requirements as at 31 December 2006, unless such a reduction is prudentially justified by a reduction in the size of the investment firm’s business.
Article 47

Until 31 December 2009 or any earlier date specified by the competent authorities on a case-by-case basis, institutions that have received specific risk model recognition prior to 1 January 2007 in accordance with point 1 of Annex V may, for that existing recognition, treat points 4 and 8 of Annex V to Directive 93/6/EEC as those points stood prior to 1 January 2007.
Article 48

1.   The provisions on capital requirements as laid down in this Directive and Directive 2006/48/EC shall not apply to investment firms whose main business consists exclusively of the provision of investment services or activities in relation to the financial instruments set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC and to whom Directive 93/22/EEC(13)did not apply on 31 December 2006. This exemption is available until 31 December 2010 or the date of entry into force of any modifications pursuant to paragraphs 2 and 3, whichever is the earlier.

2.   As part of the review required by Article 65(3) of Directive 2004/39/EC, the Commission shall, on the basis of public consultations and in the light of discussions with the competent authorities, report to the Parliament and the Council on:

(a)

an appropriate regime for the prudential supervision of investment firms whose main business consists exclusively of the provision of investment services or activities in relation to the commodity derivatives or derivatives contracts set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC; and

(b)

the desirability of amending Directive 2004/39/EC to create a further category of investment firm whose main business consists exclusively of the provision of investment services or activities in relation to the financial instruments set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC relating to energy supplies (including electricity, coal, gas and oil).

3.   On the basis of the report referred to in paragraph 2, the Commission may submit proposals for amendments to this Directive and to Directive 2006/48/EC
Article 49

1.   Member States shall adopt and publish, by 31 December 2006, the laws, regulations and administrative provisions necessary to comply with Articles 2, 3, 11, 13, 17, 18, 19, 20, 22, 23, 24, 25, 29, 30, 33, 34, 35, 37, 39, 40, 41, 43, 44, 50 and the Annexes I, II, III, V, VII. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

They shall apply those provisions from 1 January 2007.

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

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
Article 50

1.   Article 152(8) to (14) of Directive 2006/48/EC shall apply mutatis mutandis for the purposes of this Directive subject to the following provisions which shall apply where the discretion referred to in Article 152(8) of Directive 2006/48/EC is exercised:

(a)

references in point 7 of Annex II to this Directive to Directive 2006/48/EC shall be read as references to Directive 2000/12/EC as that Directive stood prior to 1 January 2007; and

(b)

point 4 of Annex II to this Directive shall apply as it stood prior to 1 January 2007.

2.   Article 157(3) of Directive 2006/48/EC shall apply mutatis mutandis for the purposes of Articles 18 and 20 of this Directive.
Article 51

By 1 January 2011, the Commission shall review and report on the application of this Directive and submit its report to the Parliament and the Council together with any appropriate proposals for amendment.
Article 52

Directive 93/6/EEC, as amended by the Directives listed in Annex VIII, Part A, is repealed, without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex VIII, Part B.

References made to the repealed directives shall be construed as being made to this Directive and should be read in accordance with the correspondence table set out in Annex IX.
Article 53

This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Article 54

This Directive is addressed to the Member States.
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 47(2) thereof,

Having regard to the proposal from the Commission,

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

Having regard to the Opinion of the European Central Bank(2),

After consulting the Committee of the Regions,

Acting in accordance with the procedure laid down in Article 251 of the Treaty(3),

(1) Council Directive 93/6/EEC of 15 March 1993 on the capital adequacy of investment firms and credit institutions(4)has been significantly amended on several occasions. Now that new amendments are being made to the said Directive, it is desirable, in order to clarify matters, that it should be recast.

(2) One of the objectives of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments(5)is to allow investment firms authorised by the competent authorities of their home Member State and supervised by the same authorities to establish branches and provide services freely in other Member States. That Directive accordingly provides for the coordination of the rules governing the authorisation and pursuit of the business of investment firms.

(3) Directive 2004/39/EC does not, however, establish common standards for the own funds of investment firms nor indeed does it establish the amounts of the initial capital of such firms or a common framework for monitoring the risks incurred by them.

(4) It is appropriate to effect only the essential harmonisation that is necessary and sufficient to secure the mutual recognition of authorisation and of prudential supervision systems; in order to achieve mutual recognition within the framework of the internal financial market, measures should be laid down to coordinate the definition of the own funds of investment firms, the establishment of the amounts of their initial capital and the establishment of a common framework for monitoring the risks incurred by investment firms.

(5) Since the objectives of this Directive, namely the establishment of the capital adequacy requirements applying to investment firms and credit institutions, the rules for their calculation and the rules for their prudential supervision, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and the effects of the proposed action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve its objectives.

(6) It is appropriate to establish different amounts of initial capital depending on the range of activities that investment firms are authorised to undertake.

(7) Existing investment firms should be permitted, under certain conditions, to continue their business even if they do not comply with the minimum amount of initial capital fixed for new investment firms.

(8) Member States should be able to establish rules stricter than those provided for in this Directive.

(9) The smooth operation of the internal market requires not only legal rules but also close and regular cooperation and significantly enhanced convergence of regulatory and supervisory practices between the competent authorities of the Member States.

(10) The Commission Communication of 11 May 1999 entitled ‘Implementing the framework for financial markets: Action Plan’ listed a number of goals that need to be achieved in order to complete the internal market in financial services. The Lisbon European Council of 23 and 24 March 2000 set the goal of implementing the action plan by 2005. Recasting of the provisions on own funds is a key element of the action plan.

(11) Since investment firms face in respect of their trading book business the same risks as credit institutions, it is appropriate for the pertinent provisions of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions(6)to apply equally to investment firms.

(12) The own funds of investment firms or credit institutions (hereinafter referred to collectively as ‘institutions’) can serve to absorb losses which are not matched by a sufficient volume of profits, to ensure the continuity of institutions and to protect investors. The own funds also serve as an important yardstick for the competent authorities, in particular for the assessment of the solvency of institutions and for other prudential purposes. Furthermore, institutions, engage in direct competition with each other in the internal market. Therefore, in order to strengthen the Community financial system and to prevent distortions of competition, it is appropriate to lay down common basic standards for own funds.

(13) For the purposes of recital (12), it is appropriate for the definition of own funds as laid down in Directive 2006/48/EC to serve as a basis, and to provide for supplementary specific rules which take into account the different scope of market risk related capital requirements.

(14) As regards credit institutions, common standards have already been established for the supervision and monitoring of different types of risks by Directive 2000/12/EC.

(15) In that respect, the provisions on minimum capital requirements should be considered in conjunction with other specific instruments which also harmonise the fundamental techniques of the supervision of institutions.

(16) It is necessary to develop common standards for market risks incurred by credit institutions and provide a complementary framework for the supervision of the risks incurred by institutions, in particular market risks, and more especially position risks, counterparty/settlement risks and foreign-exchange risks.

(17) It is necessary to provide for the concept of a ‘trading book’ comprising positions in securities and other financial instruments which are held for trading purposes and which are subject mainly to market risks and exposures relating to certain financial services provided to customers.

(18) With a view to reducing the administrative burden for institutions with negligible trading-book business in both absolute and relative terms, such institutions should be able to apply Directive 2006/48/EC, rather than the requirements laid down in Annexes I and II to this Directive.

(19) It is important that monitoring of settlement/delivery risks should take account of the existence of systems offering adequate protection reducing those risks.

(20) In any case, institutions should comply with this Directive as regards the coverage of the foreign-exchange risks on their overall business. Lower capital requirements should be imposed for positions in closely correlated currencies, whether statistically confirmed or arising out of binding intergovernmental agreements.

(21) The capital requirements for commodity dealers, including those dealers currently exempt from the requirements of Directive 2004/39/EC, will be reviewed as appropriate in conjunction with the review of that exemption as set out in Article 65(3) of that Directive.

(22) The goal of liberalisation of gas and electricity markets is both economically and politically important for the Community. With this in mind, the capital requirements and other prudential rules to be applied to firms active in those markets should be proportionate and should not unduly interfere with achievement of the goal of liberalisation. This goal should, in particular, be kept in mind when the reviews referred to in recital 21 are carried out.

(23) The existence of internal systems for monitoring and controlling interest-rate risks on all business of institutions is a particularly important way of minimising such risks. Consequently, such systems should be supervised by the competent authorities.

(24) Since Directive 2006/48/EC does not establish common rules for the monitoring and control of large exposures in activities which are principally subject to market risks, it is therefore appropriate to provide for such rules.

(25) Operational risk is a significant risk faced by institutions and requires coverage by own funds. It is essential to take account of the diversity of institutions in the EU by providing alternative approaches.

(26) Directive 2006/48/EC states the principle of consolidation. It does not establish common rules for the consolidation of financial institutions which are involved in activities principally subject to market risks.

(27) In order to ensure adequate solvency of institutions within a group, it is essential that the minimum capital requirements apply on the basis of the consolidated financial situation of the group. In order to ensure that own funds are appropriately distributed within the group and are available to protect investments where needed, the minimum capital requirements should apply to individual institutions within a group, unless this objective can be effectively achieved by other means.

(28) Directive 2006/48/EC does not apply to groups which include one or more investment firms but no credit institutions. A common framework for the introduction of the supervision of investment firms on a consolidated basis should therefore be provided for.

(29) Institutions should ensure that they have internal capital which, having regard to the risks to which they are or might be exposed, is adequate in quantity, quality and distribution. Accordingly, institutions should have strategies and processes in place for assessing and maintaining the adequacy of their internal capital.

(30) Competent authorities should evaluate the adequacy of own funds of institutions, having regard to the risks to which the latter are exposed.

(31) In order for the internal banking market to operate effectively, the Committee of European Banking Supervisors should contribute to the consistent application of this Directive and to the convergence of supervisory practices throughout the Community, and should report on a yearly basis to the Community Institutions on progress made.

(32) In order for the internal market to operate with increasing effectiveness it is essential that there should be significantly enhanced convergence in the implementation and application of the provisions of harmonising Community legislation.

(33) For the same reason, and to ensure that Community institutions which are active in several Member States are not disproportionately burdened as a result of the continued responsibilities of individual Member State competent authorities for authorisation and supervision, it is essential significantly to enhance the cooperation between competent authorities. In this context the role of the consolidating supervisor should be strengthened.

(34) In order for the internal market to operate with increasing effectiveness and for citizens of the Union to be afforded adequate levels of transparency, it is necessary that competent authorities disclose publicly and in a way which allows for meaningful comparison the manner in which the requirements of this Directive are implemented.

(35) In order to strengthen market discipline and stimulate institutions to improve their market strategy, risk control and internal management organisation, appropriate public disclosures by institutions should be provided for.

(36) The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(7).

(37) In its Resolution of 5 February 2002 on the implementation of financial services legislation(8), the Parliament requested that the Parliament and the Council should have an equal role in supervising the way in which the Commission exercises its executive role in order to reflect the legislative powers of Parliament under Article 251 of the Treaty. In the solemn declaration made before the Parliament the same day, by its President, the Commission supported this request. On 11 December 2002, the Commission proposed amendments to Decision 1999/468/EC and then submitted an amended proposal on 22 April 2004. The Parliament considers that this proposal does not preserve its legislative prerogatives. In the Parliament’s view, the Parliament and the Council should have the opportunity of evaluating the conferral of implementing powers on the Commission within a determined period. It is therefore appropriate to limit the period during which the Commission may adopt implementing measures.

(38) The Parliament should be given a period of three months from the first transmission of draft amendments and implementing measures to allow it to examine them and to give its opinion. However, in urgent and duly justified cases, it should be possible to shorten this period. If, within that period, a resolution is adopted by the Parliament, the Commission should re-examine the draft amendments or measures.

(39) In order to avoid disruption to markets and to ensure continuity in overall levels of own funds, it is appropriate to provide for specific transitional arrangements.

(40) This Directive respects fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union as general principles of Community law.

(41) The obligation to transpose this Directive into national law should be confined to those provisions that represent a substantive change compared to earlier directives. The obligation to transpose the provisions that remain unchanged exists under the earlier directives.

(42) This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Part B of Annex VIII,

HAVE ADOPTED THIS DIRECTIVE:
1.   This Directive lays down the capital adequacy requirements applying to investment firms and credit institutions, the rules for their calculation and the rules for their prudential supervision. Member States shall apply the requirements of this Directive to investment firms and credit institutions as defined in Article 3.

2.   A Member State may impose additional or more stringent requirements on those investment firms and credit institutions that it has authorised.
1.   Subject to Articles 18, 20, 22 to 32, 34 and 39 of this Directive, Articles 68 to 73 of Directive 2006/48/EC shall apply mutatis mutandis to investment firms. In applying Articles 70 to 72 of Directive 2006/48/EC to investment firms, every reference to a parent credit institution in a Member State shall be construed as a reference to a parent investment firm in a Member State and every reference to an EU parent credit institution shall be construed as a reference to an EU parent investment firm.

Where a credit institution has as a parent undertaking a parent investment firm in a Member State, only that parent investment firm shall be subject to requirements on a consolidated basis in accordance with Articles 71 to 73 of Directive 2006/48/EC.

Where an investment firm has as a parent undertaking a parent credit institution in a Member State, only that parent credit institution shall be subject to requirements on a consolidated basis in accordance with Articles 71 to 73 of Directive 2006/48/EC.

Where a financial holding company has as a subsidiary both a credit institution and an investment firm, requirements on the basis of the consolidated financial situation of the financial holding company shall apply to the credit institution.

2.   When a group covered by paragraph 1 does not include a credit institution, Directive 2006/48/EC shall apply, subject to the following:

(a)

every reference to credit institutions shall be construed as a reference to investment firms;

(b)

in Articles 125 and 140(2) of Directive 2006/48/EC, each reference to other articles of that Directive shall be construed as a reference to Directive 2004/39/EC;

(c)

for the purposes of Article 39(3) of Directive 2006/48/EC, references to the European Banking Committee shall be construed as references to the Council and the Commission; and

(d)

by way of derogation from Article 140(1) of Directive 2006/48/EC, where a group does not include a credit institution, the first sentence of that Article shall be replaced by the following: ‘Where an investment firm, a financial holding company or a mixed-activity holding company controls one or more subsidiaries which are insurance companies, the competent authorities and the authorities entrusted with the public task of supervising insurance undertakings shall cooperate closely’.
1.   For the purposes of this Directive the following definitions shall apply:

(a)

‘credit institutions’ means credit institutions as defined in Article 4(1) of Directive 2006/48/EC;

(b)

‘investment firms’ means institutions as defined in Article 4(1)(1) of Directive 2004/39/EC, which are subject to the requirements imposed by that Directive, excluding:

(i)

credit institutions;

(ii)

local firms as defined in point (p); and

(iii)

firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;

(c)

‘institutions’ means credit institutions and investment firms;

(d)

‘recognised third-country investment firms’ means firms meeting the following conditions:

(i)

firms which, if they were established within the Community, would be covered by the definition of investment firm;

(ii)

firms which are authorised in a third country; and

(iii)

firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;

(e)

‘financial instruments’ means any contract that gives rise to both a financial asset of one party and a financial liability or equity instrument of another party;

(f)

‘parent investment firm in a Member State’ means an investment firm which has an institution or financial institution as a subsidiary or which holds a participation in one or both such entities, and which is not itself a subsidiary of another institution authorised in the same Member State or of a financial holding company set up in the same Member State;

(g)

‘EU parent investment firm’ means a parent investment firm in a Member State which is not a subsidiary of another institution authorised in any Member State or of a financial holding company set up in any Member State;

(h)

‘over-the-counter (OTC) derivative instruments’ means the items falling within the list in Annex IV to Directive 2006/48/EC other than those items to which an exposure value of zero is attributed under point 6 of Part 2 of Annex III to that Directive;

(i)

‘regulated market’ means a market as defined in Article 4(1)(14) of Directive 2004/39/EC;

(j)

‘convertible’ means a security which, at the option of the holder, may be exchanged for another security;

(k)

‘warrant’ means a security which gives the holder the right to purchase an underlying asset at a stipulated price until or at the expiry date of the warrant and which may be settled by the delivery of the underlying itself or by cash settlement;

(l)

‘stock financing’ means positions where physical stock has been sold forward and the cost of funding has been locked in until the date of the forward sale;

(m)

‘repurchase agreement’ and ‘reverse repurchase agreement’ mean any agreement in which an institution or its counterparty transfers securities or commodities or guaranteed rights relating to title — to securities or commodities where that guarantee is issued by a recognised exchange which holds the rights to the securities or commodities and the agreement does not allow an institution to transfer or pledge a particular security or commodity to more than one counterparty at one time, subject to a commitment to repurchase them — or substituted securities or commodities of the same description — at a specified price on a future date specified, or to be specified, by the transferor, being a repurchase agreement for the institution selling the securities or commodities and a reverse repurchase agreement for the institution buying them;

(n)

‘securities or commodities lending’ and ‘securities or commodities borrowing’ mean any transaction in which an institution or its counterparty transfers securities or commodities against appropriate collateral, subject to a commitment that the borrower will return equivalent securities or commodities at some future date or when requested to do so by the transferor, that transaction being securities or commodities lending for the institution transferring the securities or commodities and being securities or commodities borrowing for the institution to which they are transferred;

(o)

‘clearing member’ means a member of the exchange or the clearing house which has a direct contractual relationship with the central counterparty (market guarantor);

(p)

‘local firm’ means a firm dealing for its own account on markets in financial futures or options or other derivatives and on cash markets for the sole purpose of hedging positions on derivatives markets, or dealing for the accounts of other members of those markets and being guaranteed by clearing members of the same markets, where responsibility for ensuring the performance of contracts entered into by such a firm is assumed by clearing members of the same markets;

(q)

‘delta’ means the expected change in an option price as a proportion of a small change in the price of the instrument underlying the option;

(r)

‘own funds’ means own funds as defined in Directive 2006/48/EC; and

(s)

‘capital’ means own funds.

For the purposes of applying supervision on a consolidated basis, the term ‘investment firm’ shall include third-country investment firms.

For the purposes of point (e), financial instruments shall include both primary financial instruments or cash instruments and derivative financial instruments the value of which is derived from the price of an underlying financial instrument, a rate, an index or the price of another underlying item, and include as a minimum the instruments specified in Section C of Annex I to Directive 2004/39/EC.

2.   The terms ‘parent undertaking’, ‘subsidiary undertaking’, ‘asset management company’ and ‘financial institution’ shall cover undertakings defined in Article 4 of Directive 2006/48/EC.

The terms ‘financial holding company’, ‘parent financial holding company in a Member State’, ‘EU parent financial holding company’ and ‘ancillary services undertaking’ shall cover undertakings defined in Article 4 of Directive 2006/48/EC, save that every reference to credit institutions shall be read as a reference to institutions.

3.   For the purposes of applying Directive 2006/48/EC to groups covered by Article 2(1) which do not include a credit institution, the following definitions shall apply:

(a)

‘financial holding company’ means a financial institution the subsidiary undertakings of which are either exclusively or mainly investment firms or other financial institutions, at least one of which is an investment firm, and which is not a mixed financial holding company within the meaning of Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate(9);

(b)

‘mixed-activity holding company’ means a parent undertaking, other than a financial holding company or an investment firm or a mixed financial holding company within the meaning of Directive 2002/87/EC, the subsidiaries of which include at least one investment firm; and

(c)

‘competent authorities’ means the national authorities which are empowered by law or regulation to supervise investment firms.
For the purposes of this Directive, ‘initial capital’ shall be comprised of the items referred to in Article 57(a) and (b) of Directive 2006/48/EC.
1.   An investment firm that does not deal in any financial instruments for its own account or underwrite issues of financial instruments on a firm commitment basis, but which holds clients’ money and/or securities and which offers one or more of the following services, shall have initial capital of EUR 125 000:

(a)

the reception and transmission of investors’ orders for financial instruments;

(b)

the execution of investors’ orders for financial instruments; or

(c)

the management of individual portfolios of investments in financial instruments.

2.   The competent authorities may allow an investment firm which executes investors’ orders for financial instruments to hold such instruments for its own account if the following conditions are met:

(a)

such positions arise only as a result of the firm’s failure to match investors’ orders precisely;

(b)

the total market value of all such positions is subject to a ceiling of 15 % of the firm’s initial capital;

(c)

the firm meets the requirements laid down in Articles 18, 20 and 28; and

(d)

such positions are incidental and provisional in nature and strictly limited to the time required to carry out the transaction in question.

The holding of non-trading-book positions in financial instruments in order to invest own funds shall not be considered as dealing in relation to the services set out in paragraph 1 or for the purposes of paragraph 3.

3.   Member States may reduce the amount referred to in paragraph 1 to EUR 50 000 where a firm is not authorised to hold clients’ money or securities, to deal for its own account, or to underwrite issues on a firm commitment basis.
Local firms shall have initial capital of EUR 50 000 insofar as they benefit from the freedom of establishment or to provide services specified in Articles 31 and 32 of Directive 2004/39/EC.
Coverage for the firms referred to in Article 3(1)(b)(iii) shall take one of the following forms:

(a)

initial capital of EUR 50 000;

(b)

professional indemnity insurance covering the whole territory of the Community or some other comparable guarantee against liability arising from professional negligence, representing at least EUR 1 000 000 applying to each claim and in aggregate EUR 1 500 000 per year for all claims; or

(c)

a combination of initial capital and professional indemnity insurance in a form resulting in a level of coverage equivalent to that referred to in points (a) or (b).

The amounts referred to in the first sub-paragraph shall be periodically reviewed by the Commission in order to take account of changes in the European Index of Consumer Prices as published by Eurostat, in line with and at the same time as the adjustments made under Article 4(7) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation(10).
If a firm as referred to in Article 3(1)(b)(iii) is also registered under Directive 2002/92/EC, it shall comply with Article 4(3) of that Directive and have coverage in one of the following forms:

(a)

initial capital of EUR 25 000;

(b)

professional indemnity insurance covering the whole territory of the Community or some other comparable guarantee against liability arising from professional negligence, representing at least EUR 500 000 applying to each claim and in aggregate EUR 750 000 per year for all claims; or

(c)

a combination of initial capital and professional indemnity insurance in a form resulting in a level of coverage equivalent to that referred to in points (a) or (b).
All investment firms other than those referred to in Articles 5 to 8 shall have initial capital of EUR 730 000.
1.   By way of derogation from Articles 5(1), 5(3), 6 and 9, Member States may continue an authorisation of investment firms and firms covered by Article 6 which was in existence before 31 December 1995, the own funds of which firms or investment firms are less than the initial capital levels specified for them in Articles 5(1), 5(3), 6 and 9.

The own funds of such firms or investment firms shall not fall below the highest reference level calculated after the date of notification contained in Directive 93/6/EEC. That reference level shall be the average daily level of own funds calculated over a six-month period preceding the date of calculation. It shall be calculated every six months in respect of the corresponding preceding period.

2.   If control of a firm covered by paragraph 1 is taken by a natural or legal person other than the person who controlled it previously, the own funds of that firm shall attain at least the level specified for them in Articles 5(1), 5(3), 6 and 9, except in the case of a first transfer by inheritance made after 31 December 1995, subject to the competent authorities’ approval and for a period of not more than 10 years from the date of that transfer.

3.   In certain specific circumstances, and with the approval of the competent authorities, in the event of a merger of two or more investment firms and/or firms covered by Article 6, the own funds of the firm produced by the merger need not attain the level specified in Articles 5(1), 5(3), 6 and 9. Nevertheless, during any period when the level specified in Articles 5(1), 5(3), 6 and 9 has not been attained, the own funds of the new firm may not fall below the merged firms’ total own funds at the time of the merger.

4.   The own funds of investment firms and firms covered by Article 6 may not fall below the level specified in Articles 5(1), 5(3), 6 and 9 and paragraphs 1 and 3 of this Article.

In the event that the own funds of such firms and investment firms fall below that level, the competent authorities may, where the circumstances justify it, allow such firms a limited period in which to rectify their situations or cease their activities.
1.   The trading book of an institution shall consist of all positions in financial instruments and commodities held either with trading intent or in order to hedge other elements of the trading book and which are either free of any restrictive covenants on their tradability or able to be hedged.

2.   Positions held with trading intent are those held intentionally for short-term resale and/or with the intention of benefiting from actual or expected short-term price differences between buying and selling prices or from other price or interest rate variations. The term ‘positions’ shall include proprietary positions and positions arising from client servicing and market making.

3.   Trading intent shall be evidenced on the basis of the strategies, policies and procedures set up by the institution to manage the position or portfolio in accordance with Part A of Annex VII.

4.   Institutions shall establish and maintain systems and controls to manage their trading book in accordance with Parts B and D of Annex VII.

5.   Internal hedges may be included in the trading book, in which case Part C of Annex VII shall apply.
‘Original own funds’ means the sum of points (a) to (c), less the sum of points (i) to (k) of Article 57 of Directive 2006/48/EC.

The Commission shall, by 1 January 2009,,submit an appropriate proposal to the European Parliament and to the Council for amendment of this Chapter.
1.   Subject to paragraphs 2 to 5 of this Article and Articles 14 to 17, the own funds of investment firms and credit institutions shall be determined in accordance with Directive 2006/48/EC.

In addition, the first subparagraph applies to investment firms which do not have one of the legal forms referred to in Article 1(1) of the Fourth Council Directive 78/660/EEC of 25 July 1978 based on Article 54(3) of the Treaty on the annual accounts of certain types of companies(11).

2.   By way of derogation from paragraph 1, the competent authorities may permit those institutions which are obliged to meet the capital requirements calculated in accordance with Articles 21 and 28 to 32 and Annexes I and III to VI to use, for that purpose only, an alternative determination of own funds. No part of the own funds used for that purpose may be used simultaneously to meet other capital requirements.

Such an alternative determination shall be the sum of the items set out in points (a) to (c) of this subparagraph, minus the item set out in point (d), with the deduction of that last item being left to the discretion of the competent authorities:

(a)

own funds as defined in Directive 2006/48/EC,excluding only points (l) to (p) of Article 57 of that Directive for those investment firms which are required to deduct item (d) of this paragraph from the total of items (a) to (c);

(b)

an institution’s net trading-book profits net of any foreseeable charges or dividends, less net losses on its other business, provided that none of those amounts has already been included in item (a) of this paragraph as one of the items set out in points (b) or (k) of Article 57 of Directive 2006/48/EC;

(c)

subordinated loan capital and/or the items referred to in paragraph 5 of this Article, subject to the conditions set out in paragraphs 3 and 4 of this Article and in Article 14; and

(d)

illiquid assets as specified in Article 15.

3.   The subordinated loan capital referred to in point (c) of the second subparagraph of paragraph 2 shall have an initial maturity of at least two years. It shall be fully paid up and the loan agreement shall not include any clause providing that in specified circumstances, other than the winding up of the institution, the debt will become repayable before the agreed repayment date, unless the competent authorities approve the repayment. Neither the principal nor the interest on such subordinated loan capital may be repaid if such repayment would mean that the own funds of the institution in question would then amount to less than 100 % of that institution’s overall capital requirements.

In addition, an institution shall notify the competent authorities of all repayments on such subordinated loan capital as soon as its own funds fall below 120 % of its overall capital requirements.

4.   The subordinated loan capital referred to in point (c) of the second subparagraph of paragraph 2 may not exceed a maximum of 150 % of the original own funds left to meet the requirements calculated in accordance with Articles 21 and 28 to 32 and Annexes I to VI and may approach that maximum only in particular circumstances acceptable to the competent authorities.

5.   The competent authorities may permit institutions to replace the subordinated loan capital referred to in point (c) of the second subparagraph of paragraph 2 with points (d) to (h) of Article 57 of Directive 2006/48/EC.
1.   The competent authorities may permit investment firms to exceed the ceiling for subordinated loan capital set out in Article 13(4) if they judge it prudentially adequate and provided that the total of such subordinated loan capital and the items referred to in Article 13(5) does not exceed 200 % of the original own funds left to meet the requirements calculated in accordance with Articles 21 and 28 to 32 and Annexes I and III to VI, or 250 % of the same amount where investment firms deduct the item set out in Article 13(2)(d) when calculating own funds.

2.   The competent authorities may permit the ceiling for subordinated loan capital set out in Article 13(4) to be exceeded by a credit institution if they judge it prudentially adequate and provided that the total of such subordinated loan capital and points (d) to (h) of Article 57 of Directive 2006/48/EC does not exceed 250 % of the original own funds left to meet the requirements calculated in accordance with Articles 28 to 32 and Annexes I and III to VI to this Directive.
Illiquid assets as referred to in point (d) of the second subparagraph of Article 13(2) shall include the following:

(a)

tangible fixed assets, except to the extent that land and buildings may be allowed to count against the loans which they are securing;

(b)

holdings in, including subordinated claims on, credit or financial institutions which may be included in the own funds of those institutions, unless they have been deducted under points (l) to (p) of Article 57 of Directive 2006/48/EC or under Article 16(d) of this Directive;

(c)

holdings and other investments in undertakings other than credit or financial institutions, which are not readily marketable;

(d)

deficiencies in subsidiaries;

(e)

deposits made, other than those which are available for repayment within 90 days, and also excluding payments in connection with margined futures or options contracts;

(f)

loans and other amounts due, other than those due to be repaid within 90 days; and

(g)

physical stocks, unless they are already subject to capital requirements at least as stringent as those set out in Articles 18 and 20.

For the purposes of point (b), where shares in a credit or financial institution are held temporarily for the purpose of a financial assistance operation designed to reorganise and save that institution, the competent authorities may waive the application of this Article. They may also waive it in respect of those shares which are included in an investment firm’s trading book.
Investment firms included in a group which has been granted the waiver provided for in Article 22 shall calculate their own funds in accordance with Articles 13 to 15, subject to the following:

(a)

the illiquid assets referred to in Article 13(2)(d) shall be deducted;

(b)

the exclusion referred to in point (a) of Article 13(2) shall not cover those components of points (l) to (p) of Article 57 of Directive 2006/48/EC which an investment firm holds in respect of undertakings included in the scope of consolidation as defined in Article 2(1) of this Directive;

(c)

the limits referred to in points (a) and (b) of Article 66(1) of Directive 2006/48/EC shall be calculated with reference to the original own funds less the components of points (l) to (p) of Article 57 of that Directive as referred to in point (b) of this Article which are elements of the original own funds of those undertakings; and

(d)

the components of points (l) to (p) of Article 57 of Directive 2006/48/EC referred to in point (c) of this Article shall be deducted from the original own funds rather than from the total of all items as laid down in Article 66(2) of that Directive for the purposes in particular of Articles 13(4), 13(5) and 14 of this Directive.
1.   Where an institution calculates risk-weighted exposure amounts for the purposes of Annex II to this Directive in accordance with Articles 84 to 89 of Directive 2006/48/EC, then for the purposes of the calculation provided for in point 4 of Part 1 of Annex VII to Directive 2006/48/EC, the following shall apply:

(a)

value adjustments made to take account of the credit quality of the counterparty may be included in the sum of value adjustments and provisions made for the exposures indicated in Annex II; and

(b)

subject to the approval of the competent authorities, if the credit risk of the counterparty is adequately taken into account in the valuation of a position included in the trading book, the expected loss amount for the counterparty risk exposure shall be zero.

For the purposes of point (a), for such institutions, such value adjustments shall not be included in own funds other than in accordance with the provisions of this paragraph.

2.   For the purposes of this Article, Article 153 and 154 of Directive 2006/48/EC shall apply.
1.   Institutions shall have own funds which are always more than or equal to the sum of the following:

(a)

the capital requirements, calculated in accordance with the methods and options laid down in Articles 28 to 32 and Annexes I, II and VI and, as appropriate, Annex V, for their trading-book business; and

(b)

the capital requirements, calculated in accordance with the methods and options laid down in Annexes III and IV and, as appropriate, Annex V, for all of their business activities.

2.   By way of derogation from paragraph 1, the competent authorities may allow institutions to calculate the capital requirements for their trading book business in accordance with Article 75(a) of Directive 2006/48/EC and points 6, 7, and 9 of Annex II to this Directive, where the size of the trading book business meets the following requirements:

(a)

the trading-book business of such institutions does not normally exceed 5 % of their total business;

(b)

their total trading-book positions do not normally exceed EUR 15 million; and

(c)

the trading-book business of such institutions never exceeds 6 % of their total business and their total trading-book positions never exceed EUR 20 million.

3.   In order to calculate the proportion that trading-book business bears to total business for the purposes of points (a) and (c) of paragraph 2, the competent authorities may refer either to the size of the combined on- and off-balance-sheet business, to the profit and loss account or to the own funds of the institutions in question, or to a combination of those measures. When the size of on- and off-balance-sheet business is assessed, debt instruments shall be valued at their market prices or their principal values, equities at their market prices and derivatives according to the nominal or market values of the instruments underlying them. Long positions and short positions shall be summed regardless of their signs.

4.   If an institution should happen for more than a short period to exceed either or both of the limits imposed in paragraph 2(a) and (b) or either or both of the limits imposed in paragraph 2(c), it shall be required to meet the requirements imposed in paragraph 1(a) in respect of its trading-book business and to notify the competent authority thereof.
1.   For the purposes of point 14 of Annex I, subject to the discretion of the national authorities, a 0 % weighting can be assigned to debt securities issued by the entities listed in Table 1 of Annex I, where these debt securities are denominated and funded in domestic currency.

2.   By way of derogation from points 13 and 14 of Annex I, Member States may set a specific risk requirement for any bonds falling within points 68 to 70 of Part 1 of Annex VI to Directive 2006/48/EC which shall be equal to the specific risk requirement for a qualifying item with the same residual maturity as such bonds and reduced in accordance with the percentages given in point 71 of Part 1 to Annex VI to that Directive.

3.   If, as set out in point 52 of Annex I, a competent authority approves a third country’s collective investment undertaking (CIU) as eligible, a competent authority in another Member State may make use of this approval without conducting its own assessment.
1.   Subject to paragraphs 2, 3 and 4 of this Article, and Article 34 of this Directive, the requirements in Article 75 of Directive 2006/48/EC shall apply to investment firms.

2.   By way of derogation from paragraph 1, competent authorities may allow investment firms that are not authorised to provide the investment services listed in points 3 and 6 of Section A of Annex I to Directive 2004/39/EC to provide own funds which are always more than or equal to the higher of the following:

(a)

the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)

the amount laid down in Article 21 of this Directive.

3.   By way of derogation from paragraph 1, competent authorities may allow investment firms which hold initial capital as set out in Article 9, but which fall within the following categories, to provide own funds which are always more than or equal to the sum of the capital requirements calculated in accordance with the requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC and the amount laid down in Article 21 of this Directive:

(a)

investment firms that deal on own account only for the purpose of fulfilling or executing a client order or for the purpose of gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order; and

b)

investment firms:

(i)

that do not hold client money or securities;

(ii)

that undertake only dealing on own account;

(iii)

that have no external customers;

(iv)

the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.

4.   Investment firms referred to in paragraphs 2 and 3 shall remain subject to all other provisions regarding operational risk set out in Annex V of Directive 2006/48/EC.

5.   Article 21 shall apply only to investment firms to which paragraphs (2) or (3) or Article 46 apply and in the manner specified therein.
Investment firms shall be required to hold own funds equivalent to one quarter of their preceding year’s fixed overheads.

The competent authorities may adjust that requirement in the event of a material change in a firm’s business since the preceding year.

Where a firm has not completed a year’s business, starting from the day it starts up, the requirement shall be a quarter of the fixed overheads projected in its business plan, unless an adjustment to that plan is required by the competent authorities.
1.   The competent authorities required or mandated to exercise supervision of groups covered by Article 2 on a consolidated basis may waive, on a case-by-case basis, the application of capital requirements on a consolidated basis provided that:

(a)

each EU investment firm in such a group uses the calculation of own funds set out in Article 16;

(b)

all investment firms in such a group fall within the categories in Article 20(2) and (3);

(c)

each EU investment firm in such a group meets the requirements imposed in Articles 18 and 20 on an individual basis and at the same time deducts from its own funds any contingent liability in favour of investment firms, financial institutions, asset management companies and ancillary services undertakings, which would otherwise be consolidated and;

(d)

any financial holding company which is the parent financial holding company in a Member State of any investment firm in such a group holds at least as much capital, defined here as the sum of points (a) to (h) of Article 57 of Directive 2006/48/EC, as the sum of the full book value of any holdings, subordinated claims and instruments as referred to in Article 57 of that Directive in investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated, and the total amount of any contingent liability in favour of investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated.

Where the criteria in the first subparagraph are met, each EU investment firm shall have in place systems to monitor and control the sources of capital and funding of all financial holding companies, investment firms, financial institutions, asset management companies and ancillary services undertakings within the group.

2.   By way of derogation from paragraph 1, competent authorities may permit financial holding companies which are the parent financial holding company in a Member State of an investment firm in such a group to use a value lower than the value calculated under paragraph 1(d), but no lower than the sum of the requirements imposed in Articles 18 and 20 on an individual basis to investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated and the total amount of any contingent liability in favour of investment firms, financial institutions, asset management companies and ancillary services undertakings which would otherwise be consolidated. For the purposes of this paragraph, the capital requirement for investment undertakings of third countries, financial institutions, asset management companies and ancillary services undertakings is a notional capital requirement.
The competent authorities shall require investment firms in a group which has been granted the waiver provided for in Article 22 to notify them of the risks which could undermine their financial positions, including those associated with the composition and sources of their capital and funding. If the competent authorities then consider that the financial positions of those investment firms is not adequately protected, they shall require them to take measures including, if necessary, limitations on the transfer of capital from such firms to group entities.

Where the competent authorities waive the obligation of supervision on a consolidated basis provided for in Article 22, they shall take other appropriate measures to monitor the risks, namely large exposures, of the whole group, including any undertakings not located in a Member State.

Where the competent authorities waive the application of capital requirements on a consolidated basis provided for in Article 22, the requirements of Article 123 and Chapter 5 of Title V of Directive 2006/48/EC shall apply on an individual basis, and the requirements of Article 124 of that Directive shall apply to the supervision of investment firms on an individual basis.
1.   By way of derogation from Article 2(2), competent authorities may exempt investment firms from the consolidated capital requirement established in that Article, provided that all the investment firms in the group are covered by Article 20(2) and the group does not include credit institutions.

2.   Where the requirements of paragraph 1 are met, a parent investment firm in a Member State shall be required to provide own funds at a consolidated level which are always more than or equal to the higher of the following two amounts, calculated on the basis of the parent investment firm’s consolidated financial position and in compliance with Section 3 of this Chapter:

(a)

the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)

the amount prescribed in Article 21 of this Directive.

3.   Where the requirements of paragraph 1 are met, an investment firm controlled by a financial holding company shall be required to provide own funds at a consolidated level which are always more than or equal to the higher of the following two amounts, calculated on the basis of the financial holding company’s consolidated financial position and in compliance with Section 3 of this Chapter:

(a)

the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(b)

the amount prescribed in Article 21 of this Directive.
By way of derogation from Article 2(2), competent authorities may exempt investment firms from the consolidated capital requirement established in that Article, provided that all the investment firms in the group fall within the investment firms referred to in Article 20(2) and (3), and the group does not include credit institutions.

Where the requirements of the first paragraph are met, a parent investment firm in a Member State shall be required to provide own funds at a consolidated level which are always more than or equal to the sum of the requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC and the amount prescribed in Article 21 of this Directive, calculated on the basis of the parent investment firm’s consolidated financial position and in compliance with Section 3 of this Chapter.

Where the requirements of the first paragraph are met, an investment firm controlled by a financial holding company shall be required to provide own funds at a consolidated level which are always more than or equal to the sum of the requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC and the amount prescribed in Article 21 of this Directive, calculated on the basis of the financial holding company’s consolidated financial position and in compliance with Section 3 of this Chapter.
1.   Where the waiver provided for in Article 22 is not exercised, the competent authorities may, for the purpose of calculating the capital requirements set out in Annexes I and V and the exposures to clients set out in Articles 28 to 32 and Annex VI on a consolidated basis, permit positions in the trading book of one institution to offset positions in the trading book of another institution according to the rules set out in Articles 28 to 32 Annexes I, V and VI.

In addition, the competent authorities may allow foreign-exchange positions in one institution to offset foreign-exchange positions in another institution in accordance with the rules set out in Annex III and/or Annex V. They may also allow commodities positions in one institution to offset commodities positions in another institution in accordance with the rules set out in Annex IV and/or Annex V.

2.   The competent authorities may permit offsetting of the trading book and of the foreign-exchange and commodities positions, respectively, of undertakings located in third countries, subject to the simultaneous fulfilment of the following conditions:

(a)

such undertakings have been authorised in a third country and either satisfy the definition of credit institution set out in Article 4(1) of Directive 2006/48/EC or are recognised third-country investment firms;

(b)

such undertakings comply, on an individual basis, with capital adequacy rules equivalent to those laid down in this Directive; and

(c)

no regulations exist in the third countries in question which might significantly affect the transfer of funds within the group.

3.   The competent authorities may also allow the offsetting provided for in paragraph 1 between institutions within a group that have been authorised in the Member State in question, provided that:

(a)

there is a satisfactory allocation of capital within the group; and

(b)

the regulatory, legal or contractual framework in which the institutions operate is such as to guarantee mutual financial support within the group.

4.   Furthermore, the competent authorities may allow the offsetting provided for in paragraph 1 between institutions within a group that fulfil the conditions imposed in paragraph 3 and any institution included in the same group which has been authorised in another Member State provided that that institution is obliged to fulfil the capital requirements imposed in Articles 18, 20 and 28 on an individual basis.
1.   In the calculation of own funds on a consolidated basis Article 65 of Directive 2006/48/EC shall apply.

2.   The competent authorities responsible for exercising supervision on a consolidated basis may recognise the validity of the specific own-funds definitions applicable to the institutions concerned under Chapter IV in the calculation of their consolidated own funds.
1.   Institutions shall monitor and control their large exposures in accordance with Articles 106 to 118 of Directive 2006/48/EC.

2.   By way of derogation from paragraph 1, institutions which calculate the capital requirements for their trading-book business in accordance with Annexes I and II, and, as appropriate, Annex V to this Directive, shall monitor and control their large exposures in accordance with Articles 106 to 118 of Directive 2006/48/EC subject to the amendments laid down in Articles 29 to 32 of this Directive.

3.   By 31 December 2007, the Commission shall submit to the European Parliament and to the Council a report on the functioning of this Section, together with any appropriate proposals.
1.   The exposures to individual clients which arise on the trading book shall be calculated by summing the following items:

(a)

the excess — where positive — of an institution’s long positions over its short positions in all the financial instruments issued by the client in question, the net position in each of the different instruments being calculated according to the methods laid down in Annex I;

(b)

the net exposure, in the case of the underwriting of a debt or an equity instrument; and

(c)

the exposures due to the transactions, agreements and contracts referred to in Annex II with the client in question, such exposures being calculated in the manner laid down in that Annex, for the calculation of exposure values.

For the purposes of point (b), the net exposure is calculated by deducting those underwriting positions which are subscribed or sub-underwritten by third parties on the basis of a formal agreement reduced by the factors set out in point 41 of Annex I.

For the purposes of point (b), pending further coordination, the competent authorities shall require institutions to set up systems to monitor and control their underwriting exposures between the time of the initial commitment and working day one in the light of the nature of the risks incurred in the markets in question.

For the purposes of point (c), Articles 84 to 89 of Directive 2006/48/EC shall be excluded from the reference in point 6 of Annex II to this Directive.

2.   The exposures to groups of connected clients on the trading book shall be calculated by summing the exposures to individual clients in a group, as calculated in paragraph 1.
1.   The overall exposures to individual clients or groups of connected clients shall be calculated by summing the exposures which arise on the trading book and the exposures which arise on the non-trading book, taking into account Article 112 to 117 of Directive 2006/48/EC.

In order to calculate the exposure which arises on the non-trading book, institutions shall take the exposure arising from assets which are deducted from their own funds by virtue of point (d) of the second subparagraph of Article 13(2) to be zero.

2.   Institutions’ overall exposures to individual clients and groups of connected clients calculated in accordance with paragraph 4 shall be reported in accordance with Article 110 of Directive 2006/48/EC.

Other than in relation to repurchase transactions, securities or commodities lending or borrowing transactions, the calculation of large exposures to individual clients and groups of connected clients for reporting purposes shall not include the recognition of credit risk mitigation.

3.   The sum of the exposures to an individual client or group of connected clients in paragraph 1 shall be limited in accordance with Articles 111 to 117 of Directive 2006/48/EC.

4.   By derogation from paragraph 3 competent authorities may allow assets constituting claims and other exposures on recognised third-country investment firms and recognised clearing houses and exchanges in financial instruments to be subject to the same treatment accorded to those on institutions laid out in Articles 113(3)(i), 115(2) and 116 of Directive 2006/48/EC.
The competent authorities may authorise the limits laid down in Articles 111 to 117 of Directive 2006/48/EC to be exceeded if the following conditions are met:

(a)

the exposure on the non-trading book to the client or group of clients in question does not exceed the limits laid down in Articles 111 to 117 of Directive 2006/48/EC, those limits being calculated with reference to own funds as specified in that Directive, so that the excess arises entirely on the trading book;

(b)

the institution meets an additional capital requirement on the excess in respect of the limits laid down in Article 111(1) and (2) of Directive 2006/48/EC, that additional capital requirement being calculated in accordance with Annex VI to that Directive;

(c)

where 10 days or less has elapsed since the excess occurred, the trading-book exposure to the client or group of connected clients in question shall not exceed 500 % of the institution’s own funds;

(d)

any excesses that have persisted for more than 10 days must not, in aggregate, exceed 600 % of the institution’s own funds; and

(e)

institutions shall report to the competent authorities every three months all cases where the limits laid down in Article 111(1) and (2) of Directive 2006/48/EC have been exceeded during the preceding three months.

In relation to point (e), in each case in which the limits have been exceeded the amount of the excess and the name of the client concerned shall be reported.
1.   The competent authorities shall establish procedures to prevent institutions from deliberately avoiding the additional capital requirements that they would otherwise incur, on exposures exceeding the limits laid down in Article 111(1) and (2) of Directive 2006/48/EC once those exposures have been maintained for more than 10 days, by means of temporarily transferring the exposures in question to another company, whether within the same group or not, and/or by undertaking artificial transactions to close out the exposure during the 10-day period and create a new exposure.

The competent authorities shall notify the Council and the Commission of those procedures.

Institutions shall maintain systems which ensure that any transfer which has the effect referred to in the first subparagraph is immediately reported to the competent authorities.

2.   The competent authorities may permit institutions which are allowed to use the alternative determination of own funds under Article 13(2) to use that determination for the purposes of Articles 30(2), 30(3) and 31 provided that the institutions concerned are required to meet all of the obligations set out in Articles 110 to 117 of Directive 2006/48/EC, in respect of the exposures which arise outside their trading books by using own funds as defined in that Directive.
1.   All trading book positions shall be subject to prudent valuation rules as specified in Annex VII, Part B. These rules shall require institutions to ensure that the value applied to each of its trading book positions appropriately reflects the current market value. The former value shall contain an appropriate degree of certainty having regard to the dynamic nature of trading book positions, the demands of prudential soundness and the mode of operation and purpose of capital requirements in respect of trading book positions.

2.   Trading book positions shall be re-valued at least daily.

3.   In the absence of readily available market prices, the competent authorities may waive the requirement imposed in paragraphs 1 and 2 and shall require institutions to use alternative methods of valuation provided that those methods are sufficiently prudent and have been approved by competent authorities.
Competent authorities shall require that every investment firm, as well as meeting the requirements set out in Article 13 of Directive 2004/39/EC, shall meet the requirements set out in Articles 22 and 123 of Directive 2006/48/EC, subject to the provisions on level of application set out in Articles 68 to 73 of that Directive.
1.   Member States shall require that investment firms and credit institutions provide the competent authorities of their home Member States with all the information necessary for the assessment of their compliance with the rules adopted in accordance with this Directive. Member States shall also ensure that internal control mechanisms and administrative and accounting procedures of the institutions permit the verification of their compliance with such rules at all times.

2.   Investment firms shall report to the competent authorities in the manner specified by the latter at least once every month in the case of firms covered by Article 9, at least once every three months in the case of firms covered by Article 5(1) and at least once every six months in the case of firms covered by Article 5(3).

3.   Notwithstanding paragraph 2, investment firms covered by Articles 5(1) and 9 shall be required to provide the information on a consolidated or sub-consolidated basis only once every six months.

4.   Credit institutions shall be obliged to report in the manner specified by the competent authorities as often as they are obliged to report under Directive 2006/48/EC.

5.   The competent authorities shall oblige institutions to report to them immediately any case in which their counter parties in repurchase and reverse repurchase agreements or securities and commodities-lending and securities and commodities-borrowing transactions default on their obligations.
1.   Member States shall designate the authorities which are competent to carry out the duties provided for in this Directive. They shall inform the Commission thereof, indicating any division of duties.

2.   The competent authorities shall be public authorities or bodies officially recognized by national law or by public authorities as part of the supervisory system in operation in the Member State concerned.

3.   The competent authorities shall be granted all the powers necessary for the performance of their tasks, and in particular that of overseeing the constitution of trading books.
1.   Chapter 4 of Title V of Directive 2006/48/EC shall apply mutatis mutandis to the supervision of investment firms in accordance with the following:

(a)

references to Article 6 of Directive 2006/48/EC shall be construed as references to Article 5 of Directive 2004/39/EC;

(b)

references to Article 22 and 123 of Directive 2006/48/EC shall be construed s references to Article 34 of this Directive; and

(c)

references to Articles 44 to 52 of Directive 2006/48/EC shall be construed as references to Articles 54 and 58 of Directive 2004/39/EC.

Where an EU parent financial holding company has as subsidiary both a credit institution and an investment firm, Title V, Chapter 4 of Directive 2006/48/EC shall apply to the supervision of institutions as if references to credit institutions were to institutions.

2.   Article 129(2) of Directive 2006/48/EC shall also apply to the recognition of internal models of institutions under Annex V to this Directive where the application is submitted by an EU parent credit institution and its subsidiaries or an EU parent investment firm and its subsidiaries, or jointly by the subsidiaries of an EU parent financial holding company.

The period for the recognition referred to in the first sub-paragraph shall be six months.
1.   The competent authorities of the Member States shall cooperate closely in the performance of the duties provided for in this Directive, particularly where investment services are provided on the basis of the freedom to provide services or through the establishment of branches.

The competent authorities shall on request supply one another with all information likely to facilitate the supervision of the capital adequacy of institutions, in particular the verification of their compliance with the rules laid down in this Directive.

2.   Any exchange of information between competent authorities which is provided for in this Directive shall be subject to the following obligations of professional secrecy:

(a)

for investment firms, those imposed in Article 54 and 58 of Directive 2004/39/EC; and

(b)

for credit institutions, those imposed in Articles 44 to 52 of Directive 2006/48/EC.
The requirements set out in Title V, Chapter 5 of Directive 2006/48/EC shall apply to investment firms.
For the purposes of the calculation of minimum capital requirements for counterparty risk under this Directive, and for the calculation of minimum capital requirements for credit risk under Directive 2006/48/EC, and without prejudice to the provisions of Part 2, point 6 of Annex III to that Directive, exposures to recognised third-country investment firms and exposures to recognised clearing houses and exchanges shall be treated as exposures to institutions.
1.   The Commission shall decide on any technical adaptations in the following areas in accordance with the procedure referred to in Article 42(2):

(a)

clarification of the definitions in Article 3 in order to ensure uniform application of this Directive;

(b)

clarification of the definitions in Article 3 to take account of developments on financial markets;

(c)

adjustment of the amounts of initial capital prescribed in Articles 5 to 9 and the amount referred to in Article 18(2) to take account of developments in the economic and monetary field;

(d)

adjustment of the categories of investment firms in Article 20(2) and (3) to take account of developments on financial markets;

(e)

clarification of the requirement laid down in Article 21 to ensure uniform application of this Directive;

(f)

alignment of terminology on and the framing of definitions in accordance with subsequent acts on institutions and related matters;

(g)

adjustment of the technical provisions in Annexes I to VII as a result of developments on financial markets, risk measurement, accounting standards or requirements which take account of Community legislation or which have regard to convergence of supervisory practices; or

(h)

technical adaptations to take account of the outcome of the review referred to in Article 65(3) of Directive 2004/39/EC.

2.   None of the implementing measures enacted may change the essential provisions of this Directive
1.   The Commission shall be assisted by the European Banking Committee established by Commission Decision 2004/10/EC(12)of 5 November 2003 (hereinafter referred to as ‘the Committee’).

2.   Where reference is made to this paragraph, the procedure laid down in Article 5 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 7(3) and 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be three months.

3.   Without prejudice to the implementing measures already adopted, upon expiry of a two-year period following the adoption of this Directive, and by 1 April 2008, the application of the provisions of this Directive requiring the adoption of technical rules, amendments and decisions in accordance with paragraph 2 shall be suspended. Acting on a proposal from the Commission and in accordance with the procedure laid down in Article 251 of the Treaty, the Parliament and the Council may renew those provisions and, to that end, shall review them prior to the expiry of the period or by the date referred to in this paragraph, whichever the earlier.

4.   The Committee shall adopt its Rules of Procedure
Article 152(1) to (7) of Directive 2006/48/EC shall apply, in accordance with Article 2 and Chapter V, Sections 2 and 3 of this Directive, to investment firms calculating risk-weighted exposure amounts, for the purposes of Annex II to this Directive, in accordance with Articles 84 to 89 of Directive 2006/48/EC, or using the Advanced Measurement Approach as specified in Article 105 of that Directive for the calculation of their capital requirements for operational risk.
Until 31 December 2012, for investment firms the relevant indicator for the trading and sales business line of which represents at least 50 % of the total of relevant indicators for all of their business lines calculated in accordance with Article 20 of this Directive and points 1 to 4 of Part 2 of Annex X to Directive 2006/48/EC, Member States may apply a percentage of 15 % to the business line ‘trading and sales’.
1.   Competent authorities may permit investment firms to exceed the limits concerning large exposures set out in Article 111 of Directive 2006/48/EC. Investment firms need not include any excesses in their calculation of capital requirements exceeding such limits, as set out in Article 75(b) of that Directive. This discretion is available until 31 December 2010 or the date of entry into force of any modifications consequent to the treatment of large exposures pursuant to Article 119 of Directive 2006/48/EC, whichever is the earlier. For this discretion to be exercised, the following conditions shall be met:

(a)

the investment firm provides investment services or investment activities related to the financial instruments listed in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC;

(b)

the investment firm does not provide such investment services or undertake such investment activities for, or on behalf of, retail clients;

c)

breaches of the limits referred to in the introductory part of this paragraph arise in connection with exposures resulting from contracts that are financial instruments as listed in point (a) and relate to commodities or underlyings within the meaning of point 10 of Section C of Annex I to Directive 2004/39/EC (MiFID) and are calculated in accordance with Annexes III and IV of Directive 2006/48/EC, or in connection with exposures resulting from contracts concerning the delivery of commodities or emission allowances; and

(d)

the investment firm has a documented strategy for managing and, in particular, for controlling and limiting risks arising from the concentration of exposures. The investment firm shall inform the competent authorities of this strategy and all material changes to it without delay. The investment firm shall make appropriate arrangements to ensure a continuous monitoring of the creditworthiness of borrowers, according to their impact on concentration risk. These arrangements shall enable the investment firm to react adequately and sufficiently promptly to any deterioration in that creditworthiness.

2.   Where an investment firm exceeds the internal limits set according to the strategy referred to in point (d) of paragraph 1, it shall notify the competent authority without delay of the size and nature of the excess and of the counterparty.
By way of derogation from Article 20(1), until 31 December 2011 competent authorities may choose, on a case-by-case basis, not to apply the capital requirements arising from point (d) of Article 75 of Directive 2006/48/EC in respect of investment firms to which Article 20(2) and (3) do not apply, whose total trading book positions never exceed EUR 50 million and whose average number of relevant employees during the financial year does not exceed 100.

Instead, the capital requirement in relation to those investment firms shall be at least the lower of:

(a)

the capital requirements arising from point (d) of Article 75 of Directive 2006/48/EC; and

b)

12/88 of the higher of the following:

(i)

the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and

(ii)

the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).

If point (b) applies, an incremental increase shall be applied on at least an annual basis.

Applying this derogation shall not result in a reduction in the overall level of capital requirements for an investment firm, in comparison to the requirements as at 31 December 2006, unless such a reduction is prudentially justified by a reduction in the size of the investment firm’s business.
Until 31 December 2009 or any earlier date specified by the competent authorities on a case-by-case basis, institutions that have received specific risk model recognition prior to 1 January 2007 in accordance with point 1 of Annex V may, for that existing recognition, treat points 4 and 8 of Annex V to Directive 93/6/EEC as those points stood prior to 1 January 2007.
1.   The provisions on capital requirements as laid down in this Directive and Directive 2006/48/EC shall not apply to investment firms whose main business consists exclusively of the provision of investment services or activities in relation to the financial instruments set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC and to whom Directive 93/22/EEC(13)did not apply on 31 December 2006. This exemption is available until 31 December 2010 or the date of entry into force of any modifications pursuant to paragraphs 2 and 3, whichever is the earlier.

2.   As part of the review required by Article 65(3) of Directive 2004/39/EC, the Commission shall, on the basis of public consultations and in the light of discussions with the competent authorities, report to the Parliament and the Council on:

(a)

an appropriate regime for the prudential supervision of investment firms whose main business consists exclusively of the provision of investment services or activities in relation to the commodity derivatives or derivatives contracts set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC; and

(b)

the desirability of amending Directive 2004/39/EC to create a further category of investment firm whose main business consists exclusively of the provision of investment services or activities in relation to the financial instruments set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC relating to energy supplies (including electricity, coal, gas and oil).

3.   On the basis of the report referred to in paragraph 2, the Commission may submit proposals for amendments to this Directive and to Directive 2006/48/EC
1.   Member States shall adopt and publish, by 31 December 2006, the laws, regulations and administrative provisions necessary to comply with Articles 2, 3, 11, 13, 17, 18, 19, 20, 22, 23, 24, 25, 29, 30, 33, 34, 35, 37, 39, 40, 41, 43, 44, 50 and the Annexes I, II, III, V, VII. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

They shall apply those provisions from 1 January 2007.

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

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
1.   Article 152(8) to (14) of Directive 2006/48/EC shall apply mutatis mutandis for the purposes of this Directive subject to the following provisions which shall apply where the discretion referred to in Article 152(8) of Directive 2006/48/EC is exercised:

(a)

references in point 7 of Annex II to this Directive to Directive 2006/48/EC shall be read as references to Directive 2000/12/EC as that Directive stood prior to 1 January 2007; and

(b)

point 4 of Annex II to this Directive shall apply as it stood prior to 1 January 2007.

2.   Article 157(3) of Directive 2006/48/EC shall apply mutatis mutandis for the purposes of Articles 18 and 20 of this Directive.
By 1 January 2011, the Commission shall review and report on the application of this Directive and submit its report to the Parliament and the Council together with any appropriate proposals for amendment.
Directive 93/6/EEC, as amended by the Directives listed in Annex VIII, Part A, is repealed, without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex VIII, Part B.

References made to the repealed directives shall be construed as being made to this Directive and should be read in accordance with the correspondence table set out in Annex IX.
This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Directive is addressed to the Member States.
GENERAL PROVISIONSANNEX ICALCULATING CAPITAL REQUIREMENTS FOR POSITION RISKNetting

 | 1. | The excess of an institution’s long (short) positions over its short (long) positions in the same equity, debt and convertible issues and identical financial futures, options, warrants and covered warrants shall be its net position in each of those different instruments. In calculating the net position the competent authorities shall allow positions in derivative instruments to be treated, as laid down in points 4 to 7, as positions in the underlying (or notional) security or securities. Institutions’ holdings of their own debt instruments shall be disregarded in calculating specific risk under point 14.

 | 2. | No netting shall be allowed between a convertible and an offsetting position in the instrument underlying it, unless the competent authorities adopt an approach under which the likelihood of a particular convertible’s being converted is taken into account or have a capital requirement to cover any loss which conversion might entail.

 | 3. | All net positions, irrespective of their signs, must be converted on a daily basis into the institution’s reporting currency at the prevailing spot exchange rate before their aggregation.Particular instruments

 | 4. | Interest‐rate futures, forward‐rate agreements (FRAs) and forward commitments to buy or sell debt instruments shall be treated as combinations of long and short positions. Thus a long interest‐rate futures position shall be treated as a combination of a borrowing maturing on the delivery date of the futures contract and a holding of an asset with maturity date equal to that of the instrument or notional position underlying the futures contract in question. Similarly a sold FRA will be treated as a long position with a maturity date equal to the settlement date plus the contract period, and a short position with maturity equal to the settlement date. Both the borrowing and the asset holding shall be included in the first category set out in Table 1 in point 14 in order to calculate the capital required against specific risk for interest‐rate futures and FRAs. A forward commitment to buy a debt instrument shall be treated as a combination of a borrowing maturing on the delivery date and a long (spot) position in the debt instrument itself. The borrowing shall be included in the first category set out in Table 1 in point 14 for purposes of specific risk, and the debt instrument under whichever column is appropriate for it in the same table.The competent authorities may allow the capital requirement for an exchange‐traded future to be equal to the margin required by the exchange if they are fully satisfied that it provides an accurate measure of the risk associated with the future and that it is at least equal to the capital requirement for a future that would result from a calculation made using the method set out in this Annex or applying the internal models method described in Annex V. The competent authorities may also allow the capital requirement for an OTC derivatives contract of the type referred to in this point cleared by a clearing house recognised by them to be equal to the margin required by the clearing house if they are fully satisfied that it provides an accurate measure of the risk associated with the derivatives contract and that it is at least equal to the capital requirement for the contract in question that would result from a calculation made using the method set out in the this Annex or applying the internal models method described in Annex V.For the purposes of this point, ‘long position’ means a position in which an institution has fixed the interest rate it will receive at some time in the future, and ‘short position’ means a position in which it has fixed the interest rate it will pay at some time in the future.

 | 5. | Options on interest rates, debt instruments, equities, equity indices, financial futures, swaps and foreign currencies shall be treated as if they were positions equal in value to the amount of the underlying instrument to which the option refers, multiplied by its delta for the purposes of this Annex. The latter positions may be netted off against any offsetting positions in the identical underlying securities or derivatives. The delta used shall be that of the exchange concerned, that calculated by the competent authorities or, where that is not available or for OTC-options, that calculated by the institution itself, subject to the competent authorities being satisfied that the model used by the institution is reasonable.However, the competent authorities may also prescribe that institutions calculate their deltas using a methodology specified by the competent authorities.Other risks, apart from the delta risk, associated with options shall be safeguarded against. The competent authorities may allow the requirement against a written exchange‐traded option to be equal to the margin required by the exchange if they are fully satisfied that it provides an accurate measure of the risk associated with the option and that it is at least equal to the capital requirement against an option that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V. The competent authorities may also allow the capital requirement for an OTC option cleared by a clearing house recognised by them to be equal to the margin required by the clearing house if they are fully satisfied that it provides an accurate measure of the risk associated with the option and that it is at least equal to the capital requirement for an OTC option that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V. In addition they may allow the requirement on a bought exchange‐traded or OTC option to be the same as that for the instrument underlying it, subject to the constraint that the resulting requirement does not exceed the market value of the option. The requirement against a written OTC option shall be set in relation to the instrument underlying it.

 | 6. | Warrants relating to debt instruments and equities shall be treated in the same way as options under point 5.

 | 7. | Swaps shall be treated for interest‐rate risk purposes on the same basis as on‐balance‐sheet instruments. Thus, an interest‐rate swap under which an institution receives floating‐rate interest and pays fixed‐rate interest shall be treated as equivalent to a long position in a floating‐rate instrument of maturity equivalent to the period until the next interest fixing and a short position in a fixed‐rate instrument with the same maturity as the swap itself.A.   TREATMENT OF THE PROTECTION SELLER

 | 8. | When calculating the capital requirement for market risk of the party who assumes the credit risk (the ‘protection seller’), unless specified differently, the notional amount of the credit derivative contract must be used. For the purpose of calculating the specific risk charge, other than for total return swaps, the maturity of the credit derivative contract is applicable instead of the maturity of the obligation. Positions are determined as follows:(i)A total return swap creates a long position in the general market risk of the reference obligation and a short position in the general market risk of a government bond with a maturity equivalent to the period until the next interest fixing and which is assigned a 0 % risk weight under Annex VI of Directive 2006/48/EC. It also creates a long position in the specific risk of the reference obligation.(ii)A credit default swap does not create a position for general market risk. For the purposes of specific risk, the institution must record a synthetic long position in an obligation of the reference entity, unless the derivative is rated externally and meets the conditions for a qualifying debt item, in which case a long position in the derivative is recorded. If premium or interest payments are due under the product, these cash flows must be represented as notional positions in government bonds.(iii)A single name credit linked note creates a long position in the general market risk of the note itself, as an interest rate product. For the purpose of specific risk, a synthetic long position is created in an obligation of the reference entity. An additional long position is created in the issuer of the note. Where the credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.(iv)In addition to a long position in the specific risk of the issuer of the note, a multiple name credit linked note providing proportional protection creates a position in each reference entity, with the total notional amount of the contract assigned across the positions according to the proportion of the total notional amount that each exposure to a reference entity represents. Where more than one obligation of a reference entity can be selected, the obligation with the highest risk weighting determines the specific risk.Where a multiple name credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.(v)A first-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity. If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, the maximum payment amount may be taken as the capital requirement for specific risk.A second-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity less one (that with the lowest specific risk capital requirement). If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, this amount may be taken as the capital requirement for specific risk.If a first or second-asset to default derivative is externally rated and meets the conditions for a qualifying debt item, then the protection seller need only calculate one specific risk charge reflecting the rating of the derivative. | (i) | A total return swap creates a long position in the general market risk of the reference obligation and a short position in the general market risk of a government bond with a maturity equivalent to the period until the next interest fixing and which is assigned a 0 % risk weight under Annex VI of Directive 2006/48/EC. It also creates a long position in the specific risk of the reference obligation. | (ii) | A credit default swap does not create a position for general market risk. For the purposes of specific risk, the institution must record a synthetic long position in an obligation of the reference entity, unless the derivative is rated externally and meets the conditions for a qualifying debt item, in which case a long position in the derivative is recorded. If premium or interest payments are due under the product, these cash flows must be represented as notional positions in government bonds. | (iii) | A single name credit linked note creates a long position in the general market risk of the note itself, as an interest rate product. For the purpose of specific risk, a synthetic long position is created in an obligation of the reference entity. An additional long position is created in the issuer of the note. Where the credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded. | (iv) | In addition to a long position in the specific risk of the issuer of the note, a multiple name credit linked note providing proportional protection creates a position in each reference entity, with the total notional amount of the contract assigned across the positions according to the proportion of the total notional amount that each exposure to a reference entity represents. Where more than one obligation of a reference entity can be selected, the obligation with the highest risk weighting determines the specific risk.Where a multiple name credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded. | (v) | A first-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity. If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, the maximum payment amount may be taken as the capital requirement for specific risk.A second-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity less one (that with the lowest specific risk capital requirement). If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, this amount may be taken as the capital requirement for specific risk.If a first or second-asset to default derivative is externally rated and meets the conditions for a qualifying debt item, then the protection seller need only calculate one specific risk charge reflecting the rating of the derivative.

(i) | A total return swap creates a long position in the general market risk of the reference obligation and a short position in the general market risk of a government bond with a maturity equivalent to the period until the next interest fixing and which is assigned a 0 % risk weight under Annex VI of Directive 2006/48/EC. It also creates a long position in the specific risk of the reference obligation.

(ii) | A credit default swap does not create a position for general market risk. For the purposes of specific risk, the institution must record a synthetic long position in an obligation of the reference entity, unless the derivative is rated externally and meets the conditions for a qualifying debt item, in which case a long position in the derivative is recorded. If premium or interest payments are due under the product, these cash flows must be represented as notional positions in government bonds.

(iii) | A single name credit linked note creates a long position in the general market risk of the note itself, as an interest rate product. For the purpose of specific risk, a synthetic long position is created in an obligation of the reference entity. An additional long position is created in the issuer of the note. Where the credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.

(iv) | In addition to a long position in the specific risk of the issuer of the note, a multiple name credit linked note providing proportional protection creates a position in each reference entity, with the total notional amount of the contract assigned across the positions according to the proportion of the total notional amount that each exposure to a reference entity represents. Where more than one obligation of a reference entity can be selected, the obligation with the highest risk weighting determines the specific risk.Where a multiple name credit linked note has an external rating and meets the conditions for a qualifying debt item, a single long position with the specific risk of the note need only be recorded.

(v) | A first-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity. If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, the maximum payment amount may be taken as the capital requirement for specific risk.A second-asset-to-default credit derivative creates a position for the notional amount in an obligation of each reference entity less one (that with the lowest specific risk capital requirement). If the size of the maximum credit event payment is lower than the capital requirement under the method in the first sentence of this point, this amount may be taken as the capital requirement for specific risk.If a first or second-asset to default derivative is externally rated and meets the conditions for a qualifying debt item, then the protection seller need only calculate one specific risk charge reflecting the rating of the derivative.B.   TREATMENT OF THE PROTECTION BUYERFor the party who transfers credit risk (the ‘protection buyer’), the positions are determined as the mirror image of the protection seller, with the exception of a credit linked note (which entails no short position in the issuer). If at a given moment there is a call option in combination with a step‐up, such moment is treated as the maturity of the protection. In the case of nthto default credit derivatives, protection buyers are allowed to off‐set specific risk for n-1 of the underlyings (i.e., the n-1 assets with the lowest specific risk charge).
 | 9. | Institutions which mark to market and manage the interest‐rate risk on the derivative instruments covered in points 4 to 7 on a discounted‐cash‐flow basis may use sensitivity models to calculate the positions referred to in those points and may use them for any bond which is amortised over its residual life rather than via one final repayment of principal. Both the model and its use by the institution must be approved by the competent authorities. These models should generate positions which have the same sensitivity to interest‐rate changes as the underlying cash flows. This sensitivity must be assessed with reference to independent movements in sample rates across the yield curve, with at least one sensitivity point in each of the maturity bands set out in Table 2 of point 20. The positions shall be included in the calculation of capital requirements according to the provisions laid down in points 17 to 32.

 | 10. | Institutions which do not use models under point 9 may, with the approval of the competent authorities, treat as fully offsetting any positions in derivative instruments covered in points 4 to 7 which meet the following conditions at least:(a)the positions are of the same value and denominated in the same currency;(b)the reference rate (for floating‐rate positions) or coupon (for fixed‐rate positions) is closely matched; and(c)the next interest‐fixing date or, for fixed coupon positions, residual maturity corresponds with the following limits:(i)less than one month hence: same day;(ii)between one month and one year hence: within seven days; and(iii)over one year hence: within 30 days. | (a) | the positions are of the same value and denominated in the same currency; | (b) | the reference rate (for floating‐rate positions) or coupon (for fixed‐rate positions) is closely matched; and | (c) | the next interest‐fixing date or, for fixed coupon positions, residual maturity corresponds with the following limits:(i)less than one month hence: same day;(ii)between one month and one year hence: within seven days; and(iii)over one year hence: within 30 days. | (i) | less than one month hence: same day; | (ii) | between one month and one year hence: within seven days; and | (iii) | over one year hence: within 30 days.

(a) | the positions are of the same value and denominated in the same currency;

(b) | the reference rate (for floating‐rate positions) or coupon (for fixed‐rate positions) is closely matched; and

(c) | the next interest‐fixing date or, for fixed coupon positions, residual maturity corresponds with the following limits:(i)less than one month hence: same day;(ii)between one month and one year hence: within seven days; and(iii)over one year hence: within 30 days. | (i) | less than one month hence: same day; | (ii) | between one month and one year hence: within seven days; and | (iii) | over one year hence: within 30 days.

(i) | less than one month hence: same day;

(ii) | between one month and one year hence: within seven days; and

(iii) | over one year hence: within 30 days.

 | 11. | The transferor of securities or guaranteed rights relating to title to securities in a repurchase agreement and the lender of securities in a securities lending shall include these securities in the calculation of its capital requirement under this Annex provided that such securities meet the criteria laid down in Article 11.Specific and general risks

 | 12. | The position risk on a traded debt instrument or equity (or debt or equity derivative) shall be divided into two components in order to calculate the capital required against it. The first shall be its specific‐risk component — this is the risk of a price change in the instrument concerned due to factors related to its issuer or, in the case of a derivative, the issuer of the underlying instrument. The second component shall cover its general risk — this is the risk of a price change in the instrument due (in the case of a traded debt instrument or debt derivative) to a change in the level of interest rates or (in the case of an equity or equity derivative) to a broad equity‐market movement unrelated to any specific attributes of individual securities.TRADED DEBT INSTRUMENTS

 | 13. | Net positions shall be classified according to the currency in which they are denominated and shall calculate the capital requirement for general and specific risk in each individual currency separately.Specific risk

 | 14. | The institution shall assign its net positions in the trading book, as calculated in accordance with point 1 to the appropriate categories in Table 1 on the basis of their issuer/obligor, external or internal credit assessment, and residual maturity, and then multiply them by the weightings shown in that table. It shall sum its weighted positions (regardless of whether they are long or short) in order to calculate its capital requirement against specific risk.Table 1CategoriesSpecific risk capital chargeDebt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional government or local authorities which would qualify for credit quality step 1 or which would receive a 0 % risk weight under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.0 %Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities which would qualify for credit quality step 2 or 3 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 28, Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Other qualifying items as defined in point 15.0,25  % (residual term to final maturity 6 months or less)1,00  % (residual term to final maturity greater than 6 and up to and including 24 months)1,60  % (residual term to final maturity exceeding 24 months)Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities or institutions which would qualify for credit quality step 4 or 5 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 26 of Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 3 or 4 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Exposures for which a credit assessment by a nominated ECAI is not available.8,00  %Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities or institutions which would qualify for credit quality step 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 5 or 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.12,00  %For institutions which apply the rules for the risk weighting of exposures under Articles 84 to 89 of Directive 2006/48/EC, to qualify for a credit quality step the obligor of the exposure shall have an internal rating with a PD equivalent to or lower than that associated with the appropriate credit quality step under the rules for the risk weighting of exposures to corporates under Articles 78 to 83 of that Directive.Instruments issued by a non-qualifying issuer shall receive a specific risk capital charge of 8 % or 12 % according to Table 1. Competent authorities may require institutions to apply a higher specific risk charge to such instruments and/or to disallow offsetting for the purposes of defining the extent of general market risk between such instruments and any other debt instruments.Securitisation exposures that would be subject to a deduction treatment as set out in Article 66(2) of Directive 2006/48/EC, or risk-weighted at 1,250 % as set out in Part 4 of Annex IX to that Directive, shall be subject to a capital charge that is no less than that set out under those treatments. Unrated liquidity facilities shall be subject to a capital charge that is no less than that set out in Part 4 of Annex IX to Directive 2006/48/EC. | Categories | Specific risk capital charge | Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional government or local authorities which would qualify for credit quality step 1 or which would receive a 0 % risk weight under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC. | 0 % | Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities which would qualify for credit quality step 2 or 3 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 28, Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Other qualifying items as defined in point 15. | 0,25  % (residual term to final maturity 6 months or less)1,00  % (residual term to final maturity greater than 6 and up to and including 24 months)1,60  % (residual term to final maturity exceeding 24 months) | Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities or institutions which would qualify for credit quality step 4 or 5 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 26 of Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 3 or 4 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Exposures for which a credit assessment by a nominated ECAI is not available. | 8,00  % | Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities or institutions which would qualify for credit quality step 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 5 or 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC. | 12,00  %

Categories | Specific risk capital charge

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional government or local authorities which would qualify for credit quality step 1 or which would receive a 0 % risk weight under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC. | 0 %

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities which would qualify for credit quality step 2 or 3 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 28, Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Other qualifying items as defined in point 15. | 0,25  % (residual term to final maturity 6 months or less)1,00  % (residual term to final maturity greater than 6 and up to and including 24 months)1,60  % (residual term to final maturity exceeding 24 months)

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities or institutions which would qualify for credit quality step 4 or 5 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 26 of Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 3 or 4 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Exposures for which a credit assessment by a nominated ECAI is not available. | 8,00  %

Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States’ regional governments or local authorities or institutions which would qualify for credit quality step 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 5 or 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC. | 12,00  %

 | 15. | For the purposes of point 14 qualifying items shall include:(a)long and short positions in assets qualifying for a credit quality step corresponding at least to investment grade in the mapping process described in Title V, Chapter 2, Section 3, Sub‐section 1 of Directive 2006/48/EC;(b)long and short positions in assets which, because of the solvency of the issuer, have a PD which is not higher than that of the assets referred to under (a), under the approach described in Title V, Chapter 2, Section 3, Sub‐section 2 of Directive 2006/48/EC;(c)long and short positions in assets for which a credit assessment by a nominated external credit assessment institution is not available and which meet the following conditions:(i)they are considered by the institutions concerned to be sufficiently liquid;(ii)their investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and(iii)they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;(d)long and short positions in assets issued by institutions subject to the capital adequacy requirements set out in Directive 2006/48/EC which are considered by the institutions concerned to be sufficiently liquid and whose investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and(e)securities issued by institutions that are deemed to be of equivalent, or higher, credit quality than those associated with credit quality step 2 under the rules for the risk weighting of exposures to institutions set out in Articles 78 to 83 of Directive 2006/48/EC and that are subject to supervisory and regulatory arrangements comparable to those under this Directive.The manner in which the debt instruments are assessed shall be subject to scrutiny by the competent authorities, which shall overturn the judgment of the institution if they consider that the instruments concerned are subject to too high a degree of specific risk to be qualifying items. | (a) | long and short positions in assets qualifying for a credit quality step corresponding at least to investment grade in the mapping process described in Title V, Chapter 2, Section 3, Sub‐section 1 of Directive 2006/48/EC; | (b) | long and short positions in assets which, because of the solvency of the issuer, have a PD which is not higher than that of the assets referred to under (a), under the approach described in Title V, Chapter 2, Section 3, Sub‐section 2 of Directive 2006/48/EC; | (c) | long and short positions in assets for which a credit assessment by a nominated external credit assessment institution is not available and which meet the following conditions:(i)they are considered by the institutions concerned to be sufficiently liquid;(ii)their investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and(iii)they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State; | (i) | they are considered by the institutions concerned to be sufficiently liquid; | (ii) | their investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and | (iii) | they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State; | (d) | long and short positions in assets issued by institutions subject to the capital adequacy requirements set out in Directive 2006/48/EC which are considered by the institutions concerned to be sufficiently liquid and whose investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and | (e) | securities issued by institutions that are deemed to be of equivalent, or higher, credit quality than those associated with credit quality step 2 under the rules for the risk weighting of exposures to institutions set out in Articles 78 to 83 of Directive 2006/48/EC and that are subject to supervisory and regulatory arrangements comparable to those under this Directive.

(a) | long and short positions in assets qualifying for a credit quality step corresponding at least to investment grade in the mapping process described in Title V, Chapter 2, Section 3, Sub‐section 1 of Directive 2006/48/EC;

(b) | long and short positions in assets which, because of the solvency of the issuer, have a PD which is not higher than that of the assets referred to under (a), under the approach described in Title V, Chapter 2, Section 3, Sub‐section 2 of Directive 2006/48/EC;

(c) | long and short positions in assets for which a credit assessment by a nominated external credit assessment institution is not available and which meet the following conditions:(i)they are considered by the institutions concerned to be sufficiently liquid;(ii)their investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and(iii)they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State; | (i) | they are considered by the institutions concerned to be sufficiently liquid; | (ii) | their investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and | (iii) | they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;

(i) | they are considered by the institutions concerned to be sufficiently liquid;

(ii) | their investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and

(iii) | they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;

(d) | long and short positions in assets issued by institutions subject to the capital adequacy requirements set out in Directive 2006/48/EC which are considered by the institutions concerned to be sufficiently liquid and whose investment quality is, according to the institution’s own discretion, at least equivalent to that of the assets referred to under point (a); and

(e) | securities issued by institutions that are deemed to be of equivalent, or higher, credit quality than those associated with credit quality step 2 under the rules for the risk weighting of exposures to institutions set out in Articles 78 to 83 of Directive 2006/48/EC and that are subject to supervisory and regulatory arrangements comparable to those under this Directive.

 | 16. | The competent authorities shall require the institution to apply the maximum weighting shown in Table 1 to point 14 to instruments that show a particular risk because of the insufficient solvency of the issuer.General risk(a)   Maturity-based

 | 17. | The procedure for calculating capital requirements against general risk involves two basic steps. First, all positions shall be weighted according to maturity (as explained in point 18), in order to compute the amount of capital required against them. Second, allowance shall be made for this requirement to be reduced when a weighted position is held alongside an opposite weighted position within the same maturity band. A reduction in the requirement shall also be allowed when the opposite weighted positions fall into different maturity bands, with the size of this reduction depending both on whether the two positions fall into the same zone, or not, and on the particular zones they fall into. There are three zones (groups of maturity bands) altogether.

 | 18. | The institution shall assign its net positions to the appropriate maturity bands in column 2 or 3, as appropriate, in Table 2 in point 20. It shall do so on the basis of residual maturity in the case of fixed-rate instruments and on the basis of the period until the interest rate is next set in the case of instruments on which the interest rate is variable before final maturity. It shall also distinguish between debt instruments with a coupon of 3 % or more and those with a coupon of less than 3 % and thus allocate them to column 2 or column 3 in Table 2. It shall then multiply each of them by the weighing for the maturity band in question in column 4 in Table 2.

 | 19. | It shall then work out the sum of the weighted long positions and the sum of the weighted short positions in each maturity band. The amount of the former which are matched by the latter in a given maturity band shall be the matched weighted position in that band, while the residual long or short position shall be the unmatched weighted position for the same band. The total of the matched weighted positions in all bands shall then be calculated.

 | 20. | The institution shall compute the totals of the unmatched weighted long positions for the bands included in each of the zones in Table 2 in order to derive the unmatched weighted long position for each zone. Similarly, the sum of the unmatched weighted short positions for each band in a particular zone shall be summed to compute the unmatched weighted short position for that zone. That part of the unmatched weighted long position for a given zone that is matched by the unmatched weighted short position for the same zone shall be the matched weighted position for that zone. That part of the unmatched weighted long or unmatched weighted short position for a zone that cannot be thus matched shall be the unmatched weighted position for that zone.Table 2ZoneMaturity bandWeighting (in %)Assumed interest rate change (in %)Coupon of 3 % or moreCoupon of less than 3 %One0 ≤ 1 month0 ≤ 1 month0,00—> 1 ≤ 3 months> 1 ≤ 3 months0,201,00> 3 ≤ 6 months> 3 ≤ 6 months0,401,00> 6 ≤ 12 months> 6 ≤ 12 months0,701,00Two> 1 ≤ 2 years> 1,0  ≤ 1,9  years1,250,90> 2 ≤ 3 years> 1,9  ≤ 2,8  years1,750,80> 3 ≤ 4 years> 2,8  ≤ 3,6  years2,250,75Three> 4 ≤ 5 years> 3,6  ≤ 4,3  years2,750,75> 5 ≤ 7 years> 4,3  ≤ 5,7  years3,250,70> 7 ≤ 10 years> 5,7  ≤ 7,3  years3,750,65> 10 ≤ 15 years> 7,3  ≤ 9,3  years4,500,60> 15 ≤ 20 years> 9,3  ≤ 10,6  years5,250,60> 20 years> 10,6  ≤ 12,0  years6,000,60> 12,0  ≤ 20,0  years8,000,60> 20 years12,500,60 | Zone | Maturity band | Weighting (in %) | Assumed interest rate change (in %) | Coupon of 3 % or more | Coupon of less than 3 % | One | 0 ≤ 1 month | 0 ≤ 1 month | 0,00 | — | > 1 ≤ 3 months | > 1 ≤ 3 months | 0,20 | 1,00 | > 3 ≤ 6 months | > 3 ≤ 6 months | 0,40 | 1,00 | > 6 ≤ 12 months | > 6 ≤ 12 months | 0,70 | 1,00 | Two | > 1 ≤ 2 years | > 1,0  ≤ 1,9  years | 1,25 | 0,90 | > 2 ≤ 3 years | > 1,9  ≤ 2,8  years | 1,75 | 0,80 | > 3 ≤ 4 years | > 2,8  ≤ 3,6  years | 2,25 | 0,75 | Three | > 4 ≤ 5 years | > 3,6  ≤ 4,3  years | 2,75 | 0,75 | > 5 ≤ 7 years | > 4,3  ≤ 5,7  years | 3,25 | 0,70 | > 7 ≤ 10 years | > 5,7  ≤ 7,3  years | 3,75 | 0,65 | > 10 ≤ 15 years | > 7,3  ≤ 9,3  years | 4,50 | 0,60 | > 15 ≤ 20 years | > 9,3  ≤ 10,6  years | 5,25 | 0,60 | > 20 years | > 10,6  ≤ 12,0  years | 6,00 | 0,60 |  | > 12,0  ≤ 20,0  years | 8,00 | 0,60 |  | > 20 years | 12,50 | 0,60

Zone | Maturity band | Weighting (in %) | Assumed interest rate change (in %)

Coupon of 3 % or more | Coupon of less than 3 %

One | 0 ≤ 1 month | 0 ≤ 1 month | 0,00 | —

> 1 ≤ 3 months | > 1 ≤ 3 months | 0,20 | 1,00

> 3 ≤ 6 months | > 3 ≤ 6 months | 0,40 | 1,00

> 6 ≤ 12 months | > 6 ≤ 12 months | 0,70 | 1,00

Two | > 1 ≤ 2 years | > 1,0  ≤ 1,9  years | 1,25 | 0,90

> 2 ≤ 3 years | > 1,9  ≤ 2,8  years | 1,75 | 0,80

> 3 ≤ 4 years | > 2,8  ≤ 3,6  years | 2,25 | 0,75

Three | > 4 ≤ 5 years | > 3,6  ≤ 4,3  years | 2,75 | 0,75

> 5 ≤ 7 years | > 4,3  ≤ 5,7  years | 3,25 | 0,70

> 7 ≤ 10 years | > 5,7  ≤ 7,3  years | 3,75 | 0,65

> 10 ≤ 15 years | > 7,3  ≤ 9,3  years | 4,50 | 0,60

> 15 ≤ 20 years | > 9,3  ≤ 10,6  years | 5,25 | 0,60

> 20 years | > 10,6  ≤ 12,0  years | 6,00 | 0,60

 | > 12,0  ≤ 20,0  years | 8,00 | 0,60

 | > 20 years | 12,50 | 0,60

 | 21. | The amount of the unmatched weighted long (short) position in zone one which is matched by the unmatched weighted short (long) position in zone two shall then be computed. This shall be referred to in point 25 as the matched weighted position between zones one and two. The same calculation shall then be undertaken with regard to that part of the unmatched weighted position in zone two which is left over and the unmatched weighted position in zone three in order to calculate the matched weighted position between zones two and three.

 | 22. | The institution may, if it wishes, reverse the order in point 21 so as to calculate the matched weighted position between zones two and three before calculating that position between zones one and two.

 | 23. | The remainder of the unmatched weighted position in zone one shall then be matched with what remains of that for zone three after the latter’s matching with zone two in order to derive the matched weighted position between zones one and three.

 | 24. | Residual positions, following the three separate matching calculations in points 21, 22 and 23, shall be summed.

 | 25. | The institution’s capital requirement shall be calculated as the sum of:(a)10 % of the sum of the matched weighted positions in all maturity bands;(b)40 % of the matched weighted position in zone one;(c)30 % of the matched weighted position in zone two;(d)30 % of the matched weighted position in zone three;(e)40 % of the matched weighted position between zones one and two and between zones two and three (see point 21);(f)150 % of the matched weighted position between zones one and three; and(g)100 % of the residual unmatched weighted positions. | (a) | 10 % of the sum of the matched weighted positions in all maturity bands; | (b) | 40 % of the matched weighted position in zone one; | (c) | 30 % of the matched weighted position in zone two; | (d) | 30 % of the matched weighted position in zone three; | (e) | 40 % of the matched weighted position between zones one and two and between zones two and three (see point 21); | (f) | 150 % of the matched weighted position between zones one and three; and | (g) | 100 % of the residual unmatched weighted positions.

(a) | 10 % of the sum of the matched weighted positions in all maturity bands;

(b) | 40 % of the matched weighted position in zone one;

(c) | 30 % of the matched weighted position in zone two;

(d) | 30 % of the matched weighted position in zone three;

(e) | 40 % of the matched weighted position between zones one and two and between zones two and three (see point 21);

(f) | 150 % of the matched weighted position between zones one and three; and

(g) | 100 % of the residual unmatched weighted positions.(b)   Duration-based

 | 26. | The competent authorities may allow institutions in general or on an individual basis to use a system for calculating the capital requirement for the general risk on traded debt instruments which reflects duration, instead of the system set out in points 17 to 25, provided that the institution does so on a consistent basis.

 | 27. | Under a system referred to in point 26 the institution shall take the market value of each fixed‐rate debt instrument and thence calculate its yield to maturity, which is implied discount rate for that instrument. In the case of floating‐rate instruments, the institution shall take the market value of each instrument and thence calculate its yield on the assumption that the principal is due when the interest rate can next be changed.

 | 28. | The institution shall then calculate the modified duration of each debt instrument on the basis of the following formula: modified duration = ((duration (D))/(1 + r)), where:where:R = yield to maturity (see point 25),Ct= cash payment in time t,M = total maturity (see point 25).

 | 29. | The institution shall then allocate each debt instrument to the appropriate zone in Table 3. It shall do so on the basis of the modified duration of each instrument.Table 3ZoneModified duration(in years)Assumed interest (change in %)One> 0 ≤ 1,01,0Two> 1,0  ≤ 3,60,85Three> 3,60,7 | Zone | Modified duration(in years) | Assumed interest (change in %) | One | > 0 ≤ 1,0 | 1,0 | Two | > 1,0  ≤ 3,6 | 0,85 | Three | > 3,6 | 0,7

Zone | Modified duration(in years) | Assumed interest (change in %)

One | > 0 ≤ 1,0 | 1,0

Two | > 1,0  ≤ 3,6 | 0,85

Three | > 3,6 | 0,7

 | 30. | The institution shall then calculate the duration‐weighted position for each instrument by multiplying its market price by its modified duration and by the assumed interest‐rate change for an instrument with that particular modified duration (see column 3 in Table 3).

 | 31. | The institution shall calculate its duration-weighted long and its duration-weighted short positions within each zone. The amount of the former which are matched by the latter within each zone shall be the matched duration‐weighted position for that zone.The institution shall then calculate the unmatched duration-weighted positions for each zone. It shall then follow the procedures laid down for unmatched weighted positions in points 21 to 24.

 | 32. | The institution’s capital requirement shall then be calculated as the sum of:(a)2 % of the matched duration-weighted position for each zone;(b)40 % of the matched duration-weighted positions between zones one and two and between zones two and three;(c)150 % of the matched duration-weighted position between zones one and three; and(d)100 % of the residual unmatched duration-weighted positions. | (a) | 2 % of the matched duration-weighted position for each zone; | (b) | 40 % of the matched duration-weighted positions between zones one and two and between zones two and three; | (c) | 150 % of the matched duration-weighted position between zones one and three; and | (d) | 100 % of the residual unmatched duration-weighted positions.

(a) | 2 % of the matched duration-weighted position for each zone;

(b) | 40 % of the matched duration-weighted positions between zones one and two and between zones two and three;

(c) | 150 % of the matched duration-weighted position between zones one and three; and

(d) | 100 % of the residual unmatched duration-weighted positions.EQUITIES

 | 33. | The institution shall sum all its net long positions and all its net short positions in accordance with point 1. The sum of the two figures shall be its overall gross position. The difference between them shall be its overall net position.Specific risk

 | 34. | The institution shall sum all its net long positions and all its net short positions in accordance with point 1. It shall multiply its overall gross position by 4 % in order to calculate its capital requirement against specific risk.

 | 35. | By derogation from point 34, the competent authorities may allow the capital requirement against specific risk to be 2 % rather than 4 % for those portfolios of equities that an institution holds which meet the following conditions:(a)the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;(b)the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and(c)no individual position shall comprise more than 5 % of the value of the institution’s whole equity portfolio.For the purpose of point (c), the competent authorities may authorise individual positions of up to 10 % provided that the total of such positions does not exceed 50 % of the portfolio. | (a) | the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured; | (b) | the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and | (c) | no individual position shall comprise more than 5 % of the value of the institution’s whole equity portfolio.

(a) | the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;

(b) | the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and

(c) | no individual position shall comprise more than 5 % of the value of the institution’s whole equity portfolio.General risk

 | 36. | Its capital requirement against general risk shall be its overall net position multiplied by 8 %.Stock-index futures

 | 37. | Stock-index futures, the delta-weighted equivalents of options in stock-index futures and stock indices collectively referred to hereafter as ‘stock-index futures’, may be broken down into positions in each of their constituent equities. These positions may be treated as underlying positions in the equities in question, and may, subject to the approval of the competent authorities, be netted against opposite positions in the underlying equities themselves.

 | 38. | The competent authorities shall ensure that any institution which has netted off its positions in one or more of the equities constituting a stock-index future against one or more positions in the stock‐index future itself has adequate capital to cover the risk of loss caused by the future’s values not moving fully in line with that of its constituent equities; they shall also do this when an institution holds opposite positions in stock‐index futures which are not identical in respect of either their maturity or their composition or both.

 | 39. | By derogation from points 37 and 38, stock-index futures which are exchange traded and — in the opinion of the competent authorities — represent broadly diversified indices shall attract a capital requirement against general risk of 8 %, but no capital requirement against specific risk. Such stock‐index futures shall be included in the calculation of the overall net position in point 33, but disregarded in the calculation of the overall gross position in the same point.

 | 40. | If a stock-index future is not broken down into its underlying positions, it shall be treated as if it were an individual equity. However, the specific risk on this individual equity can be ignored if the stock-index future in question is exchange traded and, in the opinion of the competent authorities, represents a broadly diversified index.UNDERWRITING

 | 41. | In the case of the underwriting of debt and equity instruments, the competent authorities may allow an institution to use the following procedure in calculating its capital requirements. Firstly, it shall calculate the net positions by deducting the underwriting positions which are subscribed or sub‐underwritten by third parties on the basis of formal agreements. Secondly, it shall reduce the net positions by the reduction factors in Table 4Table 4working day 0:100 %working day 1:90 %working days 2 to 3:75 %working day 4:50 %working day 5:25 %after working day 5:0 %.‘Working day zero’ shall be the working day on which the institution becomes unconditionally committed to accepting a known quantity of securities at an agreed price.Thirdly, it shall calculate its capital requirements using the reduced underwriting positions.The competent authorities shall ensure that the institution holds sufficient capital against the risk of loss which exists between the time of the initial commitment and working day 1. | working day 0: | 100 % | working day 1: | 90 % | working days 2 to 3: | 75 % | working day 4: | 50 % | working day 5: | 25 % | after working day 5: | 0 %.

working day 0: | 100 %

working day 1: | 90 %

working days 2 to 3: | 75 %

working day 4: | 50 %

working day 5: | 25 %

after working day 5: | 0 %.SPECIFIC RISK CAPITAL CHARGES FOR TRADING BOOK POSITIONS HEDGED BY CREDIT DERIVATIVES

 | 42. | An allowance shall be given for protection provided by credit derivatives, in accordance with the principles set out in points 43 to 46.

 | 43. | Full allowance shall be given when the value of two legs always move in the opposite direction and broadly to the same extent. This will be the case in the following situations:(a)the two legs consist of completely identical instruments; or(b)a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.In these situations, a specific risk capital charge should not be applied to either side of the position. | (a) | the two legs consist of completely identical instruments; or | (b) | a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.

(a) | the two legs consist of completely identical instruments; or

(b) | a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.

 | 44. | An 80 % offset will be applied when the value of two legs always move in the opposite direction and where there is an exact match in terms of the reference obligation, the maturity of both the reference obligation and the credit derivative, and the currency of the underlying exposure. In addition, key features of the credit derivative contract should not cause the price movement of the credit derivative to materially deviate from the price movements of the cash position. To the extent that the transaction transfers risk, an 80 % specific risk offset will be applied to the side of the transaction with the higher capital charge, while the specific risk requirements on the other side shall be zero.

 | 45. | Partial allowance shall be given when the value of two legs usually move in the opposite direction. This would be the case in the following situations:(a)the position falls under point 43(b) but there is an asset mismatch between the reference obligation and the underlying exposure. However, the positions meet the following requirements:(i)the reference obligation ranks pari passu with or is junior to the underlying obligation; and(ii)the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;(b)the position falls under point 43(a) or point 44 but there is a currency or maturity mismatch between the credit protection and the underlying asset (currency mismatches should be included in the normal reporting foreign exchange risk under Annex III); or(c)the position falls under point 44 but there is an asset mismatch between the cash position and the credit derivative. However, the underlying asset is included in the (deliverable) obligations in the credit derivative documentation.In each of those situations, rather than adding the specific risk capital requirements for each side of the transaction, only the higher of the two capital requirements shall apply. | (a) | the position falls under point 43(b) but there is an asset mismatch between the reference obligation and the underlying exposure. However, the positions meet the following requirements:(i)the reference obligation ranks pari passu with or is junior to the underlying obligation; and(ii)the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses; | (i) | the reference obligation ranks pari passu with or is junior to the underlying obligation; and | (ii) | the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses; | (b) | the position falls under point 43(a) or point 44 but there is a currency or maturity mismatch between the credit protection and the underlying asset (currency mismatches should be included in the normal reporting foreign exchange risk under Annex III); or | (c) | the position falls under point 44 but there is an asset mismatch between the cash position and the credit derivative. However, the underlying asset is included in the (deliverable) obligations in the credit derivative documentation.

(a) | the position falls under point 43(b) but there is an asset mismatch between the reference obligation and the underlying exposure. However, the positions meet the following requirements:(i)the reference obligation ranks pari passu with or is junior to the underlying obligation; and(ii)the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses; | (i) | the reference obligation ranks pari passu with or is junior to the underlying obligation; and | (ii) | the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;

(i) | the reference obligation ranks pari passu with or is junior to the underlying obligation; and

(ii) | the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;

(b) | the position falls under point 43(a) or point 44 but there is a currency or maturity mismatch between the credit protection and the underlying asset (currency mismatches should be included in the normal reporting foreign exchange risk under Annex III); or

(c) | the position falls under point 44 but there is an asset mismatch between the cash position and the credit derivative. However, the underlying asset is included in the (deliverable) obligations in the credit derivative documentation.

 | 46. | In all situations not falling under points 43 to 45, a specific risk capital charge will be assessed against both sides of the positions.Capital charges for CIUs in the trading book

 | 47. | The capital requirements for positions in CIUs which meet the conditions specified in Article 11 for a trading book capital treatment shall be calculated in accordance with the methods set out in points 48 to 56.

 | 48. | Without prejudice to other provisions in this section, positions in CIUs shall be subject to a capital requirement for position risk (specific and general) of 32 %. Without prejudice to the provisions of the fourth paragraph of point 2.1 of Annex III or the sixth paragraph of point 12 of Annex V (commodity risk) taken together with the fourth paragraph of point 2.1 of Annex III, where the modified gold treatment set out in those points is used, positions in CIUs shall be subject to a capital requirement for position risk (specific and general) and foreign-exchange risk of no more than 40 %.

 | 49. | Institutions may determine the capital requirement for positions in CIUs which meet the criteria set out in point 51, by the methods set out in points 53 to 56.

 | 50. | Unless noted otherwise, no netting is permitted between the underlying investments of a CIU and other positions held by the institution.GENERAL CRITERIA

 | 51. | The general eligibility criteria for using the methods in points 53 to 56, for CIUs issued by companies supervised or incorporated within the Community are that:(a)the CIU’s prospectus or equivalent document shall include:(i)the categories of assets the CIU is authorised to invest in;(ii)if investment limits apply, the relative limits and the methodologies to calculate them;(iii)if leverage is allowed, the maximum level of leverage; and(iv)if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;(b)the business of the CIU shall be reported in half-yearly and annual reports to enable an assessment to be made of the assets and liabilities, income and operations over the reporting period;(c)the units/shares of the CIU are redeemable in cash, out of the undertaking’s assets, on a daily basis at the request of the unit holder;(d)investments in the CIU shall be segregated from the assets of the CIU manager; and(e)there shall be adequate risk assessment of the CIU, by the investing institution. | (a) | the CIU’s prospectus or equivalent document shall include:(i)the categories of assets the CIU is authorised to invest in;(ii)if investment limits apply, the relative limits and the methodologies to calculate them;(iii)if leverage is allowed, the maximum level of leverage; and(iv)if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions; | (i) | the categories of assets the CIU is authorised to invest in; | (ii) | if investment limits apply, the relative limits and the methodologies to calculate them; | (iii) | if leverage is allowed, the maximum level of leverage; and | (iv) | if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions; | (b) | the business of the CIU shall be reported in half-yearly and annual reports to enable an assessment to be made of the assets and liabilities, income and operations over the reporting period; | (c) | the units/shares of the CIU are redeemable in cash, out of the undertaking’s assets, on a daily basis at the request of the unit holder; | (d) | investments in the CIU shall be segregated from the assets of the CIU manager; and | (e) | there shall be adequate risk assessment of the CIU, by the investing institution.

(a) | the CIU’s prospectus or equivalent document shall include:(i)the categories of assets the CIU is authorised to invest in;(ii)if investment limits apply, the relative limits and the methodologies to calculate them;(iii)if leverage is allowed, the maximum level of leverage; and(iv)if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions; | (i) | the categories of assets the CIU is authorised to invest in; | (ii) | if investment limits apply, the relative limits and the methodologies to calculate them; | (iii) | if leverage is allowed, the maximum level of leverage; and | (iv) | if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;

(i) | the categories of assets the CIU is authorised to invest in;

(ii) | if investment limits apply, the relative limits and the methodologies to calculate them;

(iii) | if leverage is allowed, the maximum level of leverage; and

(iv) | if investment in OTC financial derivatives or repo-style transactions are allowed, a policy to limit counterparty risk arising from these transactions;

(b) | the business of the CIU shall be reported in half-yearly and annual reports to enable an assessment to be made of the assets and liabilities, income and operations over the reporting period;

(c) | the units/shares of the CIU are redeemable in cash, out of the undertaking’s assets, on a daily basis at the request of the unit holder;

(d) | investments in the CIU shall be segregated from the assets of the CIU manager; and

(e) | there shall be adequate risk assessment of the CIU, by the investing institution.

 | 52. | Third country CIUs may be eligible if the requirements in points (a) to (e) of point 51 are met, subject to the approval of the institution’s competent authority.SPECIFIC METHODS

 | 53. | Where the institution is aware of the underlying investments of the CIU on a daily basis, the institution may look through to those underlying investments in order to calculate the capital requirements for position risk (general and specific) for those positions in accordance with the methods set out in this Annex or, if permission has been granted, in accordance with the methods set out in Annex V. Under this approach, positions in CIUs shall be treated as positions in the underlying investments of the CIU. Netting is permitted between positions in the underlying investments of the CIU and other positions held by the institution, as long as the institution holds a sufficient quantity of units to allow for redemption/creation in exchange for the underlying investments.

 | 54. | Institutions may calculate the capital requirements for position risk (general and specific) for positions in CIUs in accordance with the methods set out in this Annex or, if permission has been granted, in accordance with the methods set out in Annex V, to assumed positions representing those necessary to replicate the composition and performance of the externally generated index or fixed basket of equities or debt securities referred to in (a), subject to the following conditions:(a)the purpose of the CIU’s mandate is to replicate the composition and performance of an externally generated index or fixed basket of equities or debt securities; and(b)a minimum correlation of 0.9 between daily price movements of the CIU and the index or basket of equities or debt securities it tracks can be clearly established over a minimum period of six months. ‘Correlation’ in this context means the correlation coefficient between daily returns on the CIU and the index or basket of equities or debt securities it tracks. | (a) | the purpose of the CIU’s mandate is to replicate the composition and performance of an externally generated index or fixed basket of equities or debt securities; and | (b) | a minimum correlation of 0.9 between daily price movements of the CIU and the index or basket of equities or debt securities it tracks can be clearly established over a minimum period of six months. ‘Correlation’ in this context means the correlation coefficient between daily returns on the CIU and the index or basket of equities or debt securities it tracks.

(a) | the purpose of the CIU’s mandate is to replicate the composition and performance of an externally generated index or fixed basket of equities or debt securities; and

(b) | a minimum correlation of 0.9 between daily price movements of the CIU and the index or basket of equities or debt securities it tracks can be clearly established over a minimum period of six months. ‘Correlation’ in this context means the correlation coefficient between daily returns on the CIU and the index or basket of equities or debt securities it tracks.

 | 55. | Where the institution is not aware of the underlying investments of the CIU on a daily basis, the institution may calculate the capital requirements for position risk (general and specific) in accordance with the methods set out in this Annex, subject to the following conditions:(a)it will be assumed that the CIU first invests to the maximum extent allowed under its mandate in the asset classes attracting the highest capital requirement for position risk (general and specific), and then continues making investments in descending order until the maximum total investment limit is reached. The position in the CIU will be treated as a direct holding in the assumed position;(b)institutions shall take account of the maximum indirect exposure that they could achieve by taking leveraged positions through the CIU when calculating their capital requirement for position risk, by proportionally increasing the position in the CIU up to the maximum exposure to the underlying investment items resulting from the mandate; and(c)should the capital requirement for position risk (general and specific) according to this point exceed that set out in point 48, the capital requirement shall be capped at that level. | (a) | it will be assumed that the CIU first invests to the maximum extent allowed under its mandate in the asset classes attracting the highest capital requirement for position risk (general and specific), and then continues making investments in descending order until the maximum total investment limit is reached. The position in the CIU will be treated as a direct holding in the assumed position; | (b) | institutions shall take account of the maximum indirect exposure that they could achieve by taking leveraged positions through the CIU when calculating their capital requirement for position risk, by proportionally increasing the position in the CIU up to the maximum exposure to the underlying investment items resulting from the mandate; and | (c) | should the capital requirement for position risk (general and specific) according to this point exceed that set out in point 48, the capital requirement shall be capped at that level.

(a) | it will be assumed that the CIU first invests to the maximum extent allowed under its mandate in the asset classes attracting the highest capital requirement for position risk (general and specific), and then continues making investments in descending order until the maximum total investment limit is reached. The position in the CIU will be treated as a direct holding in the assumed position;

(b) | institutions shall take account of the maximum indirect exposure that they could achieve by taking leveraged positions through the CIU when calculating their capital requirement for position risk, by proportionally increasing the position in the CIU up to the maximum exposure to the underlying investment items resulting from the mandate; and

(c) | should the capital requirement for position risk (general and specific) according to this point exceed that set out in point 48, the capital requirement shall be capped at that level.

 | 56. | Institutions may rely on a third party to calculate and report capital requirements for position risk (general and specific) for positions in CIUs falling under points 53 and 55, in accordance with the methods set out in this Annex, provided that the correctness of the calculation and the report is adequately ensured.
SETTLEMENT/DELIVERY RISKANNEX IICALCULATING CAPITAL REQUIREMETNS FOR SETTLEMENT AND COUNTERPARTY CREDIT RISK

 | 1. | In the case of transactions in which debt instruments, equities, foreign currencies and commodities (excluding repurchase and reverse repurchase agreements and securities or commodities lending and securities or commodities borrowing) are unsettled after their due delivery dates, an institution must calculate the price difference to which it is exposed. This is the difference between the agreed settlement price for the debt instrument, equity, foreign currency or commodity in question and its current market value, where the difference could involve a loss for the institution. It must multiply this difference by the appropriate factor in column A of Table 1 in order to calculate its capital requirement.Table 1Number of working days after due settlement date( %)5 — 15816 — 305031 — 457546 or more100 | Number of working days after due settlement date | ( %) | 5 — 15 | 8 | 16 — 30 | 50 | 31 — 45 | 75 | 46 or more | 100

Number of working days after due settlement date | ( %)

5 — 15 | 8

16 — 30 | 50

31 — 45 | 75

46 or more | 100FREE DELIVERIES

 | 2. | An institution shall be required to hold own funds, as set out in Table 2, if:(a)it has paid for securities, foreign currencies or commodities before receiving them or it has delivered securities, foreign currencies or commodities before receiving payment for them; and(b)in the case of cross-border transactions, one day or more has elapsed since it made that payment or delivery.Table 2Capital treatment for free deliveriesTransaction TypeUp to first contractual payment or delivery legFrom first contractual payment or delivery leg up to four days after second contractual payment or delivery legFrom 5 business days post second contractual payment or delivery leg until extinction of the transactionFree deliveryNo capital chargeTreat as an exposureDeduct value transferred plus current positive exposure from own funds | (a) | it has paid for securities, foreign currencies or commodities before receiving them or it has delivered securities, foreign currencies or commodities before receiving payment for them; and | (b) | in the case of cross-border transactions, one day or more has elapsed since it made that payment or delivery.Table 2Capital treatment for free deliveriesTransaction TypeUp to first contractual payment or delivery legFrom first contractual payment or delivery leg up to four days after second contractual payment or delivery legFrom 5 business days post second contractual payment or delivery leg until extinction of the transactionFree deliveryNo capital chargeTreat as an exposureDeduct value transferred plus current positive exposure from own funds | Transaction Type | Up to first contractual payment or delivery leg | From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg | From 5 business days post second contractual payment or delivery leg until extinction of the transaction | Free delivery | No capital charge | Treat as an exposure | Deduct value transferred plus current positive exposure from own funds

(a) | it has paid for securities, foreign currencies or commodities before receiving them or it has delivered securities, foreign currencies or commodities before receiving payment for them; and

(b) | in the case of cross-border transactions, one day or more has elapsed since it made that payment or delivery.Table 2Capital treatment for free deliveriesTransaction TypeUp to first contractual payment or delivery legFrom first contractual payment or delivery leg up to four days after second contractual payment or delivery legFrom 5 business days post second contractual payment or delivery leg until extinction of the transactionFree deliveryNo capital chargeTreat as an exposureDeduct value transferred plus current positive exposure from own funds | Transaction Type | Up to first contractual payment or delivery leg | From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg | From 5 business days post second contractual payment or delivery leg until extinction of the transaction | Free delivery | No capital charge | Treat as an exposure | Deduct value transferred plus current positive exposure from own funds

Transaction Type | Up to first contractual payment or delivery leg | From first contractual payment or delivery leg up to four days after second contractual payment or delivery leg | From 5 business days post second contractual payment or delivery leg until extinction of the transaction

Free delivery | No capital charge | Treat as an exposure | Deduct value transferred plus current positive exposure from own funds

 | 3. | In applying a risk weight to free delivery exposures treated according to column 3 of Table 2, institutions using the approach set out in Articles 84 to 89 of Directive 2006/48/EC, may assign PDs to counterparties, for which they have no other non‐trading book exposure, on the basis of the counterparty’s external rating. Institutions using own estimates of loss given defaults (‘LGDs’) may apply the LGD set out in point 8 of Part 2 of Annex VII to Directive 2006/48/EC to free delivery exposures treated according to column 3 of Table 2 provided that they apply it to all such exposures. Alternatively, institutions using the approach set out in Articles 84 to 89 of Directive 2006/48/EC may apply the risk weights, as set out in Articles 78 to 83 of that Directive provided that they apply them to all such exposures or may apply a 100 % risk weight to all such exposures.If the amount of positive exposure resulting from free delivery transactions is not material, institutions may apply a risk weight of 100 % to these exposures.

 | 4. | In cases of a system wide failure of a settlement or clearing system, competent authorities may waive the capital requirements calculated as set out in points 1 and 2 until the situation is rectified. In this case, the failure of a counterparty to settle a trade shall not be deemed a default for purposes of credit risk.COUNTERPARTY CREDIT RISK (CCR)

 | 5. | An institution shall be required to hold capital against the CCR arising from exposures due to the following:(a)OTC derivative instruments and credit derivatives;(b)Repurchase agreements, reverse repurchase agreements, securities or commodities lending or borrowing transactions based on securities or commodities included in the trading book;(c)margin lending transactions based on securities or commodities; and(d)long settlement transactions. | (a) | OTC derivative instruments and credit derivatives; | (b) | Repurchase agreements, reverse repurchase agreements, securities or commodities lending or borrowing transactions based on securities or commodities included in the trading book; | (c) | margin lending transactions based on securities or commodities; and | (d) | long settlement transactions.

(a) | OTC derivative instruments and credit derivatives;

(b) | Repurchase agreements, reverse repurchase agreements, securities or commodities lending or borrowing transactions based on securities or commodities included in the trading book;

(c) | margin lending transactions based on securities or commodities; and

(d) | long settlement transactions.

 | 6. | Subject to the provisions of points 7 to 10, exposure values and risk‐weighted exposure amounts for such exposures shall be calculated in accordance with the provisions of Section 3 of Chapter 2 of Title V of Directive 2006/48/EC with references to ‘credit institutions’ in that Section interpreted as references to ‘institutions’, references to ‘parent credit institutions’ interpreted as references to ‘parent institutions’, and with concomitant terms interpreted accordingly.

 | 7. | For the purposes of point 6:Annex IV to Directive 2006/48/EC shall be considered to be amended to include point 8 of Section C of Annex I to Directive 2004/39/EC;Annex III to Directive 2006/48/EC shall be considered to be amended to include, after the footnotes of Table 1, the following text:‘To obtain a figure for potential future credit exposure in the case of total return swap credit derivatives and credit default swap credit derivatives, the nominal amount of the instrument is multiplied by the following percentages:—where the reference obligation is one that if it gave rise to a direct exposure of the institution it would be a qualifying item for the purposes of Annex I: 5 %; and—where the reference obligation is one that if it gave rise to a direct exposure of the institution it would not be a qualifying item for the purposes of Annex I: 10 %.However, in the case of a credit default swap, an institution the exposure of which arising from the swap represents a long position in the underlying shall be permitted to use a figure of 0 % for potential future credit exposure, unless the credit default swap is subject to closeout upon the insolvency of the entity the exposure of which arising from the swap represents a short position in the underlying, even though the underlying has not defaulted.’.Where the credit derivative provides protection in relation to ‘nthto default’ amongst a number of underlying obligations, which of the percentage figures prescribed above is to be applied is determined by the obligation with the nthlowest credit quality determined by whether it is one that if incurred by the institution would be a qualifying item for the purposes of Annex I. | — | where the reference obligation is one that if it gave rise to a direct exposure of the institution it would be a qualifying item for the purposes of Annex I: 5 %; and | — | where the reference obligation is one that if it gave rise to a direct exposure of the institution it would not be a qualifying item for the purposes of Annex I: 10 %.

— | where the reference obligation is one that if it gave rise to a direct exposure of the institution it would be a qualifying item for the purposes of Annex I: 5 %; and

— | where the reference obligation is one that if it gave rise to a direct exposure of the institution it would not be a qualifying item for the purposes of Annex I: 10 %.

 | 8. | For the purposes of point 6 , in calculating risk‐weighted exposure amounts institutions shall not be permitted to use the Financial Collateral Simple Method, set out in points 24 to 29, Part 3 , Annex VIII to Directive 2006/48/EC, for the recognition of the effects of financial collateral.

 | 9. | For the purposes of point 6 , in the case of repurchase transactions and securities or commodities lending or borrowing transactions booked in the trading book, all financial instruments and commodities that are eligible to be included in the trading book may be recognised as eligible collateral. For exposures due to OTC derivative instruments booked in the trading book, commodities that are eligible to be included in the trading book may also be recognised as eligible collateral. For the purposes of calculating volatility adjustments where such financial instruments or commodities which are not eligible under Annex VIII of Directive 2006/48/EC are lent, sold or provided, or borrowed, purchased or received by way of collateral or otherwise under such a transaction, and the institution is using the Supervisory volatility adjustments approach under Part 3 of Annex VIII to that Directive, such instruments and commodities shall be treated in the same way as non‐main index equities listed on a recognised exchange.Where institutions are using the Own Estimates of Volatility adjustments approach under Part 3 of Annex VIII to Directive 2006/48/EC in respect of financial instruments or commodities which are not eligible under Annex VIII of that Directive, volatility adjustments must be calculated for each individual item. Where institutions are using the Internal Models Approach defined in Part 3 of Annex VIII to Directive 2006/48/EC, they may also apply this approach in the trading book.

 | 10. | For the purposes of point 6, in relation to the recognition of master netting agreements covering repurchase transactions and/or securities or commodities lending or borrowing transactions and/or other capital market‐driven transactions netting across positions in the trading book and the non‐trading book will only be recognised when the netted transactions fulfil the following conditions:(a)all transactions are marked to market daily; and(b)any items borrowed, purchased or received under the transactions may be recognised as eligible financial collateral under Title V, Chapter 2, Section 3, Subsection 3 of Directive 2006/48/EC without the application of point 9 of this Annex. | (a) | all transactions are marked to market daily; and | (b) | any items borrowed, purchased or received under the transactions may be recognised as eligible financial collateral under Title V, Chapter 2, Section 3, Subsection 3 of Directive 2006/48/EC without the application of point 9 of this Annex.

(a) | all transactions are marked to market daily; and

(b) | any items borrowed, purchased or received under the transactions may be recognised as eligible financial collateral under Title V, Chapter 2, Section 3, Subsection 3 of Directive 2006/48/EC without the application of point 9 of this Annex.

 | 11. | Where a credit derivative included in the trading book forms part of an internal hedge and the credit protection is recognised under Directive 2006/48/EC, there shall be deemed not to be counterparty risk arising from the position in the credit derivative.

 | 12. | The capital requirement shall be 8 % of the total risk‐weighted exposure amounts.
ANNEX IIICALCULATING CAPITAL REQUIREMENTS FOR FOREIGN-EXCHANGE RISK 1.   

If the sum of an institution’s overall net foreign‐exchange position and its net gold position, calculated in accordance with the procedure set out in point 2, exceeds 2 % of its total own funds, it shall multiply the sum of its net foreign‐exchange position and its net gold position by 8 % in order to calculate its own‐funds requirement against foreign‐exchange risk.

 2.   

A two‐stage calculation shall be used for capital requirements for foreign‐exchange risk.
2.1.   

Firstly, the institution’s net open position in each currency (including the reporting currency) and in gold shall be calculated.This net open position shall consist of the sum of the following elements (positive or negative):

(a) the net spot position (i.e. all asset items less all liability items, including accrued interest, in the currency in question or, for gold, the net spot position in gold);

(b) the net forward position (i.e. all amounts to be received less all amounts to be paid under forward exchange and gold transactions, including currency and gold futures and the principal on currency swaps not included in the spot position);

(c) irrevocable guarantees (and similar instruments) that are certain to be called and likely to be irrecoverable;

(d) net future income/expenses not yet accrued but already fully hedged (at the discretion of the reporting institution and with the prior consent of the competent authorities, net future income/expenses not yet entered in accounting records but already fully hedged by forward foreign‐exchange transactions may be included here). Such discretion must be exercised on a consistent basis;

(e) the net delta (or delta‐based) equivalent of the total book of foreign‐currency and gold options; and

(f) the market value of other (i.e. non‐foreign-currency and non‐gold) options.

Any positions which an institution has deliberately taken in order to hedge against the adverse effect of the exchange rate on its capital ratio may be excluded from the calculation of net open currency positions. Such positions should be of a non‐trading or structural nature and their exclusion, and any variation of the terms of their exclusion, shall require the consent of the competent authorities. The same treatment subject to the same conditions as above may be applied to positions which an institution has which relate to items that are already deducted in the calculation of own funds.

For the purposes of the calculation referred to in the first paragraph, in respect of CIUs the actual foreign exchange positions of the CIU shall be taken into account. Institutions may rely on third party reporting of the foreign exchange positions in the CIU, where the correctness of this report is adequately ensured. If an institution is not aware of the foreign exchange positions in a CIU, it shall be assumed that the CIU is invested up to the maximum extent allowed under the CIU’s mandate in foreign exchange and institutions shall, for trading book positions, take account of the maximum indirect exposure that they could achieve by taking leveraged positions through the CIU when calculating their capital requirement for foreign exchange risk. This shall be done by proportionally increasing the position in the CIU up to the maximum exposure to the underlying investment items resulting from the investment mandate. The assumed position of the CIU in foreign exchange shall be treated as a separate currency according to the treatment of investments in gold, subject to the modification that, if the direction of the CIU’s investment is available, the total long position may be added to the total long open foreign exchange position and the total short position may be added to the total short open foreign exchange position. There would be no netting allowed between such positions prior to the calculation.

The competent authorities shall have the discretion to allow institutions to use the net present value when calculating the net open position in each currency and in gold.
2.2.   

Secondly, net short and long positions in each currency other than the reporting currency and the net long or short position in gold shall be converted at spot rates into the reporting currency. They shall then be summed separately to form the total of the net short positions and the total of the net long positions respectively. The higher of these two totals shall be the institution’s overall net foreign‐exchange position.

 3.   

By derogation from points 1 and 2 and pending further coordination, the competent authorities may prescribe or allow institutions to use the following procedures for the purposes of this Annex.
3.1.   

The competent authorities may allow institutions to provide lower capital requirements against positions in closely correlated currencies than those which would result from applying points 1 and 2 to them. The competent authorities may deem a pair of currencies to be closely correlated only if the likelihood of a loss — calculated on the basis of daily exchange‐rate data for the preceding three or five years — occurring on equal and opposite positions in such currencies over the following 10 working days, which is 4 % or less of the value of the matched position in question (valued in terms of the reporting currency) has a probability of at least 99 %, when an observation period of three years is used, or 95 %, when an observation period of five years is used. The own‐funds requirement on the matched position in two closely correlated currencies shall be 4 % multiplied by the value of the matched position. The capital requirement on unmatched positions in closely correlated currencies, and all positions in other currencies, shall be 8 %, multiplied by the higher of the sum of the net short or the net long positions in those currencies after the removal of matched positions in closely correlated currencies.
3.2.   

The competent authorities may allow institutions to remove positions in any currency which is subject to a legally binding intergovernmental agreement to limit its variation relative to other currencies covered by the same agreement from whichever of the methods described in points 1, 2 and 3.1 that they apply. Institutions shall calculate their matched positions in such currencies and subject them to a capital requirement no lower than half of the maximum permissible variation laid down in the intergovernmental agreement in question in respect of the currencies concerned. Unmatched positions in those currencies shall be treated in the same way as other currencies.

By derogation from the first paragraph, the competent authorities may allow the capital requirement on the matched positions in currencies of Member States participating in the second stage of the economic and monetary union to be 1,6 %, multiplied by the value of such matched positions.

 4.   

Net positions in composite currencies may be broken down into the component currencies according to the quotas in force.
Particular instrumentsANNEX IVCALCULATING CAPITAL REQUIREMENTS FOR COMMODITIES RISK 1.   

Each position in commodities or commodity derivatives shall be expressed in terms of the standard unit of measurement. The spot price in each commodity shall be expressed in the reporting currency.

 2.   

Positions in gold or gold derivatives shall be considered as being subject to foreign‐exchange risk and treated according to Annex III or Annex V, as appropriate, for the purpose of calculating market risk.

 3.   

For the purposes of this Annex, positions which are purely stock financing may be excluded from the commodities risk calculation only.

 4.   

The interest‐rate and foreign‐exchange risks not covered by other provisions of this Annex shall be included in the calculation of general risk for traded debt instruments and in the calculation of foreign‐exchange risk.

 5.   

When the short position falls due before the long position, institutions shall also guard against the risk of a shortage of liquidity which may exist in some markets.

 6.   

For the purpose of point 19, the excess of an institution’s long (short) positions over its short (long) positions in the same commodity and identical commodity futures, options and warrants shall be its net position in each commodity.

The competent authorities shall allow positions in derivative instruments to be treated, as laid down in points 8, 9 and 10, as positions in the underlying commodity.

 7.   

The competent authorities may regard the following positions as positions in the same commodity:

(a) positions in different sub‐categories of commodities in cases where the sub‐categories are deliverable against each other; and

(b) positions in similar commodities if they are close substitutes and if a minimum correlation of 0,9 between price movements can be clearly established over a minimum period of one year.
 | 8. | Commodity futures and forward commitments to buy or sell individual commodities shall be incorporated in the measurement system as notional amounts in terms of the standard unit of measurement and assigned a maturity with reference to expiry date.The competent authorities may allow the capital requirement for an exchange‐traded future to be equal to the margin required by the exchange if they are fully satisfied that it provides an accurate measure of the risk associated with the future and that it is at least equal to the capital requirement for a future that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V.The competent authorities may also allow the capital requirement for an OTC commodity derivatives contract of the type referred to in this point cleared by a clearing house recognised by them to be equal to the margin required by the clearing house if they are fully satisfied that it provides an accurate measure of the risk associated with the derivatives contract and that it is at least equal to the capital requirement for the contract in question that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V.

 | 9. | Commodity swaps where one side of the transaction is a fixed price and the other the current market price shall be incorporated into the maturity ladder approach, as set out in points 13 to 18, as a series of positions equal to the notional amount of the contract, with one position corresponding with each payment on the swap and slotted into the maturity ladder set out in Table 1 to point 13. The positions would be long positions if the institution is paying a fixed price and receiving a floating price and short positions if the institution is receiving a fixed price and paying a floating price.Commodity swaps where the sides of the transaction are in different commodities are to be reported in the relevant reporting ladder for the maturity ladder approach.

 | 10. | Options on commodities or on commodity derivatives shall be treated as if they were positions equal in value to the amount of the underlying to which the option refers, multiplied by its delta for the purposes of this Annex. The latter positions may be netted off against any offsetting positions in the identical underlying commodity or commodity derivative. The delta used shall be that of the exchange concerned, that calculated by the competent authorities or, where none of those is available, or for OTC options, that calculated by the institution itself, subject to the competent authorities being satisfied that the model used by the institution is reasonable.However, the competent authorities may also prescribe that institutions calculate their deltas using a methodology specified by the competent authorities.Other risks, apart from the delta risk, associated with commodity options shall be safeguarded against.The competent authorities may allow the requirement for a written exchange‐traded commodity option to be equal to the margin required by the exchange if they are fully satisfied that it provides an accurate measure of the risk associated with the option and that it is at least equal to the capital requirement against an option that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V.The competent authorities may also allow the capital requirement for an OTC commodity option cleared by a clearing house recognised by them to be equal to the margin required by the clearing house if they are fully satisfied that it provides an accurate measure of the risk associated with the option and that it is at least equal to the capital requirement for an OTC option that would result from a calculation made using the method set out in the remainder of this Annex or applying the internal models method described in Annex V.In addition they may allow the requirement on a bought exchange‐traded or OTC commodity option to be the same as that for the commodity underlying it, subject to the constraint that the resulting requirement does not exceed the market value of the option. The requirement for a written OTC option shall be set in relation to the commodity underlying it.

 | 11. | Warrants relating to commodities shall be treated in the same way as commodity options referred to in point 10.

 | 12. | The transferor of commodities or guaranteed rights relating to title to commodities in a repurchase agreement and the lender of commodities in a commodities lending agreement shall include such commodities in the calculation of its capital requirement under this Annex.(a)   Maturity ladder approach

 | 13. | The institution shall use a separate maturity ladder in line with Table 1 for each commodity. All positions in that commodity and all positions which are regarded as positions in the same commodity pursuant to point 7 shall be assigned to the appropriate maturity bands. Physical stocks shall be assigned to the first maturity band.Table 1Maturity band(1)Spread rate (in %)(2)0 ≤ 1 month1,50> 1 ≤ 3 months1,50> 3 ≤ 6 months1,50> 6 ≤ 12 months1,50> 1 ≤ 2 years1,50> 2 ≤ 3 years1,50> 3 years1,50 | Maturity band(1) | Spread rate (in %)(2) | 0 ≤ 1 month | 1,50 | > 1 ≤ 3 months | 1,50 | > 3 ≤ 6 months | 1,50 | > 6 ≤ 12 months | 1,50 | > 1 ≤ 2 years | 1,50 | > 2 ≤ 3 years | 1,50 | > 3 years | 1,50

Maturity band(1) | Spread rate (in %)(2)

0 ≤ 1 month | 1,50

> 1 ≤ 3 months | 1,50

> 3 ≤ 6 months | 1,50

> 6 ≤ 12 months | 1,50

> 1 ≤ 2 years | 1,50

> 2 ≤ 3 years | 1,50

> 3 years | 1,50

 | 14. | Competent authorities may allow positions which are, or are regarded pursuant to point 7 as, positions in the same commodity to be offset and assigned to the appropriate maturity bands on a net basis for the following:(a)positions in contracts maturing on the same date; and(b)positions in contracts maturing within 10 days of each other if the contracts are traded on markets which have daily delivery dates. | (a) | positions in contracts maturing on the same date; and | (b) | positions in contracts maturing within 10 days of each other if the contracts are traded on markets which have daily delivery dates.

(a) | positions in contracts maturing on the same date; and

(b) | positions in contracts maturing within 10 days of each other if the contracts are traded on markets which have daily delivery dates.

 | 15. | The institution shall then calculate the sum of the long positions and the sum of the short positions in each maturity band. The amount of the former (latter) which are matched by the latter (former) in a given maturity band shall be the matched positions in that band, while the residual long or short position shall be the unmatched position for the same band.

 | 16. | That part of the unmatched long (short) position for a given maturity band that is matched by the unmatched short (long) position for a maturity band further out shall be the matched position between two maturity bands. That part of the unmatched long or unmatched short position that cannot be thus matched shall be the unmatched position.

 | 17. | The institution’s capital requirement for each commodity shall be calculated on the basis of the relevant maturity ladder as the sum of the following:(a)the sum of the matched long and short positions, multiplied by the appropriate spread rate as indicated in the second column of Table 1 to point 13 for each maturity band and by the spot price for the commodity;(b)the matched position between two maturity bands for each maturity band into which an unmatched position is carried forward, multiplied by 0,6 % (carry rate) and by the spot price for the commodity; and(c)the residual unmatched positions, multiplied by 15 % (outright rate) and by the spot price for the commodity. | (a) | the sum of the matched long and short positions, multiplied by the appropriate spread rate as indicated in the second column of Table 1 to point 13 for each maturity band and by the spot price for the commodity; | (b) | the matched position between two maturity bands for each maturity band into which an unmatched position is carried forward, multiplied by 0,6 % (carry rate) and by the spot price for the commodity; and | (c) | the residual unmatched positions, multiplied by 15 % (outright rate) and by the spot price for the commodity.

(a) | the sum of the matched long and short positions, multiplied by the appropriate spread rate as indicated in the second column of Table 1 to point 13 for each maturity band and by the spot price for the commodity;

(b) | the matched position between two maturity bands for each maturity band into which an unmatched position is carried forward, multiplied by 0,6 % (carry rate) and by the spot price for the commodity; and

(c) | the residual unmatched positions, multiplied by 15 % (outright rate) and by the spot price for the commodity.

 | 18. | The institution’s overall capital requirement for commodities risk shall be calculated as the sum of the capital requirements calculated for each commodity according to point 17.(b)   Simplified approach

 | 19. | The institution’s capital requirement for each commodity shall be calculated as the sum of:(a)15 % of the net position, long or short, multiplied by the spot price for the commodity; and(b)3 % of the gross position, long plus short, multiplied by the spot price for the commodity. | (a) | 15 % of the net position, long or short, multiplied by the spot price for the commodity; and | (b) | 3 % of the gross position, long plus short, multiplied by the spot price for the commodity.

(a) | 15 % of the net position, long or short, multiplied by the spot price for the commodity; and

(b) | 3 % of the gross position, long plus short, multiplied by the spot price for the commodity.

 | 20. | The institution’s overall capital requirement for commodities risk shall be calculated as the sum of the capital requirements calculated for each commodity according to point 19.(c)   Extended Maturity ladder approach

 | 21. | Competent authorities may authorise institutions to use the minimum spread, carry and outright rates set out in the following table (Table 2) instead of those indicated in points 13, 14, 17 and 18 provided that the institutions, in the opinion of their competent authorities:(a)undertake significant commodities business;(b)have a diversified commodities portfolio; and(c)are not yet in a position to use internal models for the purpose of calculating the capital requirement on commodities risk in accordance with Annex V.Table 2Precious metals (except gold)Base metalsAgricultural products (softs)Other, including energy productsSpread rate ( %)1,01,21,51,5Carry rate ( %)0,30,50,60,6Outright rate ( %)8101215 | (a) | undertake significant commodities business; | (b) | have a diversified commodities portfolio; and | (c) | are not yet in a position to use internal models for the purpose of calculating the capital requirement on commodities risk in accordance with Annex V. |  | Precious metals (except gold) | Base metals | Agricultural products (softs) | Other, including energy products | Spread rate ( %) | 1,0 | 1,2 | 1,5 | 1,5 | Carry rate ( %) | 0,3 | 0,5 | 0,6 | 0,6 | Outright rate ( %) | 8 | 10 | 12 | 15

(a) | undertake significant commodities business;

(b) | have a diversified commodities portfolio; and

(c) | are not yet in a position to use internal models for the purpose of calculating the capital requirement on commodities risk in accordance with Annex V.

 | Precious metals (except gold) | Base metals | Agricultural products (softs) | Other, including energy products

Spread rate ( %) | 1,0 | 1,2 | 1,5 | 1,5

Carry rate ( %) | 0,3 | 0,5 | 0,6 | 0,6

Outright rate ( %) | 8 | 10 | 12 | 15
Interest rate riskANNEX VUSE OF INTERNAL MODELS TO CALCULATE CAPITAL REQUIREMENTS 1.   

The competent authorities may, subject to the conditions laid down in this Annex, allow institutions to calculate their capital requirements for position risk, foreign‐exchange risk and/or commodities risk using their own internal risk‐management models instead of or in combination with the methods described in Annexes I, III and IV. Explicit recognition by the competent authorities of the use of models for supervisory capital purposes shall be required in each case.

 2.   

Recognition shall only be given if the competent authority is satisfied that the institution’s risk‐management system is conceptually sound and implemented with integrity and that, in particular, the following qualitative standards are met:

(a) the internal risk‐measurement model is closely integrated into the daily risk‐management process of the institution and serves as the basis for reporting risk exposures to senior management of the institution;

(b) the institution has a risk control unit that is independent from business trading units and reports directly to senior management. The unit must be responsible for designing and implementing the institution’s risk‐management system. It shall produce and analyse daily reports on the output of the risk‐measurement model and on the appropriate measures to be taken in terms of trading limits. The unit shall also conduct the initial and on-going validation of the internal model;

(c) the institution’s board of directors and senior management are actively involved in the risk‐control process and the daily reports produced by the risk‐control unit are reviewed by a level of management with sufficient authority to enforce both reductions of positions taken by individual traders as well as in the institution’s overall risk exposure;

(d) the institution has sufficient numbers of staff skilled in the use of sophisticated models in the trading, risk‐control, audit and back‐office areas;

(e) the institution has established procedures for monitoring and ensuring compliance with a documented set of internal policies and controls concerning the overall operation of the risk‐measurement system;

(f) the institution’s model has a proven track record of reasonable accuracy in measuring risks;

(g) the institution frequently conducts a rigorous programme of stress testing and the results of these tests are reviewed by senior management and reflected in the policies and limits it sets. This process shall particularly address illiquidity of markets in stressed market conditions, concentration risk, one way markets, event and jump‐to‐default risks, non-linearity of products, deep out‐of‐the‐money positions, positions subject to the gapping of prices and other risks that may not be captured appropriately in the internal models. The shocks applied shall reflect the nature of the portfolios and the time it could take to hedge out or manage risks under severe market conditions; and

(h) the institution must conduct, as part of its regular internal auditing process, an independent review of its risk‐measurement system.

The review referred to in point (h) of the first paragraph shall include both the activities of the business trading units and of the independent risk‐control unit. At least once a year, the institution must conduct a review of its overall risk‐management process.

The review shall consider the following:

(a) the adequacy of the documentation of the risk‐management system and process and the organisation of the risk‐control unit;

(b) the integration of market risk measures into daily risk management and the integrity of the management information system;

(c) the process the institution employs for approving risk‐pricing models and valuation systems that are used by front and back‐office personnel;

(d) the scope of market risks captured by the risk‐measurement model and the validation of any significant changes in the risk‐measurement process;

(e) the accuracy and completeness of position data, the accuracy and appropriateness of volatility and correlation assumptions, and the accuracy of valuation and risk sensitivity calculations;

(f) the verification process the institution employs to evaluate the consistency, timeliness and reliability of data sources used to run internal models, including the independence of such data sources; and

(g) the verification process the institution uses to evaluate back‐testing that is conducted to assess the models’ accuracy.

 3.   

Institutions shall have processes in place to ensure that their internal models have been adequately validated by suitably qualified parties independent of the development process to ensure that they are conceptually sound and adequately capture all material risks. The validation shall be conducted when the internal model is initially developed and when any significant changes are made to the internal model. The validation shall also be conducted on a periodic basis but especially where there have been any significant structural changes in the market or changes to the composition of the portfolio which might lead to the internal model no longer being adequate. As techniques and best practices evolve, institutions shall avail themselves of these advances. Internal model validation shall not be limited to back-testing, but shall, at a minimum, also include the following:

(a) tests to demonstrate that any assumptions made within the internal model are appropriate and do not underestimate or overestimate the risk;

(b) in addition to the regulatory back-testing programmes, institutions shall carry out their own internal model validation tests in relation to the risks and structures of their portfolios; and

(c) the use of hypothetical portfolios to ensure that the internal model is able to account for particular structural features that may arise, for example material basis risks and concentration risk.

 4.   

The institution shall monitor the accuracy and performance of its model by conducting a back‐testing programme. The back‐testing has to provide for each business day a comparison of the one‐day value‐at‐risk measure generated by the institution’s model for the portfolio’s end‐of‐day positions to the one‐day change of the portfolio’s value by the end of the subsequent business day.

Competent authorities shall examine the institution’s capability to perform back‐testing on both actual and hypothetical changes in the portfolio’s value. Back‐testing on hypothetical changes in the portfolio’s value is based on a comparison between the portfolio’s end‐of‐day value and, assuming unchanged positions, its value at the end of the subsequent day. Competent authorities shall require institutions to take appropriate measures to improve their back‐testing programme if deemed deficient. Competent authorities may require institutions to perform back-testing on either hypothetical (using changes in portfolio value that would occur were end-of-day positions to remain unchanged), or actual trading (excluding fees, commissions, and net interest income) outcomes, or both.

 5.   

For the purpose of calculating capital requirements for specific risk associated with traded debt and equity positions, the competent authorities may recognise the use of an institution’s internal model if, in addition to compliance with the conditions in the remainder of this Annex, the internal model meets the following conditions:

(a) it explains the historical price variation in the portfolio;

(b) it captures concentration in terms of magnitude and changes of composition of the portfolio;

(c) it is robust to an adverse environment;

(d) it is validated through back‐testing aimed at assessing whether specific risk is being accurately captured. If competent authorities allow this back‐testing to be performed on the basis of relevant sub‐portfolios, these must be chosen in a consistent manner;

(e) it captures name-related basis risk, that is institutions shall demonstrate that the internal model is sensitive to material idiosyncratic differences between similar but not identical positions; and

(f) it captures event risk.

The institution shall also meet the following conditions:

—

where an institution is subject to event risk that is not reflected in its value‐at‐risk measure, because it is beyond the 10-day holding period and 99 percent confidence interval (low probability and high severity events), the institution shall ensure that the impact of such events is factored in to its internal capital assessment; and

—

the institution’s internal model shall conservatively assess the risk arising from less liquid positions and positions with limited price transparency under realistic market scenarios. In addition, the internal model shall meet minimum data standards. Proxies shall be appropriately conservative and may be used only where available data is insufficient or is not reflective of the true volatility of a position or portfolio.

Further, as techniques and best practices evolve, institutions shall avail themselves of these advances.

In addition, the institution shall have an approach in place to capture, in the calculation of its capital requirements, the default risk of its trading book positions that is incremental to the default risk captured by the value-at-risk measure as specified in the previous requirements of this point. To avoid double counting, an institution may, when calculating its incremental default risk charge, take into account the extent to which default risk has already been incorporated into the value‐at‐risk measure, especially for risk positions that could and would be closed within 10 days in the event of adverse market conditions or other indications of deterioration in the credit environment. Where an institution captures its incremental default risk through a surcharge, it shall have in place methodologies for validating the measure.

The institution shall demonstrate that its approach meets soundness standards comparable to the approach set out in Articles 84 to 89 of Directive 2006/48/EC, under the assumption of a constant level of risk, and adjusted where appropriate to reflect the impact of liquidity, concentrations, hedging and optionality.

An institution that does not capture the incremental default risk through an internally developed approach shall calculate the surcharge through an approach consistent with the either the approach set out in Articles 78 to 83 of Directive 2006/48/EC or the approach set out in Articles 84 to 89 of that Directive.

With respect to cash or synthetic securitisation exposures that would be subject to a deduction treatment under the treatment set out in Article 66(2) of Directive 2006/48/EC, or risk-weighted at 1,250 % as set out in Part 4 of Annex IX to that Directive, these positions shall be subject to a capital charge that is no less than set forth under that treatment. Institutions that are dealers in these exposures may apply a different treatment where they can demonstrate to their competent authorities, in addition to trading intent, that a liquid two-way market exists for the securitisation exposures or, in the case of synthetic securitisations that rely solely on credit derivatives, for the securitisation exposures themselves or all their constituent risk components. For the purposes of this section a two-way market is deemed to exist where there are independent good faith offers to buy and sell so that a price reasonably related to the last sales price or current good faith competitive bid and offer quotations can be determined within one day and settled at such a price within a relatively short time conforming to trade custom. For an institution to apply a different treatment, it shall have sufficient market data to ensure that it fully captures the concentrated default risk of these exposures in its internal approach for measuring the incremental default risk in accordance with the standards set out above.

 6.   

Institutions using internal models which are not recognised in accordance with point 4 shall be subject to a separate capital charge for specific risk as calculated according to Annex I.

 7.   

For the purposes of point 9(b), the results of the institution’s own calculation shall be scaled up by a multiplication factor of at least 3.  8.   The multiplication factor shall be increased by a plus‐factor of between 0 and 1 in accordance with Table 1, depending on the number of overshootings for the most recent 250 business days as evidenced by the institution’s back‐testing. Competent authorities shall require the institutions to calculate overshootings consistently on the basis of back‐testing either on actual or on hypothetical changes in the portfolio’s value. An overshooting is a one‐day change in the portfolio’s value that exceeds the related one‐day value‐at‐risk measure generated by the institution’s model. For the purpose of determining the plus‐factor the number of overshootings shall be assessed at least quarterly.Table 1

Number of overshootings

Plus-factor

Fewer than 5

0,00 

5

0,40 

6

0,50 

7

0,65 

8

0,75 

9

0,85 

10 or more

1,00 

The competent authorities may, in individual cases and owing to an exceptional situation, waive the requirement to increase the multiplication factor by the ‘plus‐factor’ in accordance with Table 1, if the institution has demonstrated to the satisfaction of the competent authorities that such an increase is unjustified and that the model is basically sound.

If numerous overshootings indicate that the model is not sufficiently accurate, the competent authorities shall revoke the model’s recognition or impose appropriate measures to ensure that the model is improved promptly.

In order to allow competent authorities to monitor the appropriateness of the plus‐factor on an ongoing basis, institutions shall notify promptly, and in any case no later than within five working days, the competent authorities of overshootings that result form their back‐testing programme and that would according to the above table imply an increase of a plus‐factor.

 9.   

Each institution must meet a capital requirement expressed as the higher of:

(a) its previous day’s value‐at‐risk measure according to the parameters specified in this Annex plus, where appropriate, the incremental default risk charge required under point 5; or

(b) an average of the daily value‐at‐risk measures on each of the preceding 60 business days, multiplied by the factor mentioned in point 7, adjusted by the factor referred to in point 8 plus, where appropriate, the incremental default risk charge required under point 5.  10.   

The calculation of the value‐at‐risk measure shall be subject to the following minimum standards:

(a) at least daily calculation of the value‐at‐risk measure;

(b) a 99th percentile, one‐tailed confidence interval;

(c) a 10‐day equivalent holding period;

(d) an effective historical observation period of at least one year except where a shorter observation period is justified by a significant upsurge in price volatility; and

(e) three‐monthly data set updates.

 11.   

The competent authorities shall require that the model captures accurately all the material price risks of options or option‐like positions and that any other risks not captured by the model are covered adequately by own funds.

 12.   

The risk‐measurement model shall capture a sufficient number of risk factors, depending on the level of activity of the institution in the respective markets and in particular the following.

The risk‐measurement system shall incorporate a set of risk factors corresponding to the interest rates in each currency in which the institution has interest rate sensitive on- or off‐balance sheet positions. The institution shall model the yield curves using one of the generally accepted approaches. For material exposures to interest‐rate risk in the major currencies and markets, the yield curve shall be divided into a minimum of six maturity segments, to capture the variations of volatility of rates along the yield curve. The risk‐measurement system must also capture the risk of less than perfectly correlated movements between different yield curves.

Foreign-exchange riskThe risk‐measurement system shall incorporate risk factors corresponding to gold and to the individual foreign currencies in which the institution’s positions are denominated.

For CIUs the actual foreign exchange positions of the CIU shall be taken into account. Institutions may rely on third party reporting of the foreign exchange position of the CIU, where the correctness of this report is adequately ensured. If an institution is not aware of the foreign exchange positions of a CIU, this position should be carved out and treated in accordance with the fourth paragraph of point 2.1 of Annex III.

Equity riskThe risk‐measurement system shall use a separate risk factor at least for each of the equity markets in which the institution holds significant positions.

Commodity riskThe risk‐measurement system shall use a separate risk factor at least for each commodity in which the institution holds significant positions. The risk‐measurement system must also capture the risk of less than perfectly correlated movements between similar, but not identical, commodities and the exposure to changes in forward prices arising from maturity mismatches. It shall also take account of market characteristics, notably delivery dates and the scope provided to traders to close out positions.

 13.   

The competent authorities may allow institutions to use empirical correlations within risk categories and across risk categories if they are satisfied that the institution’s system for measuring correlations is sound and implemented with integrity.
ANNEX VICALCULATING CAPITAL REQUIREMENTS FOR LARGE EXPOSURES 1.   

The excess referred to in Article 31(b) shall be calculated by selecting those components of the total trading exposure to the client or group of clients in question which attract the highest specific‐risk requirements in Annex I and/or requirements in Annex II, the sum of which equals the amount of the excess referred to in Article 31(a).

 2.   

Where the excess has not persisted for more than 10 days, the additional capital requirement shall be 200 % of the requirements referred to in point 1, on these components.

 3.   

As from 10 days after the excess has occurred, the components of the excess, selected in accordance with point 1, shall be allocated to the appropriate line in column 1 of Table 1 in ascending order of specific‐risk requirements in Annex I and/or requirements in Annex II. The additional capital requirement shall be equal to the sum of the specific‐risk requirements in Annex I and/or the Annex II requirements on these components, multiplied by the corresponding factor in column 2 of Table 1. Table 1

Excess over the limits

(on the basis of a percentage of own funds)

Factors

Up to 40 %

200 %

From 40 % to 60 %

300 %

From 60 % to 80 %

400 %

From 80 % to 100 %

500 %

From 100 % to 250 %

600 %

Over 250 %

900 %
PART AANNEX VIITRADINGTrading Intent

 | 1. | Positions/portfolios held with trading intent shall comply with the following requirements:(a)there must be a clearly documented trading strategy for the position/instrument or portfolios, approved by senior management, which shall include expected holding horizon;(b)there must be clearly defined policies and procedures for the active management of the position, which shall include the following:(i)positions entered into on a trading desk;(ii)position limits are set and monitored for appropriateness;(iii)dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;(iv)positions are reported to senior management as an integral part of the institution’s risk management process; and(v)positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and(c)there must be clearly defined policy and procedures to monitor the position against the institution’s trading strategy including the monitoring of turnover and stale positions in the institution’s trading book. | (a) | there must be a clearly documented trading strategy for the position/instrument or portfolios, approved by senior management, which shall include expected holding horizon; | (b) | there must be clearly defined policies and procedures for the active management of the position, which shall include the following:(i)positions entered into on a trading desk;(ii)position limits are set and monitored for appropriateness;(iii)dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;(iv)positions are reported to senior management as an integral part of the institution’s risk management process; and(v)positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and | (i) | positions entered into on a trading desk; | (ii) | position limits are set and monitored for appropriateness; | (iii) | dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy; | (iv) | positions are reported to senior management as an integral part of the institution’s risk management process; and | (v) | positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and | (c) | there must be clearly defined policy and procedures to monitor the position against the institution’s trading strategy including the monitoring of turnover and stale positions in the institution’s trading book.

(a) | there must be a clearly documented trading strategy for the position/instrument or portfolios, approved by senior management, which shall include expected holding horizon;

(b) | there must be clearly defined policies and procedures for the active management of the position, which shall include the following:(i)positions entered into on a trading desk;(ii)position limits are set and monitored for appropriateness;(iii)dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;(iv)positions are reported to senior management as an integral part of the institution’s risk management process; and(v)positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and | (i) | positions entered into on a trading desk; | (ii) | position limits are set and monitored for appropriateness; | (iii) | dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy; | (iv) | positions are reported to senior management as an integral part of the institution’s risk management process; and | (v) | positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and

(i) | positions entered into on a trading desk;

(ii) | position limits are set and monitored for appropriateness;

(iii) | dealers have the autonomy to enter into/manage the position within agreed limits and according to the approved strategy;

(iv) | positions are reported to senior management as an integral part of the institution’s risk management process; and

(v) | positions are actively monitored with reference to market information sources and an assessment made of the marketability or hedge‐ability of the position or its component risks, including the assessment of, the quality and availability of market inputs to the valuation process, level of market turnover, sizes of positions traded in the market; and

(c) | there must be clearly defined policy and procedures to monitor the position against the institution’s trading strategy including the monitoring of turnover and stale positions in the institution’s trading book.PART BSystems and Controls

 | 1. | Institutions shall establish and maintain systems and controls sufficient to provide prudent and reliable valuation estimates.

 | 2. | Systems and controls shall include at least the following elements:(a)documented policies and procedures for the process of valuation. This includes clearly defined responsibilities of the various areas involved in the determination of the valuation, sources of market information and review of their appropriateness, frequency of independent valuation, timing of closing prices, procedures for adjusting valuations, month end and ad‐hoc verification procedures; and(b)reporting lines for the department accountable for the valuation process that are clear and independent of the front office.The reporting line shall ultimately be to a main board executive director. | (a) | documented policies and procedures for the process of valuation. This includes clearly defined responsibilities of the various areas involved in the determination of the valuation, sources of market information and review of their appropriateness, frequency of independent valuation, timing of closing prices, procedures for adjusting valuations, month end and ad‐hoc verification procedures; and | (b) | reporting lines for the department accountable for the valuation process that are clear and independent of the front office.

(a) | documented policies and procedures for the process of valuation. This includes clearly defined responsibilities of the various areas involved in the determination of the valuation, sources of market information and review of their appropriateness, frequency of independent valuation, timing of closing prices, procedures for adjusting valuations, month end and ad‐hoc verification procedures; and

(b) | reporting lines for the department accountable for the valuation process that are clear and independent of the front office.Prudent Valuation Methods

 | 3. | Marking to market is the at least daily valuation of positions at readily available close out prices that are sourced independently. Examples include exchange prices, screen prices, or quotes from several independent reputable brokers.

 | 4. | When marking to market, the more prudent side of bid/offer shall be used unless the institution is a significant market maker in the particular type of financial instrument or commodity in question and it can close out at mid market.

 | 5. | Where marking to market is not possible, institutions must mark to model their positions/portfolios before applying trading book capital treatment. Marking to model is defined as any valuation which has to be benchmarked, extrapolated or otherwise calculated from a market input.

 | 6. | The following requirements must be complied with when marking to model:(a)senior management shall be aware of the elements of the trading book which are subject to mark to model and shall understand the materiality of the uncertainty this creates in the reporting of the risk/performance of the business;(b)market inputs shall be sourced, where possible, in line with market prices, and the appropriateness of the market inputs of the particular position being valued and the parameters of the model shall be assessed on a frequent basis;(c)where available, valuation methodologies which are accepted market practice for particular financial instruments or commodities shall be used;(d)where the model is developed by the institution itself, it shall be based on appropriate assumptions, which have been assessed and challenged by suitably qualified parties independent of the development process;(e)there shall be formal change control procedures in place and a secure copy of the model shall be held and periodically used to check valuations;(f)risk management shall be aware of the weaknesses of the models used and how best to reflect those in the valuation output; and(g)the model shall be subject to periodic review to determine the accuracy of its performance (e.g. assessing the continued appropriateness of assumptions, analysis of profit and loss versus risk factors, comparison of actual close out values to model outputs).For the purposes of point (d), the model shall be developed or approved independently of the front office and shall be independently tested, including validation of the mathematics, assumptions and software implementation. | (a) | senior management shall be aware of the elements of the trading book which are subject to mark to model and shall understand the materiality of the uncertainty this creates in the reporting of the risk/performance of the business; | (b) | market inputs shall be sourced, where possible, in line with market prices, and the appropriateness of the market inputs of the particular position being valued and the parameters of the model shall be assessed on a frequent basis; | (c) | where available, valuation methodologies which are accepted market practice for particular financial instruments or commodities shall be used; | (d) | where the model is developed by the institution itself, it shall be based on appropriate assumptions, which have been assessed and challenged by suitably qualified parties independent of the development process; | (e) | there shall be formal change control procedures in place and a secure copy of the model shall be held and periodically used to check valuations; | (f) | risk management shall be aware of the weaknesses of the models used and how best to reflect those in the valuation output; and | (g) | the model shall be subject to periodic review to determine the accuracy of its performance (e.g. assessing the continued appropriateness of assumptions, analysis of profit and loss versus risk factors, comparison of actual close out values to model outputs).

(a) | senior management shall be aware of the elements of the trading book which are subject to mark to model and shall understand the materiality of the uncertainty this creates in the reporting of the risk/performance of the business;

(b) | market inputs shall be sourced, where possible, in line with market prices, and the appropriateness of the market inputs of the particular position being valued and the parameters of the model shall be assessed on a frequent basis;

(c) | where available, valuation methodologies which are accepted market practice for particular financial instruments or commodities shall be used;

(d) | where the model is developed by the institution itself, it shall be based on appropriate assumptions, which have been assessed and challenged by suitably qualified parties independent of the development process;

(e) | there shall be formal change control procedures in place and a secure copy of the model shall be held and periodically used to check valuations;

(f) | risk management shall be aware of the weaknesses of the models used and how best to reflect those in the valuation output; and

(g) | the model shall be subject to periodic review to determine the accuracy of its performance (e.g. assessing the continued appropriateness of assumptions, analysis of profit and loss versus risk factors, comparison of actual close out values to model outputs).

 | 7. | Independent price verification should be performed in addition to daily marking to market or marking to model. This is the process by which market prices or model inputs are regularly verified for accuracy and independence. While daily marking to market may be performed by dealers, verification of market prices and model inputs should be performed by a unit independent of the dealing room, at least monthly (or, depending on the nature of the market/trading activity, more frequently). Where independent pricing sources are not available or pricing sources are more subjective, prudent measures such as valuation adjustments may be appropriate.Valuation adjustments or reserves

 | 8. | Institutions shall establish and maintain procedures for considering valuation adjustments/reserves.General standards

 | 9. | The competent authorities shall require the following valuation adjustments/reserves to be formally considered: unearned credit spreads, close‐out costs, operational risks, early termination, investing and funding costs, future administrative costs and, where relevant, model risk.Standards for less liquid positions

 | 10. | Less liquid positions could arise from both market events and institution‐related situations e.g. concentrated positions and/or stale positions.

 | 11. | Institutions shall consider several factors when determining whether a valuation reserve is necessary for less liquid positions. These factors include the amount of time it would take to hedge out the position/risks within the position, the volatility and average of bid/offer spreads, the availability of market quotes (number and identity of market makers) and the volatility and average of trading volumes, market concentrations, the aging of positions, the extent to which valuation relies on marking-to-model, and the impact of other model risks.

 | 12. | When using third party valuations or marking to model, institutions shall consider whether to apply a valuation adjustment. In addition, institutions shall consider the need for establishing reserves for less liquid positions and on an ongoing basis review their continued suitability.

 | 13. | When valuation adjustments/reserves give rise to material losses of the current financial year, these shall be deducted from an institution’s original own funds according to point (k) of Article 57 of Directive 2006/48/EC

 | 14. | Other profits/losses originating from valuation adjustments/reserves shall be included in the calculation of ‘net trading book profits’ mentioned in point (b) of Article 13(2) and be added to/deducted from the additional own funds eligible to cover market risk requirements according to such provisions.

 | 15. | Valuation adjustments/reserves which exceed those made under the accounting framework to which the institution is subject shall be treated in accordance with point 13 if they give rise to material losses, or point 14 otherwise.PART CInternal Hedges

 | 1. | An internal hedge is a position that materially or completely offsets the component risk element of a non‐trading book position or a set of positions. Positions arising from internal hedges are eligible for trading book capital treatment, provided that they are held with trading intent and that the general criteria on trading intent and prudent valuation specified in Parts A and B are met. In particular:(a)internal hedges shall not be primarily intended to avoid or reduce capital requirements;(b)internal hedges shall be properly documented and subject to particular internal approval and audit procedures;(c)the internal transaction shall be dealt with at market conditions;(d)the bulk of the market risk that is generated by the internal hedge shall be dynamically managed in the trading book within the authorised limits; and(e)internal transactions shall be carefully monitored.Monitoring must be ensured by adequate procedures. | (a) | internal hedges shall not be primarily intended to avoid or reduce capital requirements; | (b) | internal hedges shall be properly documented and subject to particular internal approval and audit procedures; | (c) | the internal transaction shall be dealt with at market conditions; | (d) | the bulk of the market risk that is generated by the internal hedge shall be dynamically managed in the trading book within the authorised limits; and | (e) | internal transactions shall be carefully monitored.

(a) | internal hedges shall not be primarily intended to avoid or reduce capital requirements;

(b) | internal hedges shall be properly documented and subject to particular internal approval and audit procedures;

(c) | the internal transaction shall be dealt with at market conditions;

(d) | the bulk of the market risk that is generated by the internal hedge shall be dynamically managed in the trading book within the authorised limits; and

(e) | internal transactions shall be carefully monitored.

 | 2. | The treatment referred to in point 1 applies without prejudice to the capital requirements applicable to the ‘non‐trading book leg’ of the internal hedge.

 | 3. | Notwithstanding points 1 and 2, when an institution hedges a non‐trading book credit risk exposure using a credit derivative booked in its trading book (using an internal hedge), the non‐trading book exposure is not deemed to be hedged for the purposes of calculating capital requirements unless the institution purchases from an eligible third party protection provider a credit derivative meeting the requirements set out in point 19 of Part 2 of Annex VIII to Directive 2006/48/EC with regard to the non‐trading book exposure. Where such third party protection is purchased and is recognised as a hedge of a non-trading book exposure for the purposes of calculating capital requirements, neither the internal nor external credit derivative hedge shall be included in the trading book for the purposes of calculating capital requirements.PART DInclusion In The Trading Book

 | 1. | Institutions shall have clearly defined policies and procedures for determining which position to include in the trading book for the purposes of calculating their capital requirements, consistent with the criteria set out in Article 11 and taking into account the institution’s risk management capabilities and practices. Compliance with these policies and procedures shall be fully documented and subject to periodic internal audit.

 | 2. | Institutions shall have clearly defined policies and procedures for overall management of the trading book. At a minimum these policies and procedures shall address:(a)the activities the institution considers to be trading and as constituting part of the trading book for capital requirement purposes;(b)the extent to which a position can be marked‐to‐market daily by reference to an active, liquid two-way market;(c)for positions that are marked‐to‐model, the extent to which the institution can:(i)identify all material risks of the position;(ii)hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and(iii)derive reliable estimates for the key assumptions and parameters used in the model;(d)the extent to which the institution can, and is required to, generate valuations for the position that can be validated externally in a consistent manner;(e)the extent to which legal restrictions or other operational requirements would impede the institution’s ability to effect a liquidation or hedge of the position in the short term;(f)the extent to which the institution can, and is required to, actively risk manage the position within its trading operation; and(g)the extent to which the institution may transfer risk or positions between the non‐trading and trading books and the criteria for such transfers. | (a) | the activities the institution considers to be trading and as constituting part of the trading book for capital requirement purposes; | (b) | the extent to which a position can be marked‐to‐market daily by reference to an active, liquid two-way market; | (c) | for positions that are marked‐to‐model, the extent to which the institution can:(i)identify all material risks of the position;(ii)hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and(iii)derive reliable estimates for the key assumptions and parameters used in the model; | (i) | identify all material risks of the position; | (ii) | hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and | (iii) | derive reliable estimates for the key assumptions and parameters used in the model; | (d) | the extent to which the institution can, and is required to, generate valuations for the position that can be validated externally in a consistent manner; | (e) | the extent to which legal restrictions or other operational requirements would impede the institution’s ability to effect a liquidation or hedge of the position in the short term; | (f) | the extent to which the institution can, and is required to, actively risk manage the position within its trading operation; and | (g) | the extent to which the institution may transfer risk or positions between the non‐trading and trading books and the criteria for such transfers.

(a) | the activities the institution considers to be trading and as constituting part of the trading book for capital requirement purposes;

(b) | the extent to which a position can be marked‐to‐market daily by reference to an active, liquid two-way market;

(c) | for positions that are marked‐to‐model, the extent to which the institution can:(i)identify all material risks of the position;(ii)hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and(iii)derive reliable estimates for the key assumptions and parameters used in the model; | (i) | identify all material risks of the position; | (ii) | hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and | (iii) | derive reliable estimates for the key assumptions and parameters used in the model;

(i) | identify all material risks of the position;

(ii) | hedge all material risks of the position with instruments for which an active, liquid two‐way market exists; and

(iii) | derive reliable estimates for the key assumptions and parameters used in the model;

(d) | the extent to which the institution can, and is required to, generate valuations for the position that can be validated externally in a consistent manner;

(e) | the extent to which legal restrictions or other operational requirements would impede the institution’s ability to effect a liquidation or hedge of the position in the short term;

(f) | the extent to which the institution can, and is required to, actively risk manage the position within its trading operation; and

(g) | the extent to which the institution may transfer risk or positions between the non‐trading and trading books and the criteria for such transfers.

 | 3. | Competent authorities may allow institutions to treat positions that are holdings in the trading book as set out in Article 57(l), (m) and (n) of Directive 2006/48/EC as equity or debt instruments, as appropriate, where an institution demonstrates that it is an active market maker in these positions. In this case, the institution shall have adequate systems and controls surrounding the trading of eligible own funds instruments.

 | 4. | Term trading-related repo‐style transactions that an institution accounts for in its non‐trading book may be included in the trading book for capital requirement purposes so long as all such repo-style transactions are included. For this purpose, trading‐related repo‐style transactions are defined as those that meet the requirements of Article 11(2) and of Annex VII, Part A, and both legs are in the form of either cash or securities includable in the trading book. Regardless of where they are booked, all repo‐style transactions are subject to a non‐trading book counterparty credit risk charge.
PART AANNEX VIIIREPEALED DIRECTIVESRepealed directives together with their successive amendments(referred to in Article 52)Council Directive 93/6/EEC of 15 March 1993 on the capital adequacy of investments firms and credit institutions

Directive 98/31/EC of the European Parliament and of the Council of 22 June 1998 amending Council Directive 93/6/EEC on the capital adequacy of investment firms and credit institutions

Directive 98/33/EC of the European Parliament and of the Council of 22 June 1998 amending Article 12 of Council Directive 77/780/EEC on the taking up and pursuit of the business of credit institutions, Articles 2, 5, 6, 7, 8 of and Annexes II and III to Council Directive 89/647/EEC on a solvency ratio for credit institutions and Article 2 of and Annex II to Council Directive 93/6/EEC on the capital adequacy of investment firms and credit institutions

Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC, and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council:

Only Article 26

Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC:

Only Article 67

PART BDeadlines for transposition(referred to in Article 52)

Directive | Deadline for transposition

Council Directive 93/6/EEC | 1.7.1995

Directive 98/31/EC | 21.7.2000

Directive 98/33/EC | 21.7.2000

Directive 2002/87/EC | 11.8.2004

Directive 2004/39/EC | 30.4.2006/31.1.2007

Directive 2005/1/EC | 13.5.2005
ANNEX IXCORRELATION TABLE

This Directive | Directive 93/6/EEC | Directive 98/31/EC | Directive 98/33/EC | Directive 2002/87/EC | Directive 2004/39/EC

Article 1(1) first sentence |  |  |  |  | 

Article 1(1) second sentence and (2) | Article 1 |  |  |  | 

Article 2(1) |  |  |  |  | 

Article 2(2) | Article 7(3) |  |  |  | 

Article 3(1)(a) | Article 2(1) |  |  |  | 

Article 3(1)(b) | Article 2(2) |  |  |  | Article 67(1)

Article 3(1)(c) to (e) | Article 2(3) to (5) |  |  |  | 

Article 3(1)(f) and (g) |  |  |  |  | 

Article 3(1)(h) | Article 2(10) |  |  |  | 

Article 3(1)(i) | Article 2(11) |  | Article 3(1) |  | 

Article 3(1)(j) | Article 2(14) |  |  |  | 

Article 3(1)(k) and (l) | Article 2(15) and (16) | Article 1(1)(b) |  |  | 

Article 3(1)(m) | Article 2(17) | Article 1(1)(c) |  |  | 

Article 3(1)(n) | Article 2(18) | Article 1(1)(d) |  |  | 

Article 3(1)(o) to (q) | Article 2(19) to (21) |  |  |  | 

Article 3(1)(r) | Article 2(23) |  |  |  | 

Article 3(1)(s) | Article 2(26) |  |  |  | 

Article 3(2) | Article 2(7) and (8) |  |  |  | 

Article 3(3)(a) and (b) | Article 7(3) |  |  | Article 26 | 

Article 3(3)(c) | Article 7(3) |  |  |  | 

Article 4 | Article 2(24) |  |  |  | 

Article 5 | Article 3(1) and (2) |  |  |  | 

Article 6 | Article 3(4) |  |  |  | Article 67(2)

Article 7 | Article 3(4a) |  |  |  | Article 67(3)

Article 8 | Article 3(4b) |  |  |  | Article 67(3)

Article 9 | Article 3(3) |  |  |  | 

Article 10 | Article 3(5) to (8) |  |  |  | 

Article 11 | Article 2(6) |  |  |  | 

Article 12 first paragraph | Article 2(25) |  |  |  | 

Article 12 second paragraph |  |  |  |  | 

Article 13(1) first sub-paragraph | Annex V(1) first sub-paragraph |  |  |  | 

Article 13(1) second sub‐paragraph and (2) to (5) | Annex V(1) second sub‐paragraph and (2) to (5) | Article 1(7) and Annex 4(a)(b) |  |  | 

Article 14 | Annex V(6) and (7) | Annex 4(c) |  |  | 

Article 15 | Annex V(8) |  |  |  | 

Article 16 | Annex V(9) |  |  |  | 

Article 17 |  |  |  |  | 

Article 18(1) first sub-paragraph | Article 4(1) first sub-paragraph |  |  |  | 

Article 18(1)(a) and (b) | Article 4(1)(i) and (ii) | Article 1(2) |  |  | 

Article 18(2) to (4) | Article 4(6) to (8) |  |  |  | 

Article 19(1) |  |  |  |  | 

Article 19(2) | Article 11(2) |  |  |  | 

Article 19(3) |  |  |  |  | 

Article 20 |  |  |  |  | 

Article 21 | Annex IV |  |  |  | 

Article 22 |  |  |  |  | 

Article 23 first and second paragraph | Article 7(5) and (6) |  |  |  | 

Article 23 third paragraph |  |  |  |  | 

Article 24 |  |  |  |  | 

Article 25 |  |  |  |  | 

Article 26(1) | Article 7(10) | Article 1(4) |  |  | 

Article 26(2) to (4) | Article 7(11) to (13) |  |  |  | 

Article 27 | Article 7(14) and (15) |  |  |  | 

Article 28(1) | Article 5(1) |  |  |  | 

Article 28(2) | Article 5(2) | Article 1(3) |  |  | 

Article 28(3) |  |  |  |  | 

Article 29(1)(a) to (c) and next two sub-paragraphs | Annex VI(2) |  |  |  | 

Article 29(1) last sub-paragraph |  |  |  |  | 

Article 29(2) | Annex VI(3) |  |  |  | 

Article 30(1) and (2) first sub‐paragraph | Annex VI(4) and (5) |  |  |  | 

Article 30(2) second sub‐paragraph |  |  |  |  | 

Article 30(3) and (4) | Annex VI(6) and (7) |  |  |  | 

Article 31 | Annex VI(8)(1), (2) first sentence, (3) to (5) |  |  |  | 

Article 32 | Annex VI(9) and (10) |  |  |  | 

Article 33(1) and (2) |  |  |  |  | 

Article 33(3) | Article 6(2) |  |  |  | 

Article 34 |  |  |  |  | 

Article 35(1) to (4) | Article 8(1) to (4) |  |  |  | 

Article 35(5) | Article 8(5) first sentence | Article 1(5) |  |  | 

Article 36 | Article 9(1) to (3) |  |  |  | 

Article 37 |  |  |  |  | 

Article 38 | Article 9(4) |  |  |  | 

Article 39 |  |  |  |  | 

Article 40 | Article 2(9) |  |  |  | 

Article 41(1)(a) to (c) | Article 10 first, second and third indents |  |  |  | 

Article 41(1)(d) and (e) |  |  |  |  | 

Article 41(1)(f) | Article 10 fourth indent |  |  |  | 

Article 41(1)(g) |  |  |  |  | 

Article 42 |  |  |  |  | 

Article 43 |  |  |  |  | 

Article 44 |  |  |  |  | 

Article 45 |  |  |  |  | 

Article 46 | Article 12 |  |  |  | 

Article 47 |  |  |  |  | 

Article 48 |  |  |  |  | 

Article 49 |  |  |  |  | 

Article 50 | Article 15 |  |  |  | 

Annex I(1) to (4) | Annex I(1) to (4) |  |  |  | 

Annex I(4) last paragraph | Article 2(22) |  |  |  | 

Annex I(5) to (7) | Annex I(5) to (7) |  |  |  | 

Annex I(8) |  |  |  |  | 

Annex I(9) to (11) | Annex I(8) to (10) |  |  |  | 

Annex I(12) to (14) | Annex I(12) to (14) |  |  |  | 

Annex I(15) and (16) | Article 2(12) |  |  |  | 

Annex I(17) to (41) | Annex I(15) to (39) |  |  |  | 

Annex I(42) to (56) |  |  |  |  | 

Annex II(1) and (2) | Annex II(1) and (2) |  |  |  | 

Annex II(3) to (10) |  |  |  |  | 

Annex III(1) | Annex III(1) first sub-paragraph | Article 1(7) and Annex 3(a) |  |  | 

Annex III(2) | Annex III(2) |  |  |  | 

Annex III(2.1) first to third paragraphs | Annex III(3.1) | Article 1(7) and Annex 3(b) |  |  | 

Annex III(2.1) fourth paragraph |  |  |  |  | 

Annex III(2.1) fifth paragraph | Annex III(3.2) | Article 1(7) and Annex 3(b) |  |  | 

Annex III(2.2), (3), (3.1) | Annex III(4) to (6) | Article 1(7) and Annex 3(c) |  |  | 

Annex III(3.2) | Annex III(8) |  |  |  | 

Annex III(4) | Annex III(11) |  |  |  | 

Annex IV(1) to (20) | Annex VII(1) to (20) | Article 1(7) and Annex 5 |  |  | 

Annex IV(21) | Article 11a | Article 1(6) |  |  | 

Annex V(1) to (12) fourth paragraph | Annex VIII(1) to (13)(ii) | Article 1(7) and Annex 5 |  |  | 

Annex V(12) fifth paragraph |  |  |  |  | 

Annex V(12) sixth paragraph to (13) | Annex VIII(13)(iii) to (14) | Article 1(7) and Annex 5 |  |  | 

Annex VI | Annex VI(8)(2) after the first sentence |  |  |  | 

Annex VII |  |  |  |  | 

Annex VIII |  |  |  |  | 

Annex IX |  |  |  |  |

Pending: 32006L0044

                                January 16, 2026                            

25.9.2006
EN
Official Journal of the European Union
L 264/20

(1)
Council Directive 78/659/EEC of 18 July 1978 on the quality of fresh waters needing protection or improvement in order to support fish life(3)has been significantly amended on several occasions(4). In the interests of clarity and rationality that Directive should be codified.

(2)
The protection and improvement of the environment necessitates concrete measures to protect waters against pollution, including fresh waters capable of supporting fish life.

(3)
It is necessary from the ecological and economic viewpoint to safeguard fish populations from various harmful consequences resulting from the discharge of pollutant substances into the waters, such as, in particular, the reduction in number of fish belonging to a certain species and even in some cases the disappearance of a number of these species.

(4)
Decision No 1600/2002/EC of the European Parliament and of the Council of 22 July 2002 laying down the Sixth Community Environment Action Programme(5)is designed to achieve levels of surface water quality that do not give rise to significant impacts on, and risks to, the environment.

(5)
Discrepancies between the provisions applicable in the various Member States with regard to the quality of fresh water capable of supporting fish life may give rise to unequal conditions of competition and thus have a direct bearing on the functioning of the internal market.

(6)
In order to attain the objectives of this Directive, Member States should designate the waters to which it will apply and set limit values corresponding to certain parameters. The waters so designated should be brought into conformity with these values within five years of this designation.

(7)
Provision should be made that fresh waters capable of supporting fish life will, under certain conditions, be deemed to conform to the relevant parametric values even if a certain percentage of samples taken does not comply with the limits specified.

(8)
To ensure that the quality of fresh waters capable of supporting fish life is checked, a minimum number of samples should be taken and the measurements relating to specified parameters, as annexed hereto, should be carried out. Such sampling may be reduced or discontinued in the light of the quality of the water.

(9)
Member States are unable to control certain natural circumstances and it is therefore necessary to provide for the possibility of derogating from this Directive in certain cases.

(10)
Technical and scientific progress may call for the rapid adaptation of certain of the requirements laid down in Annex I. In order to facilitate the introduction of the measures required for this purpose, a procedure should be laid down whereby close cooperation would be established between Member States and the Commission in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(6).

(11)
This Directive should be without prejudice to the obligations of the Member States relating to the time limits for transposition into national law of the Directives set out in Part B of Annex III,

(a)
indigenous species offering a natural diversity;

(b)
species the presence of which is judged desirable for water management purposes by the competent authorities of the Member States.

(a)
salmonid waters shall mean waters which support or become capable of supporting fish belonging to species such as salmon (Salmo salar), trout (Salmo trutta), grayling (Thymallus thymallus) and whitefish (Coregonus);

(b)
cyprinid waters shall mean waters which support or become capable of supporting fish belonging to the cyprinids (Cyprinidae), or other species such as pike (Esox lucius), perch (Perca fluviatilis) and eel (Anguilla anguilla).

(a)
95 % of the samples for the parameters: pH, BOD5, nitrites, non-ionised ammonia, total ammonium, total residual chlorine, total zinc and dissolved copper. When the sampling frequency is lower than one sample per month, both the abovementioned values and comments shall be respected for all the samples;

(b)
the percentages listed in Annex I for the parameters: temperature and dissolved oxygen;

(c)
the average concentration set for the parameter: suspended solids.

(a)
in the case of certain parameters marked (0) in Annex I, because of exceptional weather or special geographical conditions;

(b)
when designated waters undergo natural enrichment in certain substances, so that the values set out in Annex I are not respected.Natural enrichment means the process whereby, without human intervention, a given body of water receives from the soil certain substances contained therein.

(a)
the waters designated in accordance with Article 4(1), in summary form;

(b)
the revision of the designation of certain waters in accordance with Article 4(2);

(c)
the provisions laid down in order to establish new parameters in accordance with Article 9;

(d)
the application of the derogations from the values listed in column I of Annex I.

Parameter
Salmonid waters
Cyprinid waters
Methods of analysis or inspection
Minimum sampling and measuring frequency
Observations

G
I
G
I

1.Temperature (°C)
1.
Temperature (°C)
1.
Temperature measured downstream of a point of thermal discharge (at the edge of the mixing zone) must not exceed the unaffected temperature by more than:
Thermometry
Weekly, both upstream and downstream of the point of thermal discharge
Over-sudden variations in temperature shall be avoided

1.
Temperature (°C)

1,5 °C

3 °C

Derogations limited in geographical scope may be decided by Member States in particular conditions if the competent authority can prove that there are no harmful consequences for the balanced development of the fish population

2.
Thermal discharges must not cause the temperature downstream of the point of thermal discharge (at the edge of the mixing zone) to exceed the following:

21,5 (0)

28 (0)

10 (0)
10 (0)

The 10 °C temperature limit applies only to breeding periods of species which need cold water for reproduction and only to waters which may contain such species

Temperature limits may, however, be exceeded for 2 % of the time.

2.Dissolved oxygen(mg/l O2)
2.
Dissolved oxygen(mg/l O2)
50 % ≥ 9100 % ≥ 7
50 % ≥ 9
50 % ≥ 8100 % ≥ 5
50 % ≥ 7
Winkler's method or specific electrodes (electro-chemical method)
Monthly, minimum one sample representative of low oxygen conditions of the day of samplingHowever, where major daily variations are suspected, a minimum of two day samples in one day shall be taken

2.
Dissolved oxygen(mg/l O2)

When the oxygen concentration falls below 6 mg/l, Member States shall implement the provisions of Article 7(3). The competent authority must prove that this situation will have no harmful consequences for the balanced development of the fish population
When the oxygen concentration falls below 4 mg/l, Member States shall implement the provisions of Article 7(3). The competent authority must prove that this situation will have no harmful consequences for the balanced development of the fish population

3.pH
3.
pH

6 to 9 (0)(1)

6 to 9 (0)(1)
Electrometry calibration by means of two solutions with known pH values, preferably on either side of, and close to the pH being measured
Monthly

3.
pH

4.Suspended solids(mg/l)
4.
Suspended solids(mg/l)
≤ 25 (0)

≤ 25 (0)

Filtration through a 0,45 μm filtering membrane, or centrifugation (five minutes minimum, average acceleration of 2 800 to 3 200  g) drying at 105 °C and weighing

The values shown are average concentrations and do not apply to suspended solids with harmful chemical propertiesFloods are liable to cause particularly high concentrations

4.
Suspended solids(mg/l)

5.BOD5(mg/l O2)
5.
BOD5(mg/l O2)
≤ 3

≤ 6

Determination of O2by the Winkler method before and after five days incubation in complete darkness at 20 ± 1 °C (nitrification should not be inhibited)

5.
BOD5(mg/l O2)

6.Total phosphorus(mg/l P)
6.
Total phosphorus(mg/l P)

Molecular absorption spectrophotometry

In the case of lakes of average depth between 18 and 300 m, the following formula could be applied:

6.
Total phosphorus(mg/l P)

where:

L
=
loading expressed as mg P per square metre lake surface in one year

=
mean depth of lake in metres

Tw
=
theoretical renewal time of lake water in years

In other cases limit values of 0,2 mg/l for salmonid and of 0,4 mg/l for cyprinid waters, expressed as PO4, may be regarded as indicative in order to reduce eutrophication

7.Nitrites(mg/l NO2)
7.
Nitrites(mg/l NO2)
≤ 0,01

≤ 0,03

Molecular absorption spectrophotometry

7.
Nitrites(mg/l NO2)

8.Phenolic compounds(mg/l C6H5OH)
8.
Phenolic compounds(mg/l C6H5OH)

(2)

(2)
By taste

An examination by taste shall be made only where the presence of phenolic compounds is presumed

8.
Phenolic compounds(mg/l C6H5OH)

9.Petroleum hydrocarbons
9.
Petroleum hydrocarbons

(3)

(3)
VisualBy taste
Monthly
A visual examination shall be made regularly once a month, with an examination by taste only where the presence of hydrocarbons is presumed

9.
Petroleum hydrocarbons

10.Non-ionised ammonia(mg/l NH3)
10.
Non-ionised ammonia(mg/l NH3)
≤ 0,005
≤ 0,025
≤ 0,005
≤ 0,025
Molecular absorption spectrophotometry using indophenol blue or Nessler's method associated with pH and temperature determination
Monthly
Values for non-ionised ammonia may be exceeded in the form of minor peaks in the daytime

10.
Non-ionised ammonia(mg/l NH3)

In order to diminish the risk of toxicity due to non-ionised ammonia, of oxygen consumption due to nitrification and of eutrophication, the concentrations of total ammonium should not exceed the following:

11.Total ammonium(mg/l NH4)
11.
Total ammonium(mg/l NH4)
≤ 0.04
≤ 1(4)
≤ 0.2
≤ 1(4)

11.
Total ammonium(mg/l NH4)

12.Total residual chlorine(mg/l HOCl)
12.
Total residual chlorine(mg/l HOCl)

≤ 0,005

≤ 0,005
DPD-method (dietyl-p-phenylenediamene)
Monthly
The I-values correspond to pH = 6Higher concentrations of total chlorine can be accepted if the pH is higher

12.
Total residual chlorine(mg/l HOCl)

13.Total zinc(mg/l Zn)
13.
Total zinc(mg/l Zn)

≤ 0,3

≤ 1,0
Atomic absorption spectrometry
Monthly
The I-values correspond to a water hardness of 100 mg/l CaCO3For hardness levels between 10 and 500 mg/l corresponding limit values can be found in Annex II

13.
Total zinc(mg/l Zn)

14.Dissolved copper(mg/l Cu)
14.
Dissolved copper(mg/l Cu)
≤ 0,04

≤ 0,04

Atomic absorption spectrometry

The G-values correspond to a water hardness of 100 mg/l CaCO3For hardness levels between 10 and 300 mg/l corresponding limit values can be found in Annex II

14.
Dissolved copper(mg/l Cu)

1.
Temperature (°C)

2.
Dissolved oxygen(mg/l O2)

3.
pH

4.
Suspended solids(mg/l)

5.
BOD5(mg/l O2)

6.
Total phosphorus(mg/l P)

7.
Nitrites(mg/l NO2)

8.
Phenolic compounds(mg/l C6H5OH)

9.
Petroleum hydrocarbons

10.
Non-ionised ammonia(mg/l NH3)

11.
Total ammonium(mg/l NH4)

12.
Total residual chlorine(mg/l HOCl)

13.
Total zinc(mg/l Zn)

14.
Dissolved copper(mg/l Cu)

G
=
guide.

I
=
mandatory.

(0)
=
derogations are possible in accordance with Article 11.

—
form a visible film on the surface of the water or form coatings on the beds of water-courses and lakes,

—
impart a detectable ‘hydrocarbon’ taste to fish,

—
produce harmful effects in fish.

Water hardness (mg/l CaCO3)

10
50
100
500

Salmonid waters (mg/l Zn)
0,03
0,2
0,3
0,5

Cyprinid waters (mg/l Zn)
0,3
0,7
1,0
2,0

Water hardness (mg/l CaCO3)

10
50
100
300

mg/l Cu
0,005(1)
0,022
0,04
0,112

Council Directive 78/659/EEC (OJ L 222, 14.8.1978, p. 1)(1)

Council Directive 91/692/EEC (OJ L 377, 31.12.1991, p. 48)
Annex I, point (c) only

Council Regulation (EC) No 807/2003 (OJ L 122, 16.5.2003, p. 36)
Annex III, point 26 only

Directive
Time-limit for transposition

78/659/EEC
20 July 1980

91/692/EEC
1 January 1993

—
the 1979 Act of Accession,

—
the 1985 Act of Accession,

—
the 1994 Act of Accession.

Directive 78/659/EEC
This Directive

Article 1(1) and (2)
Article 1(1) and (2)

Article 1(3), introductory phrase
Article 1(3), introductory phrase

Article 1(3), first indent
Article 1(3)(a)

Article 1(3), second indent
Article 1(3)(b)

Article 1(4), introductory phrase
Article 1(4), introductory phrase

Article 1(4), first indent
Article 1(4)(a)

Article 1(4), second indent
Article 1(4)(b)

Article 2(1)
Article 2, first subparagraph

Article 2(2)
Article 2, second subparagraph

Article 3
Article 3

Article 4(1) and (2)
Article 4(1)

Article 4(3)
Article 4(2)

Article 5
Article 5

Article 6(1), introductory phrase
Article 6(1), introductory phrase

Article 6(1), first indent
Article 6(1)(a)

Article 6(1), second indent
Article 6(1)(b)

Article 6(1), third indent
Article 6(1)(c)

Article 6(2)
Article 6(2)

Article 7
Article 7

Article 8
Article 8

Article 9
Article 9

Article 10
Article 10

Article 11
Article 11

Article 12
Article 12

Article 13(1) and Article 14
Article 13

Article 15, first subparagraph, introductory phrase
Article 14, first subparagraph, introductory phrase

Article 15, first subparagraph, first indent
Article 14, first subparagraph, point (a)

Article 15, first subparagraph, second indent
Article 14, first subparagraph, point (b)

Article 15, first subparagraph, third indent
Article 14, first subparagraph, point (c)

Article 15, first subparagraph, fourth indent
Article 14, first subparagraph, point (d)

Article 15, second subparagraph
Article 14, second subparagraph

Article 16
Article 15

Article 17(1)
—

Article 17(2)
Article 16

—
Article 17

—
Article 18

Article 18
Article 19

Annex I
Annex I

Annex II
Annex II

—
Annex III

—
Annex IV

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 175(1) thereof,

Having regard to the proposal from the Commission,

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

Having consulted the Committee of the Regions,

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

(1) Council Directive 78/659/EEC of 18 July 1978 on the quality of fresh waters needing protection or improvement in order to support fish life(3)has been significantly amended on several occasions(4). In the interests of clarity and rationality that Directive should be codified.

(2) The protection and improvement of the environment necessitates concrete measures to protect waters against pollution, including fresh waters capable of supporting fish life.

(3) It is necessary from the ecological and economic viewpoint to safeguard fish populations from various harmful consequences resulting from the discharge of pollutant substances into the waters, such as, in particular, the reduction in number of fish belonging to a certain species and even in some cases the disappearance of a number of these species.

(4) Decision No 1600/2002/EC of the European Parliament and of the Council of 22 July 2002 laying down the Sixth Community Environment Action Programme(5)is designed to achieve levels of surface water quality that do not give rise to significant impacts on, and risks to, the environment.

(5) Discrepancies between the provisions applicable in the various Member States with regard to the quality of fresh water capable of supporting fish life may give rise to unequal conditions of competition and thus have a direct bearing on the functioning of the internal market.

(6) In order to attain the objectives of this Directive, Member States should designate the waters to which it will apply and set limit values corresponding to certain parameters. The waters so designated should be brought into conformity with these values within five years of this designation.

(7) Provision should be made that fresh waters capable of supporting fish life will, under certain conditions, be deemed to conform to the relevant parametric values even if a certain percentage of samples taken does not comply with the limits specified.

(8) To ensure that the quality of fresh waters capable of supporting fish life is checked, a minimum number of samples should be taken and the measurements relating to specified parameters, as annexed hereto, should be carried out. Such sampling may be reduced or discontinued in the light of the quality of the water.

(9) Member States are unable to control certain natural circumstances and it is therefore necessary to provide for the possibility of derogating from this Directive in certain cases.

(10) Technical and scientific progress may call for the rapid adaptation of certain of the requirements laid down in Annex I. In order to facilitate the introduction of the measures required for this purpose, a procedure should be laid down whereby close cooperation would be established between Member States and the Commission in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(6).

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

HAVE ADOPTED THIS DIRECTIVE:
Article 1

1.   This Directive concerns the quality of fresh waters and shall apply to those waters designated by the Member States as needing protection or improvement in order to support fish life.

2.   This Directive shall not apply to waters in natural or artificial fish ponds used for intensive fish-farming.

3.   The aim of this Directive is to protect or improve the quality of those running or standing fresh waters which support, or which, if pollution were reduced or eliminated, would become capable of supporting, fish belonging to:

(a)

indigenous species offering a natural diversity;

(b)

species the presence of which is judged desirable for water management purposes by the competent authorities of the Member States.

4.   For the purposes of this Directive:

(a)

salmonid waters shall mean waters which support or become capable of supporting fish belonging to species such as salmon (Salmo salar), trout (Salmo trutta), grayling (Thymallus thymallus) and whitefish (Coregonus);

(b)

cyprinid waters shall mean waters which support or become capable of supporting fish belonging to the cyprinids (Cyprinidae), or other species such as pike (Esox lucius), perch (Perca fluviatilis) and eel (Anguilla anguilla).
Article 2

The physical and chemical parameters applicable to the waters designated by the Member States are listed in Annex I.

For the purposes of applying these parameters, waters are divided into salmonid waters and cyprinid waters.
Article 3

1.   Member States shall, for the designated waters, set values for the parameters listed in Annex I, in so far as values are listed in column G or in column I. They shall comply with the comments contained in each of these two columns.

2.   Member States shall not set values less stringent than those listed in column I of Annex I and shall endeavour to respect the values in column G taking into account the principle set out in Article 8.
Article 4

1.   Member States shall designate salmonid waters and cyprinid waters and may subsequently make additional designations.

2.   Member States may revise the designation of certain waters owing to factors unforeseen at the time of designation, taking into account the principle set out in Article 8.
Article 5

Member States shall establish programmes in order to reduce pollution and to ensure that designated waters conform, within five years following designation in accordance with Article 4, to both the values set by the Member States in accordance with Article 3 and the comments contained in columns G and I of Annex I.
Article 6

1.   For the purposes of implementing Article 5, the designated waters shall be deemed to conform to this Directive if samples of such waters, taken at the minimum frequency specified in Annex I at the same sampling point and over a period of 12 months, show that they conform to both the values set by the Member States in accordance with Article 3 and the comments contained in columns G and I of Annex I, in the case of:

(a)

95 % of the samples for the parameters: pH, BOD5, nitrites, non-ionised ammonia, total ammonium, total residual chlorine, total zinc and dissolved copper. When the sampling frequency is lower than one sample per month, both the abovementioned values and comments shall be respected for all the samples;

(b)

the percentages listed in Annex I for the parameters: temperature and dissolved oxygen;

(c)

the average concentration set for the parameter: suspended solids.

2.   Instances in which the values set by Member States in accordance with Article 3 or the comments contained in columns G and I of Annex I are not respected shall not be taken into consideration in the calculation of the percentages provided for in paragraph 1 when they are the result of floods or other natural disasters.
Article 7

1.   The competent authorities in the Member States shall carry out sampling operations, the minimum frequency of which is laid down in Annex I.

2.   Where the competent authority records that the quality of designated waters is appreciably higher than that which would result from the application of the values set in accordance with Article 3 and the comments contained in columns G and I of Annex I, the frequency of the sampling may be reduced. Where there is no pollution or no risk of deterioration in the quality of the waters, the competent authority concerned may decide that no sampling is necessary.

3.   If sampling shows that a value set by a Member State in accordance with Article 3 or a comment contained in columns G or I of Annex I is not respected, the Member State shall establish whether this is the result of chance, a natural phenomenon or pollution and shall adopt appropriate measures.

4.   The exact sampling point, the distance from this point to the nearest point where pollutants are discharged and the depth at which the samples are to be taken shall be fixed by the competent authority of each Member State on the basis of local environmental conditions in particular.

5.   Certain reference methods of analysis for calculating the value of the parameters concerned are set out in Annex I. Laboratories which employ other methods shall ensure that the results obtained are equivalent or comparable to those specified in Annex I.
Article 8

Implementation of the measures taken pursuant to this Directive may on no account lead, either directly or indirectly, to increased pollution of fresh water.
Article 9

Member States may at any time set more stringent values for designated waters than those laid down in this Directive. They may also lay down provisions relating to parameters other than those provided for in this Directive.
Article 10

When fresh waters cross or form national frontiers between Member States and which one of the States concerned is considering designating, the States concerned shall consult each other in order to determine the stretches of such waters to which this Directive might apply and the consequences to be drawn from the common quality objectives; these consequences shall be determined, after formal consultations, by each State concerned. The Commission may participate in these deliberations.
Article 11

Member States may derogate from this Directive:

(a)

in the case of certain parameters marked (0) in Annex I, because of exceptional weather or special geographical conditions;

(b)

when designated waters undergo natural enrichment in certain substances, so that the values set out in Annex I are not respected.

Natural enrichment means the process whereby, without human intervention, a given body of water receives from the soil certain substances contained therein.
Article 12

Such amendments as are necessary for adapting to technical and scientific progress the G values for the parameters and the methods of analysis contained in Annex I shall be adopted in accordance with the procedure referred to in Article 13(2).
Article 13

1.   The Commission shall be assisted by a committee on adaptation to technical and scientific progress, hereinafter referred to as ‘the Committee’.

2.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3.   The Committee shall adopt its rules of procedure.
Article 14

For the purposes of applying this Directive, Member States shall provide the Commission with information concerning:

(a)

the waters designated in accordance with Article 4(1), in summary form;

(b)

the revision of the designation of certain waters in accordance with Article 4(2);

(c)

the provisions laid down in order to establish new parameters in accordance with Article 9;

(d)

the application of the derogations from the values listed in column I of Annex I.

More generally, Member States shall provide the Commission, on a reasoned request from the latter, with any information necessary for the application of this Directive.
Article 15

At intervals of three years, and for the first time for the period 1993 to 1995 inclusive, Member States shall send information to the Commission on the implementation of this Directive, in the form of a sectoral report which shall also cover other pertinent Community Directives. The report shall be drawn up on the basis of a questionnaire or outline drafted by the Commission in accordance with the procedure referred to in Article 6 of Council Directive 91/692/EEC of 23 December 1991 standardising and rationalising reports on the implementation of certain Directives relating to the environment(7). The questionnaire or outline shall be sent to the Member States six months before the start of the period covered by the report. The report shall be sent to the Commission within nine months of the end of the three-year period covered by it.

The Commission shall publish a Community report on the implementation of this Directive within nine months of receiving the reports from the Member States.
Article 16

Member States shall communicate to the Commission the texts of the main provisions of national law which they adopt in the field governed by this Directive.
Article 17

Directive 78/659/EEC is hereby repealed, without prejudice to the obligations of the Member States relating to the time limits for transposition into national law of the Directives set out in Part B of Annex III.

References to the repealed Directive shall be construed as references to this Directive and should be read in accordance with the correlation table in Annex IV.
Article 18

This Directive shall enter into force on the 20th day following that of its publication in theOfficial Journal of the European Union.
Article 19

This Directive is addressed to the Member States.
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 175(1) thereof,

Having regard to the proposal from the Commission,

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

Having consulted the Committee of the Regions,

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

(1) Council Directive 78/659/EEC of 18 July 1978 on the quality of fresh waters needing protection or improvement in order to support fish life(3)has been significantly amended on several occasions(4). In the interests of clarity and rationality that Directive should be codified.

(2) The protection and improvement of the environment necessitates concrete measures to protect waters against pollution, including fresh waters capable of supporting fish life.

(3) It is necessary from the ecological and economic viewpoint to safeguard fish populations from various harmful consequences resulting from the discharge of pollutant substances into the waters, such as, in particular, the reduction in number of fish belonging to a certain species and even in some cases the disappearance of a number of these species.

(4) Decision No 1600/2002/EC of the European Parliament and of the Council of 22 July 2002 laying down the Sixth Community Environment Action Programme(5)is designed to achieve levels of surface water quality that do not give rise to significant impacts on, and risks to, the environment.

(5) Discrepancies between the provisions applicable in the various Member States with regard to the quality of fresh water capable of supporting fish life may give rise to unequal conditions of competition and thus have a direct bearing on the functioning of the internal market.

(6) In order to attain the objectives of this Directive, Member States should designate the waters to which it will apply and set limit values corresponding to certain parameters. The waters so designated should be brought into conformity with these values within five years of this designation.

(7) Provision should be made that fresh waters capable of supporting fish life will, under certain conditions, be deemed to conform to the relevant parametric values even if a certain percentage of samples taken does not comply with the limits specified.

(8) To ensure that the quality of fresh waters capable of supporting fish life is checked, a minimum number of samples should be taken and the measurements relating to specified parameters, as annexed hereto, should be carried out. Such sampling may be reduced or discontinued in the light of the quality of the water.

(9) Member States are unable to control certain natural circumstances and it is therefore necessary to provide for the possibility of derogating from this Directive in certain cases.

(10) Technical and scientific progress may call for the rapid adaptation of certain of the requirements laid down in Annex I. In order to facilitate the introduction of the measures required for this purpose, a procedure should be laid down whereby close cooperation would be established between Member States and the Commission in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(6).

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

HAVE ADOPTED THIS DIRECTIVE:
1.   This Directive concerns the quality of fresh waters and shall apply to those waters designated by the Member States as needing protection or improvement in order to support fish life.

2.   This Directive shall not apply to waters in natural or artificial fish ponds used for intensive fish-farming.

3.   The aim of this Directive is to protect or improve the quality of those running or standing fresh waters which support, or which, if pollution were reduced or eliminated, would become capable of supporting, fish belonging to:

(a)

indigenous species offering a natural diversity;

(b)

species the presence of which is judged desirable for water management purposes by the competent authorities of the Member States.

4.   For the purposes of this Directive:

(a)

salmonid waters shall mean waters which support or become capable of supporting fish belonging to species such as salmon (Salmo salar), trout (Salmo trutta), grayling (Thymallus thymallus) and whitefish (Coregonus);

(b)

cyprinid waters shall mean waters which support or become capable of supporting fish belonging to the cyprinids (Cyprinidae), or other species such as pike (Esox lucius), perch (Perca fluviatilis) and eel (Anguilla anguilla).
The physical and chemical parameters applicable to the waters designated by the Member States are listed in Annex I.

For the purposes of applying these parameters, waters are divided into salmonid waters and cyprinid waters.
1.   Member States shall, for the designated waters, set values for the parameters listed in Annex I, in so far as values are listed in column G or in column I. They shall comply with the comments contained in each of these two columns.

2.   Member States shall not set values less stringent than those listed in column I of Annex I and shall endeavour to respect the values in column G taking into account the principle set out in Article 8.
1.   Member States shall designate salmonid waters and cyprinid waters and may subsequently make additional designations.

2.   Member States may revise the designation of certain waters owing to factors unforeseen at the time of designation, taking into account the principle set out in Article 8.
Member States shall establish programmes in order to reduce pollution and to ensure that designated waters conform, within five years following designation in accordance with Article 4, to both the values set by the Member States in accordance with Article 3 and the comments contained in columns G and I of Annex I.
1.   For the purposes of implementing Article 5, the designated waters shall be deemed to conform to this Directive if samples of such waters, taken at the minimum frequency specified in Annex I at the same sampling point and over a period of 12 months, show that they conform to both the values set by the Member States in accordance with Article 3 and the comments contained in columns G and I of Annex I, in the case of:

(a)

95 % of the samples for the parameters: pH, BOD5, nitrites, non-ionised ammonia, total ammonium, total residual chlorine, total zinc and dissolved copper. When the sampling frequency is lower than one sample per month, both the abovementioned values and comments shall be respected for all the samples;

(b)

the percentages listed in Annex I for the parameters: temperature and dissolved oxygen;

(c)

the average concentration set for the parameter: suspended solids.

2.   Instances in which the values set by Member States in accordance with Article 3 or the comments contained in columns G and I of Annex I are not respected shall not be taken into consideration in the calculation of the percentages provided for in paragraph 1 when they are the result of floods or other natural disasters.
1.   The competent authorities in the Member States shall carry out sampling operations, the minimum frequency of which is laid down in Annex I.

2.   Where the competent authority records that the quality of designated waters is appreciably higher than that which would result from the application of the values set in accordance with Article 3 and the comments contained in columns G and I of Annex I, the frequency of the sampling may be reduced. Where there is no pollution or no risk of deterioration in the quality of the waters, the competent authority concerned may decide that no sampling is necessary.

3.   If sampling shows that a value set by a Member State in accordance with Article 3 or a comment contained in columns G or I of Annex I is not respected, the Member State shall establish whether this is the result of chance, a natural phenomenon or pollution and shall adopt appropriate measures.

4.   The exact sampling point, the distance from this point to the nearest point where pollutants are discharged and the depth at which the samples are to be taken shall be fixed by the competent authority of each Member State on the basis of local environmental conditions in particular.

5.   Certain reference methods of analysis for calculating the value of the parameters concerned are set out in Annex I. Laboratories which employ other methods shall ensure that the results obtained are equivalent or comparable to those specified in Annex I.
Implementation of the measures taken pursuant to this Directive may on no account lead, either directly or indirectly, to increased pollution of fresh water.
Member States may at any time set more stringent values for designated waters than those laid down in this Directive. They may also lay down provisions relating to parameters other than those provided for in this Directive.
When fresh waters cross or form national frontiers between Member States and which one of the States concerned is considering designating, the States concerned shall consult each other in order to determine the stretches of such waters to which this Directive might apply and the consequences to be drawn from the common quality objectives; these consequences shall be determined, after formal consultations, by each State concerned. The Commission may participate in these deliberations.
Member States may derogate from this Directive:

(a)

in the case of certain parameters marked (0) in Annex I, because of exceptional weather or special geographical conditions;

(b)

when designated waters undergo natural enrichment in certain substances, so that the values set out in Annex I are not respected.

Natural enrichment means the process whereby, without human intervention, a given body of water receives from the soil certain substances contained therein.
Such amendments as are necessary for adapting to technical and scientific progress the G values for the parameters and the methods of analysis contained in Annex I shall be adopted in accordance with the procedure referred to in Article 13(2).
1.   The Commission shall be assisted by a committee on adaptation to technical and scientific progress, hereinafter referred to as ‘the Committee’.

2.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3.   The Committee shall adopt its rules of procedure.
For the purposes of applying this Directive, Member States shall provide the Commission with information concerning:

(a)

the waters designated in accordance with Article 4(1), in summary form;

(b)

the revision of the designation of certain waters in accordance with Article 4(2);

(c)

the provisions laid down in order to establish new parameters in accordance with Article 9;

(d)

the application of the derogations from the values listed in column I of Annex I.

More generally, Member States shall provide the Commission, on a reasoned request from the latter, with any information necessary for the application of this Directive.
At intervals of three years, and for the first time for the period 1993 to 1995 inclusive, Member States shall send information to the Commission on the implementation of this Directive, in the form of a sectoral report which shall also cover other pertinent Community Directives. The report shall be drawn up on the basis of a questionnaire or outline drafted by the Commission in accordance with the procedure referred to in Article 6 of Council Directive 91/692/EEC of 23 December 1991 standardising and rationalising reports on the implementation of certain Directives relating to the environment(7). The questionnaire or outline shall be sent to the Member States six months before the start of the period covered by the report. The report shall be sent to the Commission within nine months of the end of the three-year period covered by it.

The Commission shall publish a Community report on the implementation of this Directive within nine months of receiving the reports from the Member States.
Member States shall communicate to the Commission the texts of the main provisions of national law which they adopt in the field governed by this Directive.
Directive 78/659/EEC is hereby repealed, without prejudice to the obligations of the Member States relating to the time limits for transposition into national law of the Directives set out in Part B of Annex III.

References to the repealed Directive shall be construed as references to this Directive and should be read in accordance with the correlation table in Annex IV.
This Directive shall enter into force on the 20th day following that of its publication in theOfficial Journal of the European Union.
This Directive is addressed to the Member States.
ANNEX ILIST OF PARAMETERS

Parameter | Salmonid waters | Cyprinid waters | Methods of analysis or inspection | Minimum sampling and measuring frequency | Observations

G | I | G | I

1.Temperature (°C) | 1. | Temperature (°C) | 1. | Temperature measured downstream of a point of thermal discharge (at the edge of the mixing zone) must not exceed the unaffected temperature by more than: | Thermometry | Weekly, both upstream and downstream of the point of thermal discharge | Over-sudden variations in temperature shall be avoided

1. | Temperature (°C)

 | 1,5 °C |  | 3 °C

 | Derogations limited in geographical scope may be decided by Member States in particular conditions if the competent authority can prove that there are no harmful consequences for the balanced development of the fish population

 | 2. | Thermal discharges must not cause the temperature downstream of the point of thermal discharge (at the edge of the mixing zone) to exceed the following: |  |  | 

21,5 (0) |  | 28 (0)

10 (0) | 10 (0)

The 10 °C temperature limit applies only to breeding periods of species which need cold water for reproduction and only to waters which may contain such species

Temperature limits may, however, be exceeded for 2 % of the time.

2.Dissolved oxygen(mg/l O2) | 2. | Dissolved oxygen(mg/l O2) | 50 % ≥ 9100 % ≥ 7 | 50 % ≥ 9 | 50 % ≥ 8100 % ≥ 5 | 50 % ≥ 7 | Winkler’s method or specific electrodes (electro-chemical method) | Monthly, minimum one sample representative of low oxygen conditions of the day of samplingHowever, where major daily variations are suspected, a minimum of two day samples in one day shall be taken | 

2. | Dissolved oxygen(mg/l O2)

When the oxygen concentration falls below 6 mg/l, Member States shall implement the provisions of Article 7(3). The competent authority must prove that this situation will have no harmful consequences for the balanced development of the fish population | When the oxygen concentration falls below 4 mg/l, Member States shall implement the provisions of Article 7(3). The competent authority must prove that this situation will have no harmful consequences for the balanced development of the fish population

3.pH | 3. | pH |  | 6 to 9 (0)(1) |  | 6 to 9 (0)(1) | Electrometry calibration by means of two solutions with known pH values, preferably on either side of, and close to the pH being measured | Monthly | 

3. | pH

4.Suspended solids(mg/l) | 4. | Suspended solids(mg/l) | ≤ 25 (0) |  | ≤ 25 (0) |  | Filtration through a 0,45 μm filtering membrane, or centrifugation (five minutes minimum, average acceleration of 2 800  to 3 200  g) drying at 105 °C and weighing |  | The values shown are average concentrations and do not apply to suspended solids with harmful chemical propertiesFloods are liable to cause particularly high concentrations

4. | Suspended solids(mg/l)

5.BOD5(mg/l O2) | 5. | BOD5(mg/l O2) | ≤ 3 |  | ≤ 6 |  | Determination of O2by the Winkler method before and after five days incubation in complete darkness at 20 ± 1 °C (nitrification should not be inhibited) |  | 

5. | BOD5(mg/l O2)

6.Total phosphorus(mg/l P) | 6. | Total phosphorus(mg/l P) |  |  |  |  | Molecular absorption spectrophotometry |  | In the case of lakes of average depth between 18 and 300 m, the following formula could be applied:

6. | Total phosphorus(mg/l P)
where:

L | = | loading expressed as mg P per square metre lake surface in one year

 | = | mean depth of lake in metres

Tw | = | theoretical renewal time of lake water in years

In other cases limit values of 0,2 mg/l for salmonid and of 0,4 mg/l for cyprinid waters, expressed as PO4, may be regarded as indicative in order to reduce eutrophication

7.Nitrites(mg/l NO2) | 7. | Nitrites(mg/l NO2) | ≤ 0,01 |  | ≤ 0,03 |  | Molecular absorption spectrophotometry |  | 

7. | Nitrites(mg/l NO2)

8.Phenolic compounds(mg/l C6H5OH) | 8. | Phenolic compounds(mg/l C6H5OH) |  | (2) |  | (2) | By taste |  | An examination by taste shall be made only where the presence of phenolic compounds is presumed

8. | Phenolic compounds(mg/l C6H5OH)

9.Petroleum hydrocarbons | 9. | Petroleum hydrocarbons |  | (3) |  | (3) | VisualBy taste | Monthly | A visual examination shall be made regularly once a month, with an examination by taste only where the presence of hydrocarbons is presumed

9. | Petroleum hydrocarbons

10.Non-ionised ammonia(mg/l NH3) | 10. | Non-ionised ammonia(mg/l NH3) | ≤ 0,005 | ≤ 0,025 | ≤ 0,005 | ≤ 0,025 | Molecular absorption spectrophotometry using indophenol blue or Nessler’s method associated with pH and temperature determination | Monthly | Values for non-ionised ammonia may be exceeded in the form of minor peaks in the daytime

10. | Non-ionised ammonia(mg/l NH3)

In order to diminish the risk of toxicity due to non-ionised ammonia, of oxygen consumption due to nitrification and of eutrophication, the concentrations of total ammonium should not exceed the following:

11.Total ammonium(mg/l NH4) | 11. | Total ammonium(mg/l NH4) | ≤ 0.04 | ≤ 1(4) | ≤ 0.2 | ≤ 1(4)

11. | Total ammonium(mg/l NH4)

12.Total residual chlorine(mg/l HOCl) | 12. | Total residual chlorine(mg/l HOCl) |  | ≤ 0,005 |  | ≤ 0,005 | DPD-method (dietyl-p-phenylenediamene) | Monthly | The I-values correspond to pH = 6Higher concentrations of total chlorine can be accepted if the pH is higher

12. | Total residual chlorine(mg/l HOCl)

13.Total zinc(mg/l Zn) | 13. | Total zinc(mg/l Zn) |  | ≤ 0,3 |  | ≤ 1,0 | Atomic absorption spectrometry | Monthly | The I-values correspond to a water hardness of 100 mg/l CaCO3For hardness levels between 10 and 500 mg/l corresponding limit values can be found in Annex II

13. | Total zinc(mg/l Zn)

14.Dissolved copper(mg/l Cu) | 14. | Dissolved copper(mg/l Cu) | ≤ 0,04 |  | ≤ 0,04 |  | Atomic absorption spectrometry |  | The G-values correspond to a water hardness of 100 mg/l CaCO3For hardness levels between 10 and 300 mg/l corresponding limit values can be found in Annex II

14. | Dissolved copper(mg/l Cu)General observation:It should be noted that the parametric values listed in this Annex assume that the other parameters, whether mentioned in this Annex or not, are favourable. This implies, in particular, that the concentrations of other harmful substances are very low.

Where two or more harmful substances are present in mixture, joint effects (additive, synergic or antagonistic effects) may be significant.

Abbreviations:

G | = | guide.

I | = | mandatory.

(0) | = | derogations are possible in accordance with Article 11.

(1)  Artificial pH variations with respect to the unaffected values shall not exceed ±0,5 of a pH unit within the limits falling between 6,0 and 9,0 provided that these variations do not increase the harmfulness of other substances present in the water.

(2)  Phenolic compounds must not be present in such concentrations that they adversely affect fish flavour.

(3)  Petroleum products must not be present in water in such quantities that they:

— | form a visible film on the surface of the water or form coatings on the beds of water-courses and lakes,

— | impart a detectable ‘hydrocarbon’ taste to fish,

— | produce harmful effects in fish.

(4)  In particular geographical or climatic conditions and particularly in cases of low water temperature and of reduced nitrification or where the competent authority can prove that there are no harmful consequences for the balanced development of the fish population, Member States may fix values higher than 1 mg/l.
Total zincANNEX IIPARTICULARS REGARDING TOTAL ZINC AND DISSOLVED COPPER(see Annex I, No 13, ‘Observations’ column)Total zinc concentrations (mg/l Zn) for different water hardness values between 10 and 500 mg/l CaCO3:
 | Water hardness (mg/l CaCO3)

10 | 50 | 100 | 500

Salmonid waters (mg/l Zn) | 0,03 | 0,2 | 0,3 | 0,5

Cyprinid waters (mg/l Zn) | 0,3 | 0,7 | 1,0 | 2,0Dissolved copper(See Annex I, No 14, ‘Observations’ column)Dissolved copper concentrations (mg/l Cu) for different water hardness values between 10 and 300 mg/l CaCO3:
 | Water hardness (mg/l CaCO3)

10 | 50 | 100 | 300

mg/l Cu | 0,005(1) | 0,022 | 0,04 | 0,112

(1)  The presence of fish in waters containing higher concentrations of copper may indicate a predominance of dissolved organo-cupric complexes.
Part AANNEX IIIRepealed Directive with its successive amendments(referred to in Article 17)

Council Directive 78/659/EEC (OJ L 222, 14.8.1978, p. 1)(1) | 

Council Directive 91/692/EEC (OJ L 377, 31.12.1991, p. 48) | Annex I, point (c) only

Council Regulation (EC) No 807/2003 (OJ L 122, 16.5.2003, p. 36) | Annex III, point 26 onlyPart BList of time-limits for transposition into national law(referred to in Article 17)

Directive | Time-limit for transposition

78/659/EEC | 20 July 1980

91/692/EEC | 1 January 1993

(1)  Directive 78/659/EEC has also been amended by the following unrepealed acts:

— | the 1979 Act of Accession,

— | the 1985 Act of Accession,

— | the 1994 Act of Accession.
ANNEX IVCORRELATION TABLE

Directive 78/659/EEC | This Directive

Article 1(1) and (2) | Article 1(1) and (2)

Article 1(3), introductory phrase | Article 1(3), introductory phrase

Article 1(3), first indent | Article 1(3)(a)

Article 1(3), second indent | Article 1(3)(b)

Article 1(4), introductory phrase | Article 1(4), introductory phrase

Article 1(4), first indent | Article 1(4)(a)

Article 1(4), second indent | Article 1(4)(b)

Article 2(1) | Article 2, first subparagraph

Article 2(2) | Article 2, second subparagraph

Article 3 | Article 3

Article 4(1) and (2) | Article 4(1)

Article 4(3) | Article 4(2)

Article 5 | Article 5

Article 6(1), introductory phrase | Article 6(1), introductory phrase

Article 6(1), first indent | Article 6(1)(a)

Article 6(1), second indent | Article 6(1)(b)

Article 6(1), third indent | Article 6(1)(c)

Article 6(2) | Article 6(2)

Article 7 | Article 7

Article 8 | Article 8

Article 9 | Article 9

Article 10 | Article 10

Article 11 | Article 11

Article 12 | Article 12

Article 13(1) and Article 14 | Article 13

Article 15, first subparagraph, introductory phrase | Article 14, first subparagraph, introductory phrase

Article 15, first subparagraph, first indent | Article 14, first subparagraph, point (a)

Article 15, first subparagraph, second indent | Article 14, first subparagraph, point (b)

Article 15, first subparagraph, third indent | Article 14, first subparagraph, point (c)

Article 15, first subparagraph, fourth indent | Article 14, first subparagraph, point (d)

Article 15, second subparagraph | Article 14, second subparagraph

Article 16 | Article 15

Article 17(1) | —

Article 17(2) | Article 16

— | Article 17

— | Article 18

Article 18 | Article 19

Annex I | Annex I

Annex II | Annex II

— | Annex III

— | Annex IV

Pending: 32006L0032

                                January 16, 2026                            

27.4.2006
EN
Official Journal of the European Union
L 114/64

(1)
In the Community there is a need for improved energy end-use efficiency, managed demand for energy and promotion of the production of renewable energy, as there is relatively limited scope for any other influence on energy supply and distribution conditions in the short to medium term, either through the building of new capacity or through the improvement of transmission and distribution. This Directive thus contributes to improved security of supply.

(2)
Improved energy end-use efficiency will also contribute to the reduction of primary energy consumption, to the mitigation of CO2 and other greenhouse gas emissions and thereby to the prevention of dangerous climate change. These emissions continue to increase, making it more and more difficult to meet the Kyoto commitments. Human activities attributed to the energy sector cause as much as 78 % of the Community greenhouse gas emissions. The Sixth Community Environment Action Programme, laid down by Decision No1600/2002/EC of the European Parliament and of the Council(4), envisages that further reductions are required to achieve the United Nations Framework Convention on Climate Change long-term objective of stabilising greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system. Therefore, concrete policies and measures are necessary.

(3)
Improved energy end-use efficiency will make it possible to exploit potential cost-effective energy savings in an economically efficient way. Energy efficiency improvement measures could realise these energy savings and thus help the Community reduce its dependence on energy imports. Furthermore, a move towards more energy-efficient technologies can boost the Community's innovativeness and competitiveness as underlined in the Lisbon strategy.

(4)
The Communication from the Commission on the implementation of the first phase of the European Climate Change Programme listed a directive on energy demand management as one of the priority climate change measures to be taken at Community level.

(5)
This Directive is consistent with Directive 2003/54/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in electricity(5)and with Directive 2003/55/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in natural gas(6), which provide for the possibility of using energy efficiency and demand-side management as alternatives to new supply and for environmental protection, allowing Member State authorities,inter alia, to tender for new capacity or to opt for energy efficiency and demand-side measures, including systems for white certificates.

(6)
This Directive is without prejudice to Article 3 of Directive 2003/54/EC, which requires that Member States ensure that all household customers and, where Member States deem it appropriate, small enterprises, enjoy universal service, that is the right to be supplied with electricity of a specified quality within their territory at reasonable, easily and clearly comparable, and transparent prices.

(7)
The aim of this Directive is not only to continue to promote the supply side of energy services, but also to create stronger incentives for the demand side. The public sector in each Member State should thus set a good example regarding investments, maintenance and other expenditure on energy-using equipment, energy services and other energy efficiency improvement measures. Therefore, the public sector should be encouraged to integrate energy efficiency improvement considerations into its investments, depreciation allowances and operating budgets. Furthermore, the public sector should endeavour to use energy efficiency criteria in tendering procedures for public procurement, a practice allowed under Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors(7),and Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts(8), the principle of which was confirmed by the judgment of 17 September 2002 of the Court of Justice in Case C-513/99(9). In view of the fact that administrative structures vary widely between Member States, the different types of measures which the public sector may take should be taken at the appropriate national, regional and/or local level.

(8)
There is a large variety of ways in which the public sector can fulfil its exemplary role: besides the applicable measures listed in Annex III and VI, the public sector may, for example, initiate energy-efficiency pilot projects and stimulate energy-efficient behaviour of employees. In order to achieve the desired multiplier effect, a number of such actions should be communicated in an effective way to individual citizens and/or to companies, whilst emphasising the cost benefits.

(9)
The liberalisation of the retail markets for final customers for electricity, natural gas, coal and lignite, heating, and in some cases even district heating and cooling, has almost exclusively led to improved efficiency and lower costs on the energy generation, transformation and distribution side. This liberalisation has not led to significant competition in products and services which could have resulted in improved energy efficiency on the demand side.

(10)
In its Resolution of 7 December 1998 on energy efficiency in the European Community(10), the Council endorsed a target for the Community as a whole to improve energy intensity of final consumption by an additional one percentage point per annum up to the year 2010.

(11)
Member States should therefore adopt national indicative targets to promote energy end‐use efficiency and to ensure the continued growth and viability of the market for energy services, and thus contribute to the implementation of the Lisbon strategy. The adoption of national indicative targets to promote energy end-use efficiency provides effective synergy with other Community legislation that will, when applied, contribute to the achievement of those national targets.

(12)
This Directive requires action to be undertaken by the Member States, with the fulfilment of its objectives depending on the effects that such action has on the final consumers of energy. The end result of Member States’ action is dependent on many external factors which influence the behaviour of consumers as regards their energy use and their willingness to implement energy saving methods and use energy saving devices. Therefore, even though Member States commit themselves to making efforts to achieve the target figure of 9 %, the national energy savings target is indicative in nature and entails no legally enforceable obligation for Member States to achieve it.

(13)
In aiming to achieve their national indicative target, Member States may set themselves a target higher than 9 %.

(14)
The improvement of energy efficiency will benefit from an exchange of information, experience and best practice at all levels, including, in particular, the public sector. Therefore, Member States should list measures undertaken in the context of this Directive, and review their effect as far as possible, in energy efficiency action plans.

(15)
When striving for energy efficiency on the basis of technological, behavioural and/or economic changes, substantial negative environmental impact should be avoided, and social priorities should be respected.

(16)
The funding of supply and the costs of the demand side have an important role to play in energy services. The creation of funds to subsidise the implementation of energy efficiency programmes and other energy efficiency improvement measures and to promote the development of a market for energy services can constitute an appropriate tool for the provision of non-discriminatory start-up funding in such a market.

(17)
Improved energy end-use efficiency can be achieved by increasing the availability of and demand for energy services or by other energy efficiency improvement measures.

(18)
In order to realise the energy savings potential in certain market segments where energy audits are generally not sold commercially, such as households, Member States should ensure the availability of energy audits.

(19)
The Council Conclusions of 5 December 2000 list the promotion of energy services through the development of a Community strategy as a priority area for action to improve energy efficiency.

(20)
Energy distributors, distribution system operators and retail energy sales companies can improve energy efficiency in the Community if the energy services they market include efficient end-use, such as indoor thermal comfort, domestic hot water, refrigeration, product manufacturing, illumination and motive power. Profit maximisation for energy distributors, distribution system operators and retail energy sales companies thus becomes more closely related to selling energy services to as many customers as possible than to selling as much energy as possible to each customer. Member States should endeavour to avoid any distortion of competition in this area, in order to guarantee a level playing field between all energy service providers; they can, however, delegate this task to the national regulator.

(21)
Taking full account of the national organisation of market actors in the energy sector and in order to favour the implementation of energy services and of the measures to improve energy efficiency provided for in this Directive, Member States should have the option of making it compulsory for energy distributors, distribution system operators or retail energy sales companies or, where appropriate, for two or all of these market actors, to provide such services and to participate in such measures.

(22)
The use of third-party financing arrangements is an innovate practice that should be stimulated. In these, the beneficiary avoids investment costs by using part of the financial value of energy savings that result from the third party's investment to repay the third party's investment and interest costs.

(23)
With a view to making tariffs and other regulations for net-bound energy more conducive to efficient energy end-use, unjustifiable volume-driving incentives should be removed.

(24)
The promotion of the market for energy services can be achieved by a variety of means, including non-financial ones.

(25)
The energy services, energy efficiency improvement programmes and other energy efficiency improvement measures put into effect to reach the energy savings target may be supported and/or implemented through voluntary agreements between stakeholders and public sector bodies appointed by the Member States.

(26)
The voluntary agreements which are covered by this Directive should be transparent and contain, where applicable, information on at least the following issues: quantified and staged objectives, monitoring and reporting.

(27)
The motor fuel and transport sectors have an important role to play regarding energy efficiency and energy savings.

(28)
In defining energy efficiency improvement measures, account should be taken of efficiency gains obtained through the widespread use of cost-effective technological innovations, for instance electronic metering. In the context of this Directive, competitively priced individual meters include accurate calorimeters.

(29)
In order to enable final consumers to make better-informed decisions as regards their individual energy consumption, they should be provided with a reasonable amount of information thereon and with other relevant information, such as information on available energy efficiency improvement measures, comparative final consumer profiles or objective technical specifications for energy-using equipment, which may include ‘Factor Four’ or similar equipment. It is recalled that some such valuable information should already be made available to final customers under Article 3(6) of Directive 2003/54/EC. In addition, consumers should be actively encouraged to check their own meter readings regularly.

(30)
All types of information relating to energy-efficiency should be widely disseminated in an appropriate form, including through billing, to relevant target audiences. This can include information on financial and legal frameworks, communication and promotion campaigns, and the widespread exchange of best practice at all levels.

(31)
With the adoption of this Directive, all substantive provisions of Council Directive 93/76/EEC of 13 September 1993 to limit carbon dioxide emissions by improving energy efficiency (SAVE)(11)are covered by other Community legislation and therefore Directive 93/76/EEC should be repealed.

(32)
Since the objectives of this Directive, namely to promote energy end-use efficiency and to develop a market for energy services, cannot be sufficiently achieved by the Member States and can be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

(33)
The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(12),

(a)
providing the necessary indicative targets as well as mechanisms, incentives and institutional, financial and legal frameworks to remove existing market barriers and imperfections that impede the efficient end use of energy;

(b)
creating the conditions for the development and promotion of a market for energy services and for the delivery of other energy efficiency improvement measures to final consumers.

(a)
providers of energy efficiency improvement measures, energy distributors, distribution system operators and retail energy sales companies. However, Member States may exclude small distributors, small distribution system operators and small retail energy sales companies from the application of Articles 6 and 13;

(b)
final customers. However, this Directive shall not apply to those undertakings involved in categories of activities listed in Annex I to Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community(13);

(c)
the armed forces, only to the extent that its application does not cause any conflict with the nature and primary aim of the activities of the armed forces and with the exception of material used exclusively for military purposes.

(a)
‘energy’: all forms of commercially available energy, including electricity, natural gas (including liquefied natural gas), liquefied petroleum gas, any fuel for heating and cooling (including district heating and cooling), coal and lignite, peat, transport fuels (excluding aviation and maritime bunker fuels) and biomass as defined in Directive 2001/77/EC of the European Parliament and of the Council of 27 September 2001 on the promotion of electricity produced from renewable energy sources in the internal electricity market(14);

(b)
‘energy efficiency’: a ratio between an output of performance, service, goods or energy, and an input of energy;

(c)
‘energy efficiency improvement’: an increase in energy end-use efficiency as a result of technological, behavioural and/or economic changes;

(d)
‘energy savings’: an amount of saved energy determined by measuring and/or estimating consumption before and after implementation of one or more energy efficiency improvement measures, whilst ensuring normalisation for external conditions that affect energy consumption;

(e)
‘energy service’: the physical benefit, utility or good derived from a combination of energy with energy efficient technology and/or with action, which may include the operations, maintenance and control necessary to deliver the service, which is delivered on the basis of a contract and in normal circumstances has proven to lead to verifiable and measurable or estimable energy efficiency improvement and/or primary energy savings;

(f)
‘energy efficiency mechanisms’: general instruments used by governments or government bodies to create a supportive framework or incentives for market actors to provide and purchase energy services and other energy efficiency improvement measures;

(g)
‘energy efficiency improvement programmes’: activities that focus on groups of final customers and that normally lead to verifiable and measurable or estimable energy efficiency improvement;

(h)
‘energy efficiency improvement measures’: all actions that normally lead to verifiable and measurable or estimable energy efficiency improvement;

(i)
‘energy service company’ (ESCO): a natural or legal person that delivers energy services and/or other energy efficiency improvement measures in a user's facility or premises, and accepts some degree of financial risk in so doing. The payment for the services delivered is based (either wholly or in part) on the achievement of energy efficiency improvements and on the meeting of the other agreed performance criteria;

(j)
‘energy performance contracting’: a contractual arrangement between the beneficiary and the provider (normally an ESCO) of an energy efficiency improvement measure, where investments in that measure are paid for in relation to a contractually agreed level of energy efficiency improvement;

(k)
‘third-party financing’: a contractual arrangement involving a third party — in addition to the energy supplier and the beneficiary of the energy efficiency improvement measure — that provides the capital for that measure and charges the beneficiary a fee equivalent to a part of the energy savings achieved as a result of the energy efficiency improvement measure. That third party may or may not be an ESCO;

(l)
‘energy audit’: a systematic procedure to obtain adequate knowledge of the existing energy consumption profile of a building or group of buildings, of an industrial operation and/or installation or of a private or public service, identify and quantify cost‐effective energy savings opportunities, and report the findings;

(m)
‘financial instruments for energy savings’: all financial instruments such as funds, subsidies, tax rebates, loans, third-party financing, energy performance contracting, guarantee of energy savings contracts, energy outsourcing and other related contracts that are made available to the market place by public or private bodies in order to cover partly or totally the initial project cost for implementing energy efficiency improvement measures;

(n)
‘final customer’: a natural or legal person that purchases energy for his own end use;

(o)
‘energy distributor’: a natural or legal person responsible for transporting energy with a view to its delivery to final customers and to distribution stations that sell energy to final customers. This definition excludes electricity and natural gas distribution system operators, covered in point (p);

(p)
‘distribution system operator’: a natural or legal person responsible for operating, ensuring the maintenance of and, if necessary, developing the distribution system of electricity or natural gas in a given area and, where applicable, its interconnections with other systems, and for ensuring the long term ability of the system to meet reasonable demands for the distribution of electricity or natural gas;

(q)
‘retail energy sales company’: a natural or legal person that sells energy to final customers;

(r)
‘small distributor, small distribution system operator and small retail energy sales company’: a natural or legal person that distributes or sells energy to final customers, and that distributes or sells less than the equivalent of 75 GWh energy per year or employs fewer than 10 persons or whose annual turnover and/or annual balance sheet total does not exceed EUR 2 000 000;

(s)
‘white certificates’: certificates issued by independent certifying bodies confirming the energy savings claims of market actors as a consequence of energy efficiency improvement measures.

—
at least two measures shall be used from the list set out in Annex VI;

—
Member States shall facilitate this process by publishing guidelines on energy efficiency and energy savings as a possible assessment criterion in competitive tendering for public contracts.

(a)
provide on request, but not more than once a year, aggregated statistical information on their final customers to the authorities or agencies referred to in Article 4(4) or to another designated body, provided that the latter in turn transmits to the former the information received. This information must be sufficient to properly design and implement energy efficiency improvement programmes, and to promote and monitor energy services and other energy efficiency improvement measures. It may include historical information and must include current information on end-user consumption, including, where applicable, load profiles, customer segmentation and geographical location of customers, while preserving the integrity and confidentiality of information that is either of private character or commercially sensitive, in compliance with applicable Community legislation;

(b)
refrain from any activities that might impede the demand for and delivery of energy services and other energy efficiency improvement measures, or hinder the development of markets for energy services and other energy efficiency improvement measures. The Member State concerned shall take the necessary measures to bring such activities to an end where they occur.

(a)
choose one or more of the following requirements to be complied with by energy distributors, distribution system operators and/or retail energy sales companies, directly and/or indirectly through other providers of energy services or energy efficiency improvement measures:(i)ensure the offer to their final customers, and the promotion, of competitively priced energy services; or(ii)ensure the availability to their final customers, and the promotion, of competitively-priced energy audits conducted in an independent manner and/or energy efficiency improvement measures, in accordance with Article 9(2) and Article 12; or(iii)contribute to the funds and funding mechanisms referred to in Article 11. The level of such contributions shall as a minimum correspond to the estimated costs of offering any of the activities referred to in this paragraph and shall be agreed with the authorities or agencies referred to in Article 4(4); and/or
(i)
ensure the offer to their final customers, and the promotion, of competitively priced energy services; or
(ii)
ensure the availability to their final customers, and the promotion, of competitively-priced energy audits conducted in an independent manner and/or energy efficiency improvement measures, in accordance with Article 9(2) and Article 12; or
(iii)
contribute to the funds and funding mechanisms referred to in Article 11. The level of such contributions shall as a minimum correspond to the estimated costs of offering any of the activities referred to in this paragraph and shall be agreed with the authorities or agencies referred to in Article 4(4); and/or

(i)
ensure the offer to their final customers, and the promotion, of competitively priced energy services; or

(ii)
ensure the availability to their final customers, and the promotion, of competitively-priced energy audits conducted in an independent manner and/or energy efficiency improvement measures, in accordance with Article 9(2) and Article 12; or

(iii)
contribute to the funds and funding mechanisms referred to in Article 11. The level of such contributions shall as a minimum correspond to the estimated costs of offering any of the activities referred to in this paragraph and shall be agreed with the authorities or agencies referred to in Article 4(4); and/or

(i)
ensure the offer to their final customers, and the promotion, of competitively priced energy services; or

(ii)
ensure the availability to their final customers, and the promotion, of competitively-priced energy audits conducted in an independent manner and/or energy efficiency improvement measures, in accordance with Article 9(2) and Article 12; or

(iii)
contribute to the funds and funding mechanisms referred to in Article 11. The level of such contributions shall as a minimum correspond to the estimated costs of offering any of the activities referred to in this paragraph and shall be agreed with the authorities or agencies referred to in Article 4(4); and/or

(b)
ensure that voluntary agreements and/or other market-oriented schemes, such as white certificates, with an effect equivalent to one or more of the requirements referred to in point (a) exist or are set up. Voluntary agreements shall be assessed, supervised and followed up by the Member State in order to ensure that they have in practice an effect equivalent to one or more of the requirements referred to in point (a).To that end, the voluntary agreements shall have clear and unambiguous objectives, and monitoring and reporting requirements linked to procedures that can lead to revised and/or additional measures when the objectives are not achieved or are not likely to be achieved. With a view to ensuring transparency, the voluntary agreements shall be made available to the public and published prior to application to the extent that applicable confidentiality provisions allow, and contain an invitation for stakeholders to comment.

(a)
current actual prices and actual consumption of energy;

(b)
comparisons of the final customer's current energy consumption with consumption for the same period in the previous year, preferably in graphic form;

(c)
wherever possible and useful, comparisons with an average normalised or benchmarked user of energy in the same user category;

(d)
contact information for consumers’ organisations, energy agencies or similar bodies, including website addresses, from which information may be obtained on available energy efficiency improvement measures, comparative end-user profiles and/or objective technical specifications for energy-using equipment.

—
a first EEAP not later than 30 June 2007;

—
a second EEAP not later than 30 June 2011;

—
a third EEAP not later than 30 June 2014.

—
include a thorough analysis and evaluation of the preceding EEAP;

—
include the final results with regard to the fulfilment of the energy savings targets set out in Article 4(1) and (2);

—
include plans for — and information on the anticipated effects of — additional measures which address any existing or expected shortfall vis-à-vis the target;

—
in accordance with Article 15(4), use and gradually increase the use of harmonised efficiency indicators and benchmarks, both for the evaluation of past measures and estimated effects of planned future measures;

—
be based on available data, supplemented with estimates.

—
the first EEAPs shall be reviewed before 1 January 2008;

—
the second EEAPs shall be reviewed before 1 January 2012;

—
the third EEAPs shall be reviewed before 1 January 2015.

—
on the first EEAPs before 1 January 2008;

—
on the second EEAPs before 1 January 2012;

—
on the third EEAPs before 1 January 2015.

1.
Member States shall use the annual final inland energy consumption of all energy users within the scope of this Directive for the most recent five-year period previous to the implementation of this Directive for which official data are available, to calculate an annual average amount of consumption. This final energy consumption shall be the amount of energy distributed or sold to final customers during the five-year period, not adjusted for degree days, structural changes or production changes.On the basis of this annual average amount of consumption, the national indicative energy savings target shall be calculated once and the resulting absolute amount of energy to be saved applied for the total duration of this Directive.The national indicative energy savings target shall:(a)consist of 9 % of the annual average amount of consumption referred to above;(b)be measured after the ninth year of application of this Directive;(c)be the result of cumulative annual energy savings achieved throughout the nine-year application period of this Directive;(d)be reached by way of energy services and other energy efficiency improvement measures.This methodology for measuring energy savings ensures that the total energy savings prescribed by this Directive are a fixed amount, and thus independent of future GDP growth and of any future increase in energy consumption.
(a)
consist of 9 % of the annual average amount of consumption referred to above;
(b)
be measured after the ninth year of application of this Directive;
(c)
be the result of cumulative annual energy savings achieved throughout the nine-year application period of this Directive;
(d)
be reached by way of energy services and other energy efficiency improvement measures.

(a)
consist of 9 % of the annual average amount of consumption referred to above;

(b)
be measured after the ninth year of application of this Directive;

(c)
be the result of cumulative annual energy savings achieved throughout the nine-year application period of this Directive;

(d)
be reached by way of energy services and other energy efficiency improvement measures.

(a)
consist of 9 % of the annual average amount of consumption referred to above;

(b)
be measured after the ninth year of application of this Directive;

(c)
be the result of cumulative annual energy savings achieved throughout the nine-year application period of this Directive;

(d)
be reached by way of energy services and other energy efficiency improvement measures.

2.
The national indicative energy savings target shall be expressed in absolute terms in GWh, or equivalent, calculated in accordance with Annex II.

3.
Energy savings in a particular year following the entry into force of this Directive that result from energy efficiency improvement measures initiated in a previous year not earlier than 1995 and that have a lasting effect may be taken into account in the calculation of the annual energy savings. In certain cases, where circumstances can justify it, measures initiated before 1995 but not earlier than 1991 may be taken into account. Measures of a technological nature should either have been updated to take account of technological progress, or be assessed in relation to the benchmark for such measures. The Commission shall provide guidelines on how the effect of all such energy efficiency improving measures should be measured or estimated, based, wherever possible, on existing Community legislation, such as Directive 2004/8/EC of the European Parliament and of the Council of 11 February 2004 on the promotion of cogeneration based on a useful heat demand in the internal energy market(1)and Directive 2002/91/EC.In all cases, the resulting energy savings must still be verifiable and measurable or estimable, in accordance with the general framework in Annex IV.

Energy commodity
kJ (NCV)
kgoe (NCV)
kWh (NCV)

1 kg coke
28 500
0,676
7,917

1 kg hard coal
17 200 — 30 700
0,411 — 0,733
4,778 — 8,528

1 kg brown coal briquettes
20 000
0,478
5,556

1 kg black lignite
10 500 — 21 000
0,251 — 0,502
2,917 — 5,833

1 kg brown coal
5 600 — 10 500
0,134 — 0,251
1,556 — 2,917

1 kg oil shale
8 000 — 9 000
0,191 — 0,215
2,222 — 2,500

1 kg peat
7 800 — 13 800
0,186 — 0,330
2,167 — 3,833

1 kg peat briquettes
16 000 — 16 800
0,382 — 0,401
4,444 — 4,667

1 kg residual fuel oil (heavy oil)
40 000
0,955
11,111

1 kg light fuel oil
42 300
1,010
11,750

1 kg motor spirit (petrol)
44 000
1,051
12,222

1 kg paraffin
40 000
0,955
11,111

1 kg liquefied petroleum gas
46 000
1,099
12,778

1 kg natural gas(2)
47 200
1,126
13,10

1 kg liquefied natural gas
45 190
1,079
12,553

1 kg wood (25 % humidity)(3)
13 800
0,330
3,833

1 kg pellets/wood bricks
16 800
0,401
4,667

1 kg waste
7 400 — 10 700
0,177 — 0,256
2,056 — 2,972

1 MJ derived heat
1 000
0,024
0,278

1 kWh electrical energy
3 600
0,086
1(4)

Source:Eurostat.

Residential and tertiary sectors(a)heating and cooling (e.g. heat pumps, new efficient boilers, installation/efficient update of district heating/cooling systems);(b)insulation and ventilation (e.g. wall cavity and roof insulation, double/triple glazing of windows, passive heating and cooling);(c)hot water (e.g. installation of new devices, direct and efficient use in space heating, washing machines);(d)lighting (e.g. new efficient bulbs and ballasts, digital control systems, use of motion detectors for lighting systems in commercial buildings);(e)cooking and refrigeration (e.g. new efficient devices, heat recovery systems);(f)other equipment and appliances (e.g. combined heat and power appliances, new efficient devices, time control for optimised energy use, stand-by loss reduction, installation of capacitors to reduce reactive power, transformers with low losses);(g)domestic generation of renewable energy sources, whereby the amount of purchased energy is reduced (e.g. solar thermal applications, domestic hot water, solar-assisted space heating and cooling);
(a)
heating and cooling (e.g. heat pumps, new efficient boilers, installation/efficient update of district heating/cooling systems);
(b)
insulation and ventilation (e.g. wall cavity and roof insulation, double/triple glazing of windows, passive heating and cooling);
(c)
hot water (e.g. installation of new devices, direct and efficient use in space heating, washing machines);
(d)
lighting (e.g. new efficient bulbs and ballasts, digital control systems, use of motion detectors for lighting systems in commercial buildings);
(e)
cooking and refrigeration (e.g. new efficient devices, heat recovery systems);
(f)
other equipment and appliances (e.g. combined heat and power appliances, new efficient devices, time control for optimised energy use, stand-by loss reduction, installation of capacitors to reduce reactive power, transformers with low losses);
(g)
domestic generation of renewable energy sources, whereby the amount of purchased energy is reduced (e.g. solar thermal applications, domestic hot water, solar-assisted space heating and cooling);

(a)
heating and cooling (e.g. heat pumps, new efficient boilers, installation/efficient update of district heating/cooling systems);

(b)
insulation and ventilation (e.g. wall cavity and roof insulation, double/triple glazing of windows, passive heating and cooling);

(c)
hot water (e.g. installation of new devices, direct and efficient use in space heating, washing machines);

(d)
lighting (e.g. new efficient bulbs and ballasts, digital control systems, use of motion detectors for lighting systems in commercial buildings);

(e)
cooking and refrigeration (e.g. new efficient devices, heat recovery systems);

(f)
other equipment and appliances (e.g. combined heat and power appliances, new efficient devices, time control for optimised energy use, stand-by loss reduction, installation of capacitors to reduce reactive power, transformers with low losses);

(g)
domestic generation of renewable energy sources, whereby the amount of purchased energy is reduced (e.g. solar thermal applications, domestic hot water, solar-assisted space heating and cooling);

(a)
heating and cooling (e.g. heat pumps, new efficient boilers, installation/efficient update of district heating/cooling systems);

(b)
insulation and ventilation (e.g. wall cavity and roof insulation, double/triple glazing of windows, passive heating and cooling);

(c)
hot water (e.g. installation of new devices, direct and efficient use in space heating, washing machines);

(d)
lighting (e.g. new efficient bulbs and ballasts, digital control systems, use of motion detectors for lighting systems in commercial buildings);

(e)
cooking and refrigeration (e.g. new efficient devices, heat recovery systems);

(f)
other equipment and appliances (e.g. combined heat and power appliances, new efficient devices, time control for optimised energy use, stand-by loss reduction, installation of capacitors to reduce reactive power, transformers with low losses);

(g)
domestic generation of renewable energy sources, whereby the amount of purchased energy is reduced (e.g. solar thermal applications, domestic hot water, solar-assisted space heating and cooling);

Industry sector(h)product manufacturing processes (e.g. more efficient use of compressed air, condensate and switches and valves, use of automatic and integrated systems, efficient stand-by modes);(i)motors and drives (e.g. increase in the use of electronic controls, variable speed drives, integrated application programming, frequency conversion, electrical motor with high efficiency);(j)fans, variable speed drives and ventilation (e.g. new devices/systems, use of natural ventilation);(k)demand response management (e.g. load management, peak shaving control systems);(l)high-efficiency cogeneration (e.g. combined heat and power appliances);
(h)
product manufacturing processes (e.g. more efficient use of compressed air, condensate and switches and valves, use of automatic and integrated systems, efficient stand-by modes);
(i)
motors and drives (e.g. increase in the use of electronic controls, variable speed drives, integrated application programming, frequency conversion, electrical motor with high efficiency);
(j)
fans, variable speed drives and ventilation (e.g. new devices/systems, use of natural ventilation);
(k)
demand response management (e.g. load management, peak shaving control systems);
(l)
high-efficiency cogeneration (e.g. combined heat and power appliances);

(h)
product manufacturing processes (e.g. more efficient use of compressed air, condensate and switches and valves, use of automatic and integrated systems, efficient stand-by modes);

(i)
motors and drives (e.g. increase in the use of electronic controls, variable speed drives, integrated application programming, frequency conversion, electrical motor with high efficiency);

(j)
fans, variable speed drives and ventilation (e.g. new devices/systems, use of natural ventilation);

(k)
demand response management (e.g. load management, peak shaving control systems);

(l)
high-efficiency cogeneration (e.g. combined heat and power appliances);

(h)
product manufacturing processes (e.g. more efficient use of compressed air, condensate and switches and valves, use of automatic and integrated systems, efficient stand-by modes);

(i)
motors and drives (e.g. increase in the use of electronic controls, variable speed drives, integrated application programming, frequency conversion, electrical motor with high efficiency);

(j)
fans, variable speed drives and ventilation (e.g. new devices/systems, use of natural ventilation);

(k)
demand response management (e.g. load management, peak shaving control systems);

(l)
high-efficiency cogeneration (e.g. combined heat and power appliances);

Transport sector(m)mode of travel used (e.g. promotion of energy-efficient vehicles, energy-efficient use of vehicles including tyre pressure adjustment schemes, energy efficiency devices and add-on devices for vehicles, fuel additives which improve energy efficiency, high-lubricity oils and low-resistance tyres);(n)modal shifts of travel (e.g. car free home/office transportation arrangements, car sharing, modal shifts from more energy-consuming modes of transport to less energy-consuming ones, per passenger-km or tonne-km);(o)car-free days;
(m)
mode of travel used (e.g. promotion of energy-efficient vehicles, energy-efficient use of vehicles including tyre pressure adjustment schemes, energy efficiency devices and add-on devices for vehicles, fuel additives which improve energy efficiency, high-lubricity oils and low-resistance tyres);
(n)
modal shifts of travel (e.g. car free home/office transportation arrangements, car sharing, modal shifts from more energy-consuming modes of transport to less energy-consuming ones, per passenger-km or tonne-km);
(o)
car-free days;

(m)
mode of travel used (e.g. promotion of energy-efficient vehicles, energy-efficient use of vehicles including tyre pressure adjustment schemes, energy efficiency devices and add-on devices for vehicles, fuel additives which improve energy efficiency, high-lubricity oils and low-resistance tyres);

(n)
modal shifts of travel (e.g. car free home/office transportation arrangements, car sharing, modal shifts from more energy-consuming modes of transport to less energy-consuming ones, per passenger-km or tonne-km);

(o)
car-free days;

(m)
mode of travel used (e.g. promotion of energy-efficient vehicles, energy-efficient use of vehicles including tyre pressure adjustment schemes, energy efficiency devices and add-on devices for vehicles, fuel additives which improve energy efficiency, high-lubricity oils and low-resistance tyres);

(n)
modal shifts of travel (e.g. car free home/office transportation arrangements, car sharing, modal shifts from more energy-consuming modes of transport to less energy-consuming ones, per passenger-km or tonne-km);

(o)
car-free days;

Cross-sectoral measures(p)standards and norms that aim primarily at improving the energy efficiency of products and services, including buildings;(q)energy labelling schemes;(r)metering, intelligent metering systems such as individual metering instruments managed by remote, and informative billing;(s)training and education that lead to application of energy-efficient technology and/or techniques;
(p)
standards and norms that aim primarily at improving the energy efficiency of products and services, including buildings;
(q)
energy labelling schemes;
(r)
metering, intelligent metering systems such as individual metering instruments managed by remote, and informative billing;
(s)
training and education that lead to application of energy-efficient technology and/or techniques;

(p)
standards and norms that aim primarily at improving the energy efficiency of products and services, including buildings;

(q)
energy labelling schemes;

(r)
metering, intelligent metering systems such as individual metering instruments managed by remote, and informative billing;

(s)
training and education that lead to application of energy-efficient technology and/or techniques;

(p)
standards and norms that aim primarily at improving the energy efficiency of products and services, including buildings;

(q)
energy labelling schemes;

(r)
metering, intelligent metering systems such as individual metering instruments managed by remote, and informative billing;

(s)
training and education that lead to application of energy-efficient technology and/or techniques;

Horizontal measures(t)regulations, taxes etc. that have the effect of reducing energy end-use consumption;(u)focused information campaigns that promote energy efficiency improvement and energy efficiency improvement measures.
(t)
regulations, taxes etc. that have the effect of reducing energy end-use consumption;
(u)
focused information campaigns that promote energy efficiency improvement and energy efficiency improvement measures.

(t)
regulations, taxes etc. that have the effect of reducing energy end-use consumption;

(u)
focused information campaigns that promote energy efficiency improvement and energy efficiency improvement measures.

(t)
regulations, taxes etc. that have the effect of reducing energy end-use consumption;

(u)
focused information campaigns that promote energy efficiency improvement and energy efficiency improvement measures.

(a)
experience with the harmonised calculation model during its first years of application;

(b)
expected potential increase in accuracy as a result of a larger share of bottom-up calculations;

(c)
estimated potential added cost and/or administrative burden.

(a)
weather conditions, such as degree days;

(b)
occupancy levels;

(c)
opening hours for non-domestic buildings;

(d)
installed equipment intensity (plant throughput); product mix;

(e)
plant throughput, level of production, volume or added value, including changes in GDP level;

(f)
schedules for installation and vehicles;

(g)
relationship with other units.

(a)
instrumentation errors: these typically occur because of errors in specifications given by the product manufacturer;

(b)
modelling errors: these typically refer to errors in the model used to estimate parameters for the data collected;

(c)
sampling errors: these typically refer to errors resulting from the fact that a sample of units was observed rather than the entire set of units under study.

Loft insulation of private dwellings
30 years

Cavity wall insulation of private dwellings
40 years

Glazing E to C rated (in m2)
20 years

Boilers B to A rated
15 years

Heating controls — upgrade with boiler replacement
15 years

CFLs — retail
16 years

Source: Energy Efficiency Commitment 2005 — 2008, UK

1.
The market for household appliances/information technology and lighting:1.1.Kitchen appliances (white goods);1.2.Entertainment/information technology;1.3.Lighting.
1.1.
Kitchen appliances (white goods);
1.2.
Entertainment/information technology;
1.3.
Lighting.

1.1.
Kitchen appliances (white goods);

1.2.
Entertainment/information technology;

1.3.
Lighting.

1.1.
Kitchen appliances (white goods);

1.2.
Entertainment/information technology;

1.3.
Lighting.

2.
The market for domestic heating technology:2.1.Heating;2.2.Hot-water provision;2.3.Air conditioning;2.4.Ventilation;2.5.Heat insulation;2.6.Windows.
2.1.
Heating;
2.2.
Hot-water provision;
2.3.
Air conditioning;
2.4.
Ventilation;
2.5.
Heat insulation;
2.6.
Windows.

2.1.
Heating;

2.2.
Hot-water provision;

2.3.
Air conditioning;

2.4.
Ventilation;

2.5.
Heat insulation;

2.6.
Windows.

2.1.
Heating;

2.2.
Hot-water provision;

2.3.
Air conditioning;

2.4.
Ventilation;

2.5.
Heat insulation;

2.6.
Windows.

3.
The market for industrial ovens.

4.
The market for motorised power in industry.

5.
The market for public-sector institutions:5.1.Schools/public administration;5.2.Hospitals;5.3.Swimming pools;5.4.Street lighting.
5.1.
Schools/public administration;
5.2.
Hospitals;
5.3.
Swimming pools;
5.4.
Street lighting.

5.1.
Schools/public administration;

5.2.
Hospitals;

5.3.
Swimming pools;

5.4.
Street lighting.

5.1.
Schools/public administration;

5.2.
Hospitals;

5.3.
Swimming pools;

5.4.
Street lighting.

6.
The market for transport services.

(a)
requirements concerning the use of financial instruments for energy savings, including energy performance contracting, that stipulate the delivery of measurable and pre-determined energy savings (including whenever public administrations have outsourced responsibilities);

(b)
requirements to purchase equipment and vehicles based on lists of energy-efficient product specifications of different categories of equipment and vehicles to be drawn up by the authorities or agencies referred to in Article 4(4), using, where applicable, minimised life-cycle cost analysis or comparable methods to ensure cost-effectiveness;

(c)
requirements to purchase equipment that has efficient energy consumption in all modes, including in standby mode, using, where applicable, minimised life-cycle cost analysis or comparable methods to ensure cost-effectiveness;

(d)
requirements to replace or retrofit existing equipment and vehicles with the equipment listed in points (b) and (c);

(e)
requirements to use energy audits and implement the resulting cost-effective recommendations;

(f)
requirements to purchase or rent energy-efficient buildings or parts thereof, or requirements to replace or retrofit purchased or rented buildings or parts thereof in order to render them more energy-efficient.

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 175(1) thereof,

Having regard to the proposal from the Commission,

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

Having regard to the opinion of the Committee of the Regions(2),

Acting in accordance with the procedure laid down in Article 251 of the Treaty(3),

(1) In the Community there is a need for improved energy end-use efficiency, managed demand for energy and promotion of the production of renewable energy, as there is relatively limited scope for any other influence on energy supply and distribution conditions in the short to medium term, either through the building of new capacity or through the improvement of transmission and distribution. This Directive thus contributes to improved security of supply.

(2) Improved energy end-use efficiency will also contribute to the reduction of primary energy consumption, to the mitigation of CO2 and other greenhouse gas emissions and thereby to the prevention of dangerous climate change. These emissions continue to increase, making it more and more difficult to meet the Kyoto commitments. Human activities attributed to the energy sector cause as much as 78 % of the Community greenhouse gas emissions. The Sixth Community Environment Action Programme, laid down by Decision No1600/2002/EC of the European Parliament and of the Council(4), envisages that further reductions are required to achieve the United Nations Framework Convention on Climate Change long-term objective of stabilising greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system. Therefore, concrete policies and measures are necessary.

(3) Improved energy end-use efficiency will make it possible to exploit potential cost-effective energy savings in an economically efficient way. Energy efficiency improvement measures could realise these energy savings and thus help the Community reduce its dependence on energy imports. Furthermore, a move towards more energy-efficient technologies can boost the Community’s innovativeness and competitiveness as underlined in the Lisbon strategy.

(4) The Communication from the Commission on the implementation of the first phase of the European Climate Change Programme listed a directive on energy demand management as one of the priority climate change measures to be taken at Community level.

(5) This Directive is consistent with Directive 2003/54/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in electricity(5)and with Directive 2003/55/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in natural gas(6), which provide for the possibility of using energy efficiency and demand-side management as alternatives to new supply and for environmental protection, allowing Member State authorities,inter alia, to tender for new capacity or to opt for energy efficiency and demand-side measures, including systems for white certificates.

(6) This Directive is without prejudice to Article 3 of Directive 2003/54/EC, which requires that Member States ensure that all household customers and, where Member States deem it appropriate, small enterprises, enjoy universal service, that is the right to be supplied with electricity of a specified quality within their territory at reasonable, easily and clearly comparable, and transparent prices.

(7) The aim of this Directive is not only to continue to promote the supply side of energy services, but also to create stronger incentives for the demand side. The public sector in each Member State should thus set a good example regarding investments, maintenance and other expenditure on energy-using equipment, energy services and other energy efficiency improvement measures. Therefore, the public sector should be encouraged to integrate energy efficiency improvement considerations into its investments, depreciation allowances and operating budgets. Furthermore, the public sector should endeavour to use energy efficiency criteria in tendering procedures for public procurement, a practice allowed under Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors(7),and Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts(8), the principle of which was confirmed by the judgment of 17 September 2002 of the Court of Justice in Case C-513/99(9). In view of the fact that administrative structures vary widely between Member States, the different types of measures which the public sector may take should be taken at the appropriate national, regional and/or local level.

(8) There is a large variety of ways in which the public sector can fulfil its exemplary role: besides the applicable measures listed in Annex III and VI, the public sector may, for example, initiate energy-efficiency pilot projects and stimulate energy-efficient behaviour of employees. In order to achieve the desired multiplier effect, a number of such actions should be communicated in an effective way to individual citizens and/or to companies, whilst emphasising the cost benefits.

(9) The liberalisation of the retail markets for final customers for electricity, natural gas, coal and lignite, heating, and in some cases even district heating and cooling, has almost exclusively led to improved efficiency and lower costs on the energy generation, transformation and distribution side. This liberalisation has not led to significant competition in products and services which could have resulted in improved energy efficiency on the demand side.

(10) In its Resolution of 7 December 1998 on energy efficiency in the European Community(10), the Council endorsed a target for the Community as a whole to improve energy intensity of final consumption by an additional one percentage point per annum up to the year 2010.

(11) Member States should therefore adopt national indicative targets to promote energy end‐use efficiency and to ensure the continued growth and viability of the market for energy services, and thus contribute to the implementation of the Lisbon strategy. The adoption of national indicative targets to promote energy end-use efficiency provides effective synergy with other Community legislation that will, when applied, contribute to the achievement of those national targets.

(12) This Directive requires action to be undertaken by the Member States, with the fulfilment of its objectives depending on the effects that such action has on the final consumers of energy. The end result of Member States’ action is dependent on many external factors which influence the behaviour of consumers as regards their energy use and their willingness to implement energy saving methods and use energy saving devices. Therefore, even though Member States commit themselves to making efforts to achieve the target figure of 9 %, the national energy savings target is indicative in nature and entails no legally enforceable obligation for Member States to achieve it.

(13) In aiming to achieve their national indicative target, Member States may set themselves a target higher than 9 %.

(14) The improvement of energy efficiency will benefit from an exchange of information, experience and best practice at all levels, including, in particular, the public sector. Therefore, Member States should list measures undertaken in the context of this Directive, and review their effect as far as possible, in energy efficiency action plans.

(15) When striving for energy efficiency on the basis of technological, behavioural and/or economic changes, substantial negative environmental impact should be avoided, and social priorities should be respected.

(16) The funding of supply and the costs of the demand side have an important role to play in energy services. The creation of funds to subsidise the implementation of energy efficiency programmes and other energy efficiency improvement measures and to promote the development of a market for energy services can constitute an appropriate tool for the provision of non-discriminatory start-up funding in such a market.

(17) Improved energy end-use efficiency can be achieved by increasing the availability of and demand for energy services or by other energy efficiency improvement measures.

(18) In order to realise the energy savings potential in certain market segments where energy audits are generally not sold commercially, such as households, Member States should ensure the availability of energy audits.

(19) The Council Conclusions of 5 December 2000 list the promotion of energy services through the development of a Community strategy as a priority area for action to improve energy efficiency.

(20) Energy distributors, distribution system operators and retail energy sales companies can improve energy efficiency in the Community if the energy services they market include efficient end-use, such as indoor thermal comfort, domestic hot water, refrigeration, product manufacturing, illumination and motive power. Profit maximisation for energy distributors, distribution system operators and retail energy sales companies thus becomes more closely related to selling energy services to as many customers as possible than to selling as much energy as possible to each customer. Member States should endeavour to avoid any distortion of competition in this area, in order to guarantee a level playing field between all energy service providers; they can, however, delegate this task to the national regulator.

(21) Taking full account of the national organisation of market actors in the energy sector and in order to favour the implementation of energy services and of the measures to improve energy efficiency provided for in this Directive, Member States should have the option of making it compulsory for energy distributors, distribution system operators or retail energy sales companies or, where appropriate, for two or all of these market actors, to provide such services and to participate in such measures.

(22) The use of third-party financing arrangements is an innovate practice that should be stimulated. In these, the beneficiary avoids investment costs by using part of the financial value of energy savings that result from the third party’s investment to repay the third party’s investment and interest costs.

(23) With a view to making tariffs and other regulations for net-bound energy more conducive to efficient energy end-use, unjustifiable volume-driving incentives should be removed.

(24) The promotion of the market for energy services can be achieved by a variety of means, including non-financial ones.

(25) The energy services, energy efficiency improvement programmes and other energy efficiency improvement measures put into effect to reach the energy savings target may be supported and/or implemented through voluntary agreements between stakeholders and public sector bodies appointed by the Member States.

(26) The voluntary agreements which are covered by this Directive should be transparent and contain, where applicable, information on at least the following issues: quantified and staged objectives, monitoring and reporting.

(27) The motor fuel and transport sectors have an important role to play regarding energy efficiency and energy savings.

(28) In defining energy efficiency improvement measures, account should be taken of efficiency gains obtained through the widespread use of cost-effective technological innovations, for instance electronic metering. In the context of this Directive, competitively priced individual meters include accurate calorimeters.

(29) In order to enable final consumers to make better-informed decisions as regards their individual energy consumption, they should be provided with a reasonable amount of information thereon and with other relevant information, such as information on available energy efficiency improvement measures, comparative final consumer profiles or objective technical specifications for energy-using equipment, which may include ‘Factor Four’ or similar equipment. It is recalled that some such valuable information should already be made available to final customers under Article 3(6) of Directive 2003/54/EC. In addition, consumers should be actively encouraged to check their own meter readings regularly.

(30) All types of information relating to energy-efficiency should be widely disseminated in an appropriate form, including through billing, to relevant target audiences. This can include information on financial and legal frameworks, communication and promotion campaigns, and the widespread exchange of best practice at all levels.

(31) With the adoption of this Directive, all substantive provisions of Council Directive 93/76/EEC of 13 September 1993 to limit carbon dioxide emissions by improving energy efficiency (SAVE)(11)are covered by other Community legislation and therefore Directive 93/76/EEC should be repealed.

(32) Since the objectives of this Directive, namely to promote energy end-use efficiency and to develop a market for energy services, cannot be sufficiently achieved by the Member States and can be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

(33) The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(12),

HAVE ADOPTED THIS DIRECTIVE:
Purpose

Article 1

The purpose of this Directive is to enhance the cost-effective improvement of energy end-use efficiency in the Member States by:

(a)

providing the necessary indicative targets as well as mechanisms, incentives and institutional, financial and legal frameworks to remove existing market barriers and imperfections that impede the efficient end use of energy;

(b)

creating the conditions for the development and promotion of a market for energy services and for the delivery of other energy efficiency improvement measures to final consumers.
Scope

Article 2

This Directive shall apply to:

(a)

providers of energy efficiency improvement measures, energy distributors, distribution system operators and retail energy sales companies. However, Member States may exclude small distributors, small distribution system operators and small retail energy sales companies from the application of Articles 6 and 13;

(b)

final customers. However, this Directive shall not apply to those undertakings involved in categories of activities listed in Annex I to Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community(13);

(c)

the armed forces, only to the extent that its application does not cause any conflict with the nature and primary aim of the activities of the armed forces and with the exception of material used exclusively for military purposes.
Definitions

Article 3

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

(a)

‘energy’: all forms of commercially available energy, including electricity, natural gas (including liquefied natural gas), liquefied petroleum gas, any fuel for heating and cooling (including district heating and cooling), coal and lignite, peat, transport fuels (excluding aviation and maritime bunker fuels) and biomass as defined in Directive 2001/77/EC of the European Parliament and of the Council of 27 September 2001 on the promotion of electricity produced from renewable energy sources in the internal electricity market(14);

(b)

‘energy efficiency’: a ratio between an output of performance, service, goods or energy, and an input of energy;

(c)

‘energy efficiency improvement’: an increase in energy end-use efficiency as a result of technological, behavioural and/or economic changes;

(d)

‘energy savings’: an amount of saved energy determined by measuring and/or estimating consumption before and after implementation of one or more energy efficiency improvement measures, whilst ensuring normalisation for external conditions that affect energy consumption;

(e)

‘energy service’: the physical benefit, utility or good derived from a combination of energy with energy efficient technology and/or with action, which may include the operations, maintenance and control necessary to deliver the service, which is delivered on the basis of a contract and in normal circumstances has proven to lead to verifiable and measurable or estimable energy efficiency improvement and/or primary energy savings;

(f)

‘energy efficiency mechanisms’: general instruments used by governments or government bodies to create a supportive framework or incentives for market actors to provide and purchase energy services and other energy efficiency improvement measures;

(g)

‘energy efficiency improvement programmes’: activities that focus on groups of final customers and that normally lead to verifiable and measurable or estimable energy efficiency improvement;

(h)

‘energy efficiency improvement measures’: all actions that normally lead to verifiable and measurable or estimable energy efficiency improvement;

(i)

‘energy service company’ (ESCO): a natural or legal person that delivers energy services and/or other energy efficiency improvement measures in a user’s facility or premises, and accepts some degree of financial risk in so doing. The payment for the services delivered is based (either wholly or in part) on the achievement of energy efficiency improvements and on the meeting of the other agreed performance criteria;

(j)

‘energy performance contracting’: a contractual arrangement between the beneficiary and the provider (normally an ESCO) of an energy efficiency improvement measure, where investments in that measure are paid for in relation to a contractually agreed level of energy efficiency improvement;

(k)

‘third-party financing’: a contractual arrangement involving a third party — in addition to the energy supplier and the beneficiary of the energy efficiency improvement measure — that provides the capital for that measure and charges the beneficiary a fee equivalent to a part of the energy savings achieved as a result of the energy efficiency improvement measure. That third party may or may not be an ESCO;

(l)

‘energy audit’: a systematic procedure to obtain adequate knowledge of the existing energy consumption profile of a building or group of buildings, of an industrial operation and/or installation or of a private or public service, identify and quantify cost‐effective energy savings opportunities, and report the findings;

(m)

‘financial instruments for energy savings’: all financial instruments such as funds, subsidies, tax rebates, loans, third-party financing, energy performance contracting, guarantee of energy savings contracts, energy outsourcing and other related contracts that are made available to the market place by public or private bodies in order to cover partly or totally the initial project cost for implementing energy efficiency improvement measures;

(n)

‘final customer’: a natural or legal person that purchases energy for his own end use;

(o)

‘energy distributor’: a natural or legal person responsible for transporting energy with a view to its delivery to final customers and to distribution stations that sell energy to final customers. This definition excludes electricity and natural gas distribution system operators, covered in point (p);

(p)

‘distribution system operator’: a natural or legal person responsible for operating, ensuring the maintenance of and, if necessary, developing the distribution system of electricity or natural gas in a given area and, where applicable, its interconnections with other systems, and for ensuring the long term ability of the system to meet reasonable demands for the distribution of electricity or natural gas;

(q)

‘retail energy sales company’: a natural or legal person that sells energy to final customers;

(r)

‘small distributor, small distribution system operator and small retail energy sales company’: a natural or legal person that distributes or sells energy to final customers, and that distributes or sells less than the equivalent of 75 GWh energy per year or employs fewer than 10 persons or whose annual turnover and/or annual balance sheet total does not exceed EUR 2 000 000;

(s)

‘white certificates’: certificates issued by independent certifying bodies confirming the energy savings claims of market actors as a consequence of energy efficiency improvement measures.
General target

Article 4

1.   Member States shall adopt and aim to achieve an overall national indicative energy savings target of 9 % for the ninth year of application of this Directive, to be reached by way of energy services and other energy efficiency improvement measures. Member States shall take cost-effective, practicable and reasonable measures designed to contribute towards achieving this target.

This national indicative energy savings target shall be set and calculated in accordance with the provisions and methodology set out in Annex I. For purposes of comparison of energy savings and for conversion to a comparable unit, the conversion factors set out in Annex II shall apply unless the use of other conversion factors can be justified. Examples of eligible energy efficiency improvement measures are given in Annex III. A general framework for the measurement and verification of energy savings is given in Annex IV. The national energy savings in relation to the national indicative energy savings target shall be measured as from 1 January 2008.

2.   For the purpose of the first Energy Efficiency Action Plan (EEAP) to be submitted in accordance with Article 14, each Member State shall establish an intermediate national indicative energy savings target for the third year of application of this Directive, and provide an overview of its strategy for the achievement of the intermediate and overall targets. This intermediate target shall be realistic and consistent with the overall national indicative energy savings target referred to in paragraph 1.

The Commission shall give an opinion on whether the intermediate national indicative target appears realistic and consistent with the overall target.

3.   Each Member State shall draw up programmes and measures to improve energy efficiency.

4.   Member States shall assign to one or more new or existing authorities or agencies the overall control and responsibility for overseeing the framework set up in relation to the target mentioned in paragraph 1. These bodies shall thereafter verify the energy savings as a result of energy services and other energy efficiency improvement measures, including existing national energy efficiency improvement measures, and report the results.

5.   After having reviewed and reported on the first three years of application of this Directive, the Commission shall examine whether it is appropriate to come forward with a proposal for a directive to further develop the market approach in energy efficiency improvement by means of white certificates.
Energy end-use efficiency in the public sector

Article 5

1.   Member States shall ensure that the public sector fulfils an exemplary role in the context of this Directive. To this end, they shall communicate effectively the exemplary role and actions of the public sector to citizens and/or companies, as appropriate.

Member States shall ensure that energy efficiency improvement measures are taken by the public sector, focussing on cost-effective measures which generate the largest energy savings in the shortest span of time. Such measures shall be taken at the appropriate national, regional and/or local level, and may consist of legislative initiatives and/or voluntary agreements, as referred to in Article 6(2)(b), or other schemes with an equivalent effect. Without prejudice to national and Community public procurement legislation:

—

at least two measures shall be used from the list set out in Annex VI;

—

Member States shall facilitate this process by publishing guidelines on energy efficiency and energy savings as a possible assessment criterion in competitive tendering for public contracts.

Member States shall facilitate and enable the exchange of best practices between public sector bodies, for example on energy-efficient public procurement practices, both at the national and international level; to this end, the organisation referred to in paragraph 2 shall cooperate with the Commission with regard to the exchange of best practice as referred to in Article 7(3).

2.   Member States shall assign to a new or existing organisation or organisations the administrative, management and implementing responsibility for the integration of energy efficiency improvement requirements as set out in paragraph 1. These may be the same authorities or agencies as those referred to in Article 4(4).
Energy distributors, distribution system operators and retail energy sales companies

Article 6

1.   Member States shall ensure that energy distributors, distribution system operators and/or retail energy sales companies:

(a)

provide on request, but not more than once a year, aggregated statistical information on their final customers to the authorities or agencies referred to in Article 4(4) or to another designated body, provided that the latter in turn transmits to the former the information received. This information must be sufficient to properly design and implement energy efficiency improvement programmes, and to promote and monitor energy services and other energy efficiency improvement measures. It may include historical information and must include current information on end-user consumption, including, where applicable, load profiles, customer segmentation and geographical location of customers, while preserving the integrity and confidentiality of information that is either of private character or commercially sensitive, in compliance with applicable Community legislation;

(b)

refrain from any activities that might impede the demand for and delivery of energy services and other energy efficiency improvement measures, or hinder the development of markets for energy services and other energy efficiency improvement measures. The Member State concerned shall take the necessary measures to bring such activities to an end where they occur.

2.   Member States shall:

(a)

choose one or more of the following requirements to be complied with by energy distributors, distribution system operators and/or retail energy sales companies, directly and/or indirectly through other providers of energy services or energy efficiency improvement measures:

(i)

ensure the offer to their final customers, and the promotion, of competitively priced energy services; or

(ii)

ensure the availability to their final customers, and the promotion, of competitively-priced energy audits conducted in an independent manner and/or energy efficiency improvement measures, in accordance with Article 9(2) and Article 12; or

(iii)

contribute to the funds and funding mechanisms referred to in Article 11. The level of such contributions shall as a minimum correspond to the estimated costs of offering any of the activities referred to in this paragraph and shall be agreed with the authorities or agencies referred to in Article 4(4); and/or

(b)

ensure that voluntary agreements and/or other market-oriented schemes, such as white certificates, with an effect equivalent to one or more of the requirements referred to in point (a) exist or are set up. Voluntary agreements shall be assessed, supervised and followed up by the Member State in order to ensure that they have in practice an effect equivalent to one or more of the requirements referred to in point (a).

To that end, the voluntary agreements shall have clear and unambiguous objectives, and monitoring and reporting requirements linked to procedures that can lead to revised and/or additional measures when the objectives are not achieved or are not likely to be achieved. With a view to ensuring transparency, the voluntary agreements shall be made available to the public and published prior to application to the extent that applicable confidentiality provisions allow, and contain an invitation for stakeholders to comment.

3.   Member States shall ensure that there are sufficient incentives, equal competition and level playing fields for market actors other than energy distributors, distribution system operators and retail energy sales companies, such as ESCOs, installers, energy advisors and energy consultants, to independently offer and implement the energy services, energy audits and energy efficiency improvement measures described in paragraph 2(a)(i) and (ii).

4.   Under paragraphs 2 and 3, Member States may place responsibilities on distribution system operators only if this is consistent with the requirements relating to the unbundling of accounts laid down in Article 19(3) of Directive 2003/54/EC and in Article 17(3) of Directive 2003/55/EC.

5.   The implementation of this Article shall be without prejudice to derogations or exemptions granted under Directives 2003/54/EC and 2003/55/EC.
Availability of information

Article 7

1.   Member States shall ensure that information on energy efficiency mechanisms and financial and legal frameworks adopted with the aim of reaching the national indicative energy savings target is transparent and widely disseminated to the relevant market actors.

2.   Member States shall ensure that greater efforts are made to promote energy end-use efficiency. They shall establish appropriate conditions and incentives for market operators to provide more information and advice to final customers on energy end-use efficiency.

3.   The Commission shall ensure that information on best energy-saving practices in Member States is exchanged and widely disseminated.
Availability of qualification, accreditation and certification schemes

Article 8

With a view to achieving a high level of technical competence, objectivity and reliability, Member States shall ensure, where they deem it necessary, the availability of appropriate qualification, accreditation and/or certification schemes for providers of energy services, energy audits and energy efficiency improvement measures as referred to in Article 6(2)(a) (i) and (ii).
Financial instruments for energy savings

Article 9

1.   Member States shall repeal or amend national legislation and regulations, other than those of a clearly fiscal nature, that unnecessarily or disproportionately impede or restrict the use of financial instruments for energy savings in the market for energy services or other energy efficiency improvement measures.

2.   Member States shall make model contracts for those financial instruments available to existing and potential purchasers of energy services and other energy efficiency improvement measures in the public and private sectors. These may be issued by the authority or agency referred to in Article 4(4).
Energy efficient tariffs and other regulations for net-bound energy

Article 10

1.   Member States shall ensure the removal of those incentives in transmission and distribution tariffs that unnecessarily increase the volume of distributed or transmitted energy. In this respect, in accordance with Article 3(2) of Directive 2003/54/EC and with Article 3(2) of Directive 2003/55/EC, Member States may impose public service obligations relating to energy efficiency on undertakings operating in the electricity and gas sectors respectively.

2.   Member States may permit components of schemes and tariff structures with a social aim, provided that any disruptive effects on the transmission and distribution system are kept to the minimum necessary and are not disproportionate to the social aim.
Funds and funding mechanisms

Article 11

1.   Without prejudice to Articles 87 and 88 of the Treaty, Member States may establish a fund or funds to subsidise the delivery of energy efficiency improvement programmes and other energy efficiency improvement measures and to promote the development of a market for energy efficiency improvement measures. Such measures shall include the promotion of energy auditing, financial instruments for energy savings and, where appropriate, improved metering and informative billing. The funds shall also target end-use sectors with higher transaction costs and higher risks.

2.   If established, the funds may provide for grants, loans, financial guarantees and/or other types of financing that guarantee results.

3.   The funds shall be open to all providers of energy efficiency improvement measures, such as ESCOs, independent energy advisors, energy distributors, distribution system operators, retail energy sales companies and installers. Member States may decide to open the funds to all final customers. Tendering or equivalent methods which ensure complete transparency shall be carried out in full compliance with applicable public procurement regulations. Member States shall ensure that such funds complement, and do not compete with, commercially-financed energy efficiency improvement measures.
Energy audits

Article 12

1.   Member States shall ensure the availability of efficient, high-quality energy audit schemes which are designed to identify potential energy efficiency improvement measures and which are carried out in an independent manner, to all final consumers, including smaller domestic, commercial and small and medium-sized industrial customers.

2.   Market segments that have higher transaction costs and non-complex facilities may be reached by other measures such as questionnaires and computer programmes made available on the Internet and/or sent to customers by mail. Member States shall ensure the availability of energy audits for market segments where they are not sold commercially, taking into account Article 11(1).

3.   Certification in accordance with Article 7 of Directive 2002/91/EC of the European Parliament and of the Council of 16 December 2002 on the energy performance of buildings(15)shall be regarded as equivalent to an energy audit meeting the requirements set out in paragraphs 1 and 2 of this Article and as equivalent to an energy audit as referred to in Annex VI(e) to this Directive. Furthermore, audits resulting from schemes based on voluntary agreements between organisations of stakeholders and an appointed body, supervised and followed up by the Member State concerned in accordance with Article 6(2)(b) of this Directive, shall likewise be considered as having fulfilled the requirements set out in paragraphs 1 and 2 of this Article.
Metering and informative billing of energy consumption

Article 13

1.   Member States shall ensure that, in so far as it is technically possible, financially reasonable and proportionate in relation to the potential energy savings, final customers for electricity, natural gas, district heating and/or cooling and domestic hot water are provided with competitively priced individual meters that accurately reflect the final customer’s actual energy consumption and that provide information on actual time of use.

When an existing meter is replaced, such competitively priced individual meters shall always be provided, unless this is technically impossible or not cost-effective in relation to the estimated potential savings in the long term. When a new connection is made in a new building or a building undergoes major renovations, as set out in Directive 2002/91/EC, such competitively priced individual meters shall always be provided.

2.   Member States shall ensure that, where appropriate, billing performed by energy distributors, distribution system operators and retail energy sales companies is based on actual energy consumption, and is presented in clear and understandable terms. Appropriate information shall be made available with the bill to provide final customers with a comprehensive account of current energy costs. Billing on the basis of actual consumption shall be performed frequently enough to enable customers to regulate their own energy consumption.

3.   Member States shall ensure that, where appropriate, the following information is made available to final customers in clear and understandable terms by energy distributors, distribution system operators or retail energy sales companies in or with their bills, contracts, transactions, and/or receipts at distribution stations:

(a)

current actual prices and actual consumption of energy;

(b)

comparisons of the final customer’s current energy consumption with consumption for the same period in the previous year, preferably in graphic form;

(c)

wherever possible and useful, comparisons with an average normalised or benchmarked user of energy in the same user category;

(d)

contact information for consumers’ organisations, energy agencies or similar bodies, including website addresses, from which information may be obtained on available energy efficiency improvement measures, comparative end-user profiles and/or objective technical specifications for energy-using equipment.
Reports

Article 14

1.   Member States that already use, for whatever purpose, calculation methods for measuring energy savings similar to those described in Annex IV at the time of the entry into force of this Directive may submit information at the appropriate level of detail to the Commission. Such submissions shall take place as soon as possible, preferably not later than 17 November 2006. This information will enable the Commission to take due account of existing practices.

2.   Member States shall submit to the Commission the following EEAPs:

—

a first EEAP not later than 30 June 2007;

—

a second EEAP not later than 30 June 2011;

—

a third EEAP not later than 30 June 2014.

All EEAPs shall describe the energy efficiency improvement measures planned to reach the targets set out in Article 4(1) and (2), as well as to comply with the provisions on the exemplary role of the public sector and provision of information and advice to final customers set out in Articles 5(1) and 7(2) respectively.

The second and third EEAPs shall:

—

include a thorough analysis and evaluation of the preceding EEAP;

—

include the final results with regard to the fulfilment of the energy savings targets set out in Article 4(1) and (2);

—

include plans for — and information on the anticipated effects of — additional measures which address any existing or expected shortfall vis-à-vis the target;

—

in accordance with Article 15(4), use and gradually increase the use of harmonised efficiency indicators and benchmarks, both for the evaluation of past measures and estimated effects of planned future measures;

—

be based on available data, supplemented with estimates.

3.   Not later than 17 May 2008, the Commission shall publish a cost/benefit impact assessment examining the linkages between EU standards, regulations, policies and measures on end‐use energy efficiency.

4.   The EEAPs shall be assessed in accordance with the procedure referred to in Article 16(2):

—

the first EEAPs shall be reviewed before 1 January 2008;

—

the second EEAPs shall be reviewed before 1 January 2012;

—

the third EEAPs shall be reviewed before 1 January 2015.

5.   On the basis of the EEAPs, the Commission shall assess the extent to which Member States have made progress towards achieving their national indicative energy savings targets. The Commission shall publish reports with its conclusions:

—

on the first EEAPs before 1 January 2008;

—

on the second EEAPs before 1 January 2012;

—

on the third EEAPs before 1 January 2015.

These reports shall include information on related action at Community level, including legislation currently in force and future legislation. The reports shall take into account the benchmarking system referred to in Article 15(4), identify best practices, identify cases where Member States and/or the Commission are not making enough progress, and may contain recommendations.

The second report shall be followed, as appropriate and where necessary, by proposals to the European Parliament and to the Council for additional measures including a possible extension of the period of application of targets. If the report concludes that insufficient progress has been made towards achieving the national indicative targets, these proposals shall address the level and nature of the targets.
Review and adaptation of the framework

Article 15

1.   The values and calculation methods referred to in Annexes II, III, IV and V shall be adapted to technical progress in accordance with the procedure referred to in Article 16(2).

2.   Before 1 January 2008, the Commission, in accordance with the procedure referred to in Article 16(2), shall further refine and complement as required points 2 to 6 of Annex IV, whilst respecting the general framework set out in Annex IV.

3.   Before 1 January 2012, the Commission, in accordance with the procedure referred to in Article 16(2), shall raise the percentage of harmonised bottom-up calculations used in the harmonised calculation model referred to in point 1 of Annex IV, without prejudice to those Member State schemes that already use a higher percentage. The new harmonised calculation model with a significantly higher percentage of bottom-up calculations shall first be used as from 1 January 2012.

Wherever practicable and possible, the measurement of total savings over the total period of application of the Directive shall use this harmonised calculation model, without prejudice to those Member State schemes that use a higher percentage of bottom-up calculations.

4.   Not later than 30 June 2008, the Commission, in accordance with the procedure set out in Article 16(2), shall develop a set of harmonised energy efficiency indicators and benchmarks based upon them, taking into account available data or data that can be collected in a cost-effective manner for each Member State. For the development of these harmonised energy efficiency indicators and benchmarks the Commission shall use as a reference guide the indicative list set out in Annex V. Member States shall gradually integrate these indicators and benchmarks into the statistical data included in their EEAPs as referred to in Article 14, and use them as one of the tools at their disposal to decide on future priority areas in the EEAPs.

Not later than 17 May 2011, the Commission shall present to the European Parliament and the Council a report on the progress in setting indicators and benchmarks.
Committee

Article 16

1.   The Commission shall be assisted by a Committee.

2.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3.   The Committee shall adopt its rules of procedure.
Repeal

Article 17

Directive 93/76/EEC is hereby repealed.
Transposition

Article 18

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive not later than 17 May 2008, with the exception of the provisions of Article 14(1), (2) and (4), for which the date of transposition shall be, at the latest 17 May 2006. They shall forthwith inform the Commission thereof.

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

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

Article 19

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

Article 20

This Directive is addressed to the Member States.
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 175(1) thereof,

Having regard to the proposal from the Commission,

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

Having regard to the opinion of the Committee of the Regions(2),

Acting in accordance with the procedure laid down in Article 251 of the Treaty(3),

(1) In the Community there is a need for improved energy end-use efficiency, managed demand for energy and promotion of the production of renewable energy, as there is relatively limited scope for any other influence on energy supply and distribution conditions in the short to medium term, either through the building of new capacity or through the improvement of transmission and distribution. This Directive thus contributes to improved security of supply.

(2) Improved energy end-use efficiency will also contribute to the reduction of primary energy consumption, to the mitigation of CO2 and other greenhouse gas emissions and thereby to the prevention of dangerous climate change. These emissions continue to increase, making it more and more difficult to meet the Kyoto commitments. Human activities attributed to the energy sector cause as much as 78 % of the Community greenhouse gas emissions. The Sixth Community Environment Action Programme, laid down by Decision No1600/2002/EC of the European Parliament and of the Council(4), envisages that further reductions are required to achieve the United Nations Framework Convention on Climate Change long-term objective of stabilising greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system. Therefore, concrete policies and measures are necessary.

(3) Improved energy end-use efficiency will make it possible to exploit potential cost-effective energy savings in an economically efficient way. Energy efficiency improvement measures could realise these energy savings and thus help the Community reduce its dependence on energy imports. Furthermore, a move towards more energy-efficient technologies can boost the Community’s innovativeness and competitiveness as underlined in the Lisbon strategy.

(4) The Communication from the Commission on the implementation of the first phase of the European Climate Change Programme listed a directive on energy demand management as one of the priority climate change measures to be taken at Community level.

(5) This Directive is consistent with Directive 2003/54/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in electricity(5)and with Directive 2003/55/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in natural gas(6), which provide for the possibility of using energy efficiency and demand-side management as alternatives to new supply and for environmental protection, allowing Member State authorities,inter alia, to tender for new capacity or to opt for energy efficiency and demand-side measures, including systems for white certificates.

(6) This Directive is without prejudice to Article 3 of Directive 2003/54/EC, which requires that Member States ensure that all household customers and, where Member States deem it appropriate, small enterprises, enjoy universal service, that is the right to be supplied with electricity of a specified quality within their territory at reasonable, easily and clearly comparable, and transparent prices.

(7) The aim of this Directive is not only to continue to promote the supply side of energy services, but also to create stronger incentives for the demand side. The public sector in each Member State should thus set a good example regarding investments, maintenance and other expenditure on energy-using equipment, energy services and other energy efficiency improvement measures. Therefore, the public sector should be encouraged to integrate energy efficiency improvement considerations into its investments, depreciation allowances and operating budgets. Furthermore, the public sector should endeavour to use energy efficiency criteria in tendering procedures for public procurement, a practice allowed under Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors(7),and Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts(8), the principle of which was confirmed by the judgment of 17 September 2002 of the Court of Justice in Case C-513/99(9). In view of the fact that administrative structures vary widely between Member States, the different types of measures which the public sector may take should be taken at the appropriate national, regional and/or local level.

(8) There is a large variety of ways in which the public sector can fulfil its exemplary role: besides the applicable measures listed in Annex III and VI, the public sector may, for example, initiate energy-efficiency pilot projects and stimulate energy-efficient behaviour of employees. In order to achieve the desired multiplier effect, a number of such actions should be communicated in an effective way to individual citizens and/or to companies, whilst emphasising the cost benefits.

(9) The liberalisation of the retail markets for final customers for electricity, natural gas, coal and lignite, heating, and in some cases even district heating and cooling, has almost exclusively led to improved efficiency and lower costs on the energy generation, transformation and distribution side. This liberalisation has not led to significant competition in products and services which could have resulted in improved energy efficiency on the demand side.

(10) In its Resolution of 7 December 1998 on energy efficiency in the European Community(10), the Council endorsed a target for the Community as a whole to improve energy intensity of final consumption by an additional one percentage point per annum up to the year 2010.

(11) Member States should therefore adopt national indicative targets to promote energy end‐use efficiency and to ensure the continued growth and viability of the market for energy services, and thus contribute to the implementation of the Lisbon strategy. The adoption of national indicative targets to promote energy end-use efficiency provides effective synergy with other Community legislation that will, when applied, contribute to the achievement of those national targets.

(12) This Directive requires action to be undertaken by the Member States, with the fulfilment of its objectives depending on the effects that such action has on the final consumers of energy. The end result of Member States’ action is dependent on many external factors which influence the behaviour of consumers as regards their energy use and their willingness to implement energy saving methods and use energy saving devices. Therefore, even though Member States commit themselves to making efforts to achieve the target figure of 9 %, the national energy savings target is indicative in nature and entails no legally enforceable obligation for Member States to achieve it.

(13) In aiming to achieve their national indicative target, Member States may set themselves a target higher than 9 %.

(14) The improvement of energy efficiency will benefit from an exchange of information, experience and best practice at all levels, including, in particular, the public sector. Therefore, Member States should list measures undertaken in the context of this Directive, and review their effect as far as possible, in energy efficiency action plans.

(15) When striving for energy efficiency on the basis of technological, behavioural and/or economic changes, substantial negative environmental impact should be avoided, and social priorities should be respected.

(16) The funding of supply and the costs of the demand side have an important role to play in energy services. The creation of funds to subsidise the implementation of energy efficiency programmes and other energy efficiency improvement measures and to promote the development of a market for energy services can constitute an appropriate tool for the provision of non-discriminatory start-up funding in such a market.

(17) Improved energy end-use efficiency can be achieved by increasing the availability of and demand for energy services or by other energy efficiency improvement measures.

(18) In order to realise the energy savings potential in certain market segments where energy audits are generally not sold commercially, such as households, Member States should ensure the availability of energy audits.

(19) The Council Conclusions of 5 December 2000 list the promotion of energy services through the development of a Community strategy as a priority area for action to improve energy efficiency.

(20) Energy distributors, distribution system operators and retail energy sales companies can improve energy efficiency in the Community if the energy services they market include efficient end-use, such as indoor thermal comfort, domestic hot water, refrigeration, product manufacturing, illumination and motive power. Profit maximisation for energy distributors, distribution system operators and retail energy sales companies thus becomes more closely related to selling energy services to as many customers as possible than to selling as much energy as possible to each customer. Member States should endeavour to avoid any distortion of competition in this area, in order to guarantee a level playing field between all energy service providers; they can, however, delegate this task to the national regulator.

(21) Taking full account of the national organisation of market actors in the energy sector and in order to favour the implementation of energy services and of the measures to improve energy efficiency provided for in this Directive, Member States should have the option of making it compulsory for energy distributors, distribution system operators or retail energy sales companies or, where appropriate, for two or all of these market actors, to provide such services and to participate in such measures.

(22) The use of third-party financing arrangements is an innovate practice that should be stimulated. In these, the beneficiary avoids investment costs by using part of the financial value of energy savings that result from the third party’s investment to repay the third party’s investment and interest costs.

(23) With a view to making tariffs and other regulations for net-bound energy more conducive to efficient energy end-use, unjustifiable volume-driving incentives should be removed.

(24) The promotion of the market for energy services can be achieved by a variety of means, including non-financial ones.

(25) The energy services, energy efficiency improvement programmes and other energy efficiency improvement measures put into effect to reach the energy savings target may be supported and/or implemented through voluntary agreements between stakeholders and public sector bodies appointed by the Member States.

(26) The voluntary agreements which are covered by this Directive should be transparent and contain, where applicable, information on at least the following issues: quantified and staged objectives, monitoring and reporting.

(27) The motor fuel and transport sectors have an important role to play regarding energy efficiency and energy savings.

(28) In defining energy efficiency improvement measures, account should be taken of efficiency gains obtained through the widespread use of cost-effective technological innovations, for instance electronic metering. In the context of this Directive, competitively priced individual meters include accurate calorimeters.

(29) In order to enable final consumers to make better-informed decisions as regards their individual energy consumption, they should be provided with a reasonable amount of information thereon and with other relevant information, such as information on available energy efficiency improvement measures, comparative final consumer profiles or objective technical specifications for energy-using equipment, which may include ‘Factor Four’ or similar equipment. It is recalled that some such valuable information should already be made available to final customers under Article 3(6) of Directive 2003/54/EC. In addition, consumers should be actively encouraged to check their own meter readings regularly.

(30) All types of information relating to energy-efficiency should be widely disseminated in an appropriate form, including through billing, to relevant target audiences. This can include information on financial and legal frameworks, communication and promotion campaigns, and the widespread exchange of best practice at all levels.

(31) With the adoption of this Directive, all substantive provisions of Council Directive 93/76/EEC of 13 September 1993 to limit carbon dioxide emissions by improving energy efficiency (SAVE)(11)are covered by other Community legislation and therefore Directive 93/76/EEC should be repealed.

(32) Since the objectives of this Directive, namely to promote energy end-use efficiency and to develop a market for energy services, cannot be sufficiently achieved by the Member States and can be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

(33) The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(12),

HAVE ADOPTED THIS DIRECTIVE:
PurposeThe purpose of this Directive is to enhance the cost-effective improvement of energy end-use efficiency in the Member States by:

(a)

providing the necessary indicative targets as well as mechanisms, incentives and institutional, financial and legal frameworks to remove existing market barriers and imperfections that impede the efficient end use of energy;

(b)

creating the conditions for the development and promotion of a market for energy services and for the delivery of other energy efficiency improvement measures to final consumers.
ScopeThis Directive shall apply to:

(a)

providers of energy efficiency improvement measures, energy distributors, distribution system operators and retail energy sales companies. However, Member States may exclude small distributors, small distribution system operators and small retail energy sales companies from the application of Articles 6 and 13;

(b)

final customers. However, this Directive shall not apply to those undertakings involved in categories of activities listed in Annex I to Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community(13);

(c)

the armed forces, only to the extent that its application does not cause any conflict with the nature and primary aim of the activities of the armed forces and with the exception of material used exclusively for military purposes.
DefinitionsFor the purposes of this Directive, the following definitions shall apply:

(a)

‘energy’: all forms of commercially available energy, including electricity, natural gas (including liquefied natural gas), liquefied petroleum gas, any fuel for heating and cooling (including district heating and cooling), coal and lignite, peat, transport fuels (excluding aviation and maritime bunker fuels) and biomass as defined in Directive 2001/77/EC of the European Parliament and of the Council of 27 September 2001 on the promotion of electricity produced from renewable energy sources in the internal electricity market(14);

(b)

‘energy efficiency’: a ratio between an output of performance, service, goods or energy, and an input of energy;

(c)

‘energy efficiency improvement’: an increase in energy end-use efficiency as a result of technological, behavioural and/or economic changes;

(d)

‘energy savings’: an amount of saved energy determined by measuring and/or estimating consumption before and after implementation of one or more energy efficiency improvement measures, whilst ensuring normalisation for external conditions that affect energy consumption;

(e)

‘energy service’: the physical benefit, utility or good derived from a combination of energy with energy efficient technology and/or with action, which may include the operations, maintenance and control necessary to deliver the service, which is delivered on the basis of a contract and in normal circumstances has proven to lead to verifiable and measurable or estimable energy efficiency improvement and/or primary energy savings;

(f)

‘energy efficiency mechanisms’: general instruments used by governments or government bodies to create a supportive framework or incentives for market actors to provide and purchase energy services and other energy efficiency improvement measures;

(g)

‘energy efficiency improvement programmes’: activities that focus on groups of final customers and that normally lead to verifiable and measurable or estimable energy efficiency improvement;

(h)

‘energy efficiency improvement measures’: all actions that normally lead to verifiable and measurable or estimable energy efficiency improvement;

(i)

‘energy service company’ (ESCO): a natural or legal person that delivers energy services and/or other energy efficiency improvement measures in a user’s facility or premises, and accepts some degree of financial risk in so doing. The payment for the services delivered is based (either wholly or in part) on the achievement of energy efficiency improvements and on the meeting of the other agreed performance criteria;

(j)

‘energy performance contracting’: a contractual arrangement between the beneficiary and the provider (normally an ESCO) of an energy efficiency improvement measure, where investments in that measure are paid for in relation to a contractually agreed level of energy efficiency improvement;

(k)

‘third-party financing’: a contractual arrangement involving a third party — in addition to the energy supplier and the beneficiary of the energy efficiency improvement measure — that provides the capital for that measure and charges the beneficiary a fee equivalent to a part of the energy savings achieved as a result of the energy efficiency improvement measure. That third party may or may not be an ESCO;

(l)

‘energy audit’: a systematic procedure to obtain adequate knowledge of the existing energy consumption profile of a building or group of buildings, of an industrial operation and/or installation or of a private or public service, identify and quantify cost‐effective energy savings opportunities, and report the findings;

(m)

‘financial instruments for energy savings’: all financial instruments such as funds, subsidies, tax rebates, loans, third-party financing, energy performance contracting, guarantee of energy savings contracts, energy outsourcing and other related contracts that are made available to the market place by public or private bodies in order to cover partly or totally the initial project cost for implementing energy efficiency improvement measures;

(n)

‘final customer’: a natural or legal person that purchases energy for his own end use;

(o)

‘energy distributor’: a natural or legal person responsible for transporting energy with a view to its delivery to final customers and to distribution stations that sell energy to final customers. This definition excludes electricity and natural gas distribution system operators, covered in point (p);

(p)

‘distribution system operator’: a natural or legal person responsible for operating, ensuring the maintenance of and, if necessary, developing the distribution system of electricity or natural gas in a given area and, where applicable, its interconnections with other systems, and for ensuring the long term ability of the system to meet reasonable demands for the distribution of electricity or natural gas;

(q)

‘retail energy sales company’: a natural or legal person that sells energy to final customers;

(r)

‘small distributor, small distribution system operator and small retail energy sales company’: a natural or legal person that distributes or sells energy to final customers, and that distributes or sells less than the equivalent of 75 GWh energy per year or employs fewer than 10 persons or whose annual turnover and/or annual balance sheet total does not exceed EUR 2 000 000;

(s)

‘white certificates’: certificates issued by independent certifying bodies confirming the energy savings claims of market actors as a consequence of energy efficiency improvement measures.
General target1.   Member States shall adopt and aim to achieve an overall national indicative energy savings target of 9 % for the ninth year of application of this Directive, to be reached by way of energy services and other energy efficiency improvement measures. Member States shall take cost-effective, practicable and reasonable measures designed to contribute towards achieving this target.

This national indicative energy savings target shall be set and calculated in accordance with the provisions and methodology set out in Annex I. For purposes of comparison of energy savings and for conversion to a comparable unit, the conversion factors set out in Annex II shall apply unless the use of other conversion factors can be justified. Examples of eligible energy efficiency improvement measures are given in Annex III. A general framework for the measurement and verification of energy savings is given in Annex IV. The national energy savings in relation to the national indicative energy savings target shall be measured as from 1 January 2008.

2.   For the purpose of the first Energy Efficiency Action Plan (EEAP) to be submitted in accordance with Article 14, each Member State shall establish an intermediate national indicative energy savings target for the third year of application of this Directive, and provide an overview of its strategy for the achievement of the intermediate and overall targets. This intermediate target shall be realistic and consistent with the overall national indicative energy savings target referred to in paragraph 1.

The Commission shall give an opinion on whether the intermediate national indicative target appears realistic and consistent with the overall target.

3.   Each Member State shall draw up programmes and measures to improve energy efficiency.

4.   Member States shall assign to one or more new or existing authorities or agencies the overall control and responsibility for overseeing the framework set up in relation to the target mentioned in paragraph 1. These bodies shall thereafter verify the energy savings as a result of energy services and other energy efficiency improvement measures, including existing national energy efficiency improvement measures, and report the results.

5.   After having reviewed and reported on the first three years of application of this Directive, the Commission shall examine whether it is appropriate to come forward with a proposal for a directive to further develop the market approach in energy efficiency improvement by means of white certificates.
Energy end-use efficiency in the public sector1.   Member States shall ensure that the public sector fulfils an exemplary role in the context of this Directive. To this end, they shall communicate effectively the exemplary role and actions of the public sector to citizens and/or companies, as appropriate.

Member States shall ensure that energy efficiency improvement measures are taken by the public sector, focussing on cost-effective measures which generate the largest energy savings in the shortest span of time. Such measures shall be taken at the appropriate national, regional and/or local level, and may consist of legislative initiatives and/or voluntary agreements, as referred to in Article 6(2)(b), or other schemes with an equivalent effect. Without prejudice to national and Community public procurement legislation:

—

at least two measures shall be used from the list set out in Annex VI;

—

Member States shall facilitate this process by publishing guidelines on energy efficiency and energy savings as a possible assessment criterion in competitive tendering for public contracts.

Member States shall facilitate and enable the exchange of best practices between public sector bodies, for example on energy-efficient public procurement practices, both at the national and international level; to this end, the organisation referred to in paragraph 2 shall cooperate with the Commission with regard to the exchange of best practice as referred to in Article 7(3).

2.   Member States shall assign to a new or existing organisation or organisations the administrative, management and implementing responsibility for the integration of energy efficiency improvement requirements as set out in paragraph 1. These may be the same authorities or agencies as those referred to in Article 4(4).
Energy distributors, distribution system operators and retail energy sales companies1.   Member States shall ensure that energy distributors, distribution system operators and/or retail energy sales companies:

(a)

provide on request, but not more than once a year, aggregated statistical information on their final customers to the authorities or agencies referred to in Article 4(4) or to another designated body, provided that the latter in turn transmits to the former the information received. This information must be sufficient to properly design and implement energy efficiency improvement programmes, and to promote and monitor energy services and other energy efficiency improvement measures. It may include historical information and must include current information on end-user consumption, including, where applicable, load profiles, customer segmentation and geographical location of customers, while preserving the integrity and confidentiality of information that is either of private character or commercially sensitive, in compliance with applicable Community legislation;

(b)

refrain from any activities that might impede the demand for and delivery of energy services and other energy efficiency improvement measures, or hinder the development of markets for energy services and other energy efficiency improvement measures. The Member State concerned shall take the necessary measures to bring such activities to an end where they occur.

2.   Member States shall:

(a)

choose one or more of the following requirements to be complied with by energy distributors, distribution system operators and/or retail energy sales companies, directly and/or indirectly through other providers of energy services or energy efficiency improvement measures:

(i)

ensure the offer to their final customers, and the promotion, of competitively priced energy services; or

(ii)

ensure the availability to their final customers, and the promotion, of competitively-priced energy audits conducted in an independent manner and/or energy efficiency improvement measures, in accordance with Article 9(2) and Article 12; or

(iii)

contribute to the funds and funding mechanisms referred to in Article 11. The level of such contributions shall as a minimum correspond to the estimated costs of offering any of the activities referred to in this paragraph and shall be agreed with the authorities or agencies referred to in Article 4(4); and/or

(b)

ensure that voluntary agreements and/or other market-oriented schemes, such as white certificates, with an effect equivalent to one or more of the requirements referred to in point (a) exist or are set up. Voluntary agreements shall be assessed, supervised and followed up by the Member State in order to ensure that they have in practice an effect equivalent to one or more of the requirements referred to in point (a).

To that end, the voluntary agreements shall have clear and unambiguous objectives, and monitoring and reporting requirements linked to procedures that can lead to revised and/or additional measures when the objectives are not achieved or are not likely to be achieved. With a view to ensuring transparency, the voluntary agreements shall be made available to the public and published prior to application to the extent that applicable confidentiality provisions allow, and contain an invitation for stakeholders to comment.

3.   Member States shall ensure that there are sufficient incentives, equal competition and level playing fields for market actors other than energy distributors, distribution system operators and retail energy sales companies, such as ESCOs, installers, energy advisors and energy consultants, to independently offer and implement the energy services, energy audits and energy efficiency improvement measures described in paragraph 2(a)(i) and (ii).

4.   Under paragraphs 2 and 3, Member States may place responsibilities on distribution system operators only if this is consistent with the requirements relating to the unbundling of accounts laid down in Article 19(3) of Directive 2003/54/EC and in Article 17(3) of Directive 2003/55/EC.

5.   The implementation of this Article shall be without prejudice to derogations or exemptions granted under Directives 2003/54/EC and 2003/55/EC.
Availability of information1.   Member States shall ensure that information on energy efficiency mechanisms and financial and legal frameworks adopted with the aim of reaching the national indicative energy savings target is transparent and widely disseminated to the relevant market actors.

2.   Member States shall ensure that greater efforts are made to promote energy end-use efficiency. They shall establish appropriate conditions and incentives for market operators to provide more information and advice to final customers on energy end-use efficiency.

3.   The Commission shall ensure that information on best energy-saving practices in Member States is exchanged and widely disseminated.
Availability of qualification, accreditation and certification schemesWith a view to achieving a high level of technical competence, objectivity and reliability, Member States shall ensure, where they deem it necessary, the availability of appropriate qualification, accreditation and/or certification schemes for providers of energy services, energy audits and energy efficiency improvement measures as referred to in Article 6(2)(a) (i) and (ii).
Financial instruments for energy savings1.   Member States shall repeal or amend national legislation and regulations, other than those of a clearly fiscal nature, that unnecessarily or disproportionately impede or restrict the use of financial instruments for energy savings in the market for energy services or other energy efficiency improvement measures.

2.   Member States shall make model contracts for those financial instruments available to existing and potential purchasers of energy services and other energy efficiency improvement measures in the public and private sectors. These may be issued by the authority or agency referred to in Article 4(4).
Energy efficient tariffs and other regulations for net-bound energy1.   Member States shall ensure the removal of those incentives in transmission and distribution tariffs that unnecessarily increase the volume of distributed or transmitted energy. In this respect, in accordance with Article 3(2) of Directive 2003/54/EC and with Article 3(2) of Directive 2003/55/EC, Member States may impose public service obligations relating to energy efficiency on undertakings operating in the electricity and gas sectors respectively.

2.   Member States may permit components of schemes and tariff structures with a social aim, provided that any disruptive effects on the transmission and distribution system are kept to the minimum necessary and are not disproportionate to the social aim.
Funds and funding mechanisms1.   Without prejudice to Articles 87 and 88 of the Treaty, Member States may establish a fund or funds to subsidise the delivery of energy efficiency improvement programmes and other energy efficiency improvement measures and to promote the development of a market for energy efficiency improvement measures. Such measures shall include the promotion of energy auditing, financial instruments for energy savings and, where appropriate, improved metering and informative billing. The funds shall also target end-use sectors with higher transaction costs and higher risks.

2.   If established, the funds may provide for grants, loans, financial guarantees and/or other types of financing that guarantee results.

3.   The funds shall be open to all providers of energy efficiency improvement measures, such as ESCOs, independent energy advisors, energy distributors, distribution system operators, retail energy sales companies and installers. Member States may decide to open the funds to all final customers. Tendering or equivalent methods which ensure complete transparency shall be carried out in full compliance with applicable public procurement regulations. Member States shall ensure that such funds complement, and do not compete with, commercially-financed energy efficiency improvement measures.
Energy audits1.   Member States shall ensure the availability of efficient, high-quality energy audit schemes which are designed to identify potential energy efficiency improvement measures and which are carried out in an independent manner, to all final consumers, including smaller domestic, commercial and small and medium-sized industrial customers.

2.   Market segments that have higher transaction costs and non-complex facilities may be reached by other measures such as questionnaires and computer programmes made available on the Internet and/or sent to customers by mail. Member States shall ensure the availability of energy audits for market segments where they are not sold commercially, taking into account Article 11(1).

3.   Certification in accordance with Article 7 of Directive 2002/91/EC of the European Parliament and of the Council of 16 December 2002 on the energy performance of buildings(15)shall be regarded as equivalent to an energy audit meeting the requirements set out in paragraphs 1 and 2 of this Article and as equivalent to an energy audit as referred to in Annex VI(e) to this Directive. Furthermore, audits resulting from schemes based on voluntary agreements between organisations of stakeholders and an appointed body, supervised and followed up by the Member State concerned in accordance with Article 6(2)(b) of this Directive, shall likewise be considered as having fulfilled the requirements set out in paragraphs 1 and 2 of this Article.
Metering and informative billing of energy consumption1.   Member States shall ensure that, in so far as it is technically possible, financially reasonable and proportionate in relation to the potential energy savings, final customers for electricity, natural gas, district heating and/or cooling and domestic hot water are provided with competitively priced individual meters that accurately reflect the final customer’s actual energy consumption and that provide information on actual time of use.

When an existing meter is replaced, such competitively priced individual meters shall always be provided, unless this is technically impossible or not cost-effective in relation to the estimated potential savings in the long term. When a new connection is made in a new building or a building undergoes major renovations, as set out in Directive 2002/91/EC, such competitively priced individual meters shall always be provided.

2.   Member States shall ensure that, where appropriate, billing performed by energy distributors, distribution system operators and retail energy sales companies is based on actual energy consumption, and is presented in clear and understandable terms. Appropriate information shall be made available with the bill to provide final customers with a comprehensive account of current energy costs. Billing on the basis of actual consumption shall be performed frequently enough to enable customers to regulate their own energy consumption.

3.   Member States shall ensure that, where appropriate, the following information is made available to final customers in clear and understandable terms by energy distributors, distribution system operators or retail energy sales companies in or with their bills, contracts, transactions, and/or receipts at distribution stations:

(a)

current actual prices and actual consumption of energy;

(b)

comparisons of the final customer’s current energy consumption with consumption for the same period in the previous year, preferably in graphic form;

(c)

wherever possible and useful, comparisons with an average normalised or benchmarked user of energy in the same user category;

(d)

contact information for consumers’ organisations, energy agencies or similar bodies, including website addresses, from which information may be obtained on available energy efficiency improvement measures, comparative end-user profiles and/or objective technical specifications for energy-using equipment.
Reports1.   Member States that already use, for whatever purpose, calculation methods for measuring energy savings similar to those described in Annex IV at the time of the entry into force of this Directive may submit information at the appropriate level of detail to the Commission. Such submissions shall take place as soon as possible, preferably not later than 17 November 2006. This information will enable the Commission to take due account of existing practices.

2.   Member States shall submit to the Commission the following EEAPs:

—

a first EEAP not later than 30 June 2007;

—

a second EEAP not later than 30 June 2011;

—

a third EEAP not later than 30 June 2014.

All EEAPs shall describe the energy efficiency improvement measures planned to reach the targets set out in Article 4(1) and (2), as well as to comply with the provisions on the exemplary role of the public sector and provision of information and advice to final customers set out in Articles 5(1) and 7(2) respectively.

The second and third EEAPs shall:

—

include a thorough analysis and evaluation of the preceding EEAP;

—

include the final results with regard to the fulfilment of the energy savings targets set out in Article 4(1) and (2);

—

include plans for — and information on the anticipated effects of — additional measures which address any existing or expected shortfall vis-à-vis the target;

—

in accordance with Article 15(4), use and gradually increase the use of harmonised efficiency indicators and benchmarks, both for the evaluation of past measures and estimated effects of planned future measures;

—

be based on available data, supplemented with estimates.

3.   Not later than 17 May 2008, the Commission shall publish a cost/benefit impact assessment examining the linkages between EU standards, regulations, policies and measures on end‐use energy efficiency.

4.   The EEAPs shall be assessed in accordance with the procedure referred to in Article 16(2):

—

the first EEAPs shall be reviewed before 1 January 2008;

—

the second EEAPs shall be reviewed before 1 January 2012;

—

the third EEAPs shall be reviewed before 1 January 2015.

5.   On the basis of the EEAPs, the Commission shall assess the extent to which Member States have made progress towards achieving their national indicative energy savings targets. The Commission shall publish reports with its conclusions:

—

on the first EEAPs before 1 January 2008;

—

on the second EEAPs before 1 January 2012;

—

on the third EEAPs before 1 January 2015.

These reports shall include information on related action at Community level, including legislation currently in force and future legislation. The reports shall take into account the benchmarking system referred to in Article 15(4), identify best practices, identify cases where Member States and/or the Commission are not making enough progress, and may contain recommendations.

The second report shall be followed, as appropriate and where necessary, by proposals to the European Parliament and to the Council for additional measures including a possible extension of the period of application of targets. If the report concludes that insufficient progress has been made towards achieving the national indicative targets, these proposals shall address the level and nature of the targets.
Review and adaptation of the framework1.   The values and calculation methods referred to in Annexes II, III, IV and V shall be adapted to technical progress in accordance with the procedure referred to in Article 16(2).

2.   Before 1 January 2008, the Commission, in accordance with the procedure referred to in Article 16(2), shall further refine and complement as required points 2 to 6 of Annex IV, whilst respecting the general framework set out in Annex IV.

3.   Before 1 January 2012, the Commission, in accordance with the procedure referred to in Article 16(2), shall raise the percentage of harmonised bottom-up calculations used in the harmonised calculation model referred to in point 1 of Annex IV, without prejudice to those Member State schemes that already use a higher percentage. The new harmonised calculation model with a significantly higher percentage of bottom-up calculations shall first be used as from 1 January 2012.

Wherever practicable and possible, the measurement of total savings over the total period of application of the Directive shall use this harmonised calculation model, without prejudice to those Member State schemes that use a higher percentage of bottom-up calculations.

4.   Not later than 30 June 2008, the Commission, in accordance with the procedure set out in Article 16(2), shall develop a set of harmonised energy efficiency indicators and benchmarks based upon them, taking into account available data or data that can be collected in a cost-effective manner for each Member State. For the development of these harmonised energy efficiency indicators and benchmarks the Commission shall use as a reference guide the indicative list set out in Annex V. Member States shall gradually integrate these indicators and benchmarks into the statistical data included in their EEAPs as referred to in Article 14, and use them as one of the tools at their disposal to decide on future priority areas in the EEAPs.

Not later than 17 May 2011, the Commission shall present to the European Parliament and the Council a report on the progress in setting indicators and benchmarks.
Committee1.   The Commission shall be assisted by a Committee.

2.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3.   The Committee shall adopt its rules of procedure.
RepealDirective 93/76/EEC is hereby repealed.
Transposition1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive not later than 17 May 2008, with the exception of the provisions of Article 14(1), (2) and (4), for which the date of transposition shall be, at the latest 17 May 2006. They shall forthwith inform the Commission thereof.

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

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
Entry into forceThis Directive shall enter into force on the 20th day following its publication in theOfficial Journal of the European Union.
AddresseesThis Directive is addressed to the Member States.
ANNEX IMethodology for calculating the national indicative energy savings targetThe methodology used for calculating the national indicative energy savings target set out in Article 4 shall be the following:
1. | Member States shall use the annual final inland energy consumption of all energy users within the scope of this Directive for the most recent five-year period previous to the implementation of this Directive for which official data are available, to calculate an annual average amount of consumption. This final energy consumption shall be the amount of energy distributed or sold to final customers during the five-year period, not adjusted for degree days, structural changes or production changes.On the basis of this annual average amount of consumption, the national indicative energy savings target shall be calculated once and the resulting absolute amount of energy to be saved applied for the total duration of this Directive.The national indicative energy savings target shall:(a)consist of 9 % of the annual average amount of consumption referred to above;(b)be measured after the ninth year of application of this Directive;(c)be the result of cumulative annual energy savings achieved throughout the nine-year application period of this Directive;(d)be reached by way of energy services and other energy efficiency improvement measures.This methodology for measuring energy savings ensures that the total energy savings prescribed by this Directive are a fixed amount, and thus independent of future GDP growth and of any future increase in energy consumption. | (a) | consist of 9 % of the annual average amount of consumption referred to above; | (b) | be measured after the ninth year of application of this Directive; | (c) | be the result of cumulative annual energy savings achieved throughout the nine-year application period of this Directive; | (d) | be reached by way of energy services and other energy efficiency improvement measures.

(a) | consist of 9 % of the annual average amount of consumption referred to above;

(b) | be measured after the ninth year of application of this Directive;

(c) | be the result of cumulative annual energy savings achieved throughout the nine-year application period of this Directive;

(d) | be reached by way of energy services and other energy efficiency improvement measures.

2. | The national indicative energy savings target shall be expressed in absolute terms in GWh, or equivalent, calculated in accordance with Annex II.

3. | Energy savings in a particular year following the entry into force of this Directive that result from energy efficiency improvement measures initiated in a previous year not earlier than 1995 and that have a lasting effect may be taken into account in the calculation of the annual energy savings. In certain cases, where circumstances can justify it, measures initiated before 1995 but not earlier than 1991 may be taken into account. Measures of a technological nature should either have been updated to take account of technological progress, or be assessed in relation to the benchmark for such measures. The Commission shall provide guidelines on how the effect of all such energy efficiency improving measures should be measured or estimated, based, wherever possible, on existing Community legislation, such as Directive 2004/8/EC of the European Parliament and of the Council of 11 February 2004 on the promotion of cogeneration based on a useful heat demand in the internal energy market(1)and Directive 2002/91/EC.In all cases, the resulting energy savings must still be verifiable and measurable or estimable, in accordance with the general framework in Annex IV.

(1)  

            OJ L 52, 21.2.2004, p. 50.
ANNEX IIEnergy content of selected fuels for end use — conversion table (1) 

Energy commodity | kJ (NCV) | kgoe (NCV) | kWh (NCV)

1 kg coke | 28 500 | 0,676 | 7,917

1 kg hard coal | 17 200  — 30 700 | 0,411  — 0,733 | 4,778  — 8,528

1 kg brown coal briquettes | 20 000 | 0,478 | 5,556

1 kg black lignite | 10 500  — 21 000 | 0,251  — 0,502 | 2,917  — 5,833

1 kg brown coal | 5 600  — 10 500 | 0,134  — 0,251 | 1,556  — 2,917

1 kg oil shale | 8 000  — 9 000 | 0,191  — 0,215 | 2,222  — 2,500

1 kg peat | 7 800  — 13 800 | 0,186  — 0,330 | 2,167  — 3,833

1 kg peat briquettes | 16 000  — 16 800 | 0,382  — 0,401 | 4,444  — 4,667

1 kg residual fuel oil (heavy oil) | 40 000 | 0,955 | 11,111

1 kg light fuel oil | 42 300 | 1,010 | 11,750

1 kg motor spirit (petrol) | 44 000 | 1,051 | 12,222

1 kg paraffin | 40 000 | 0,955 | 11,111

1 kg liquefied petroleum gas | 46 000 | 1,099 | 12,778

1 kg natural gas(2) | 47 200 | 1,126 | 13,10

1 kg liquefied natural gas | 45 190 | 1,079 | 12,553

1 kg wood (25 % humidity)(3) | 13 800 | 0,330 | 3,833

1 kg pellets/wood bricks | 16 800 | 0,401 | 4,667

1 kg waste | 7 400  — 10 700 | 0,177  — 0,256 | 2,056  — 2,972

1 MJ derived heat | 1 000 | 0,024 | 0,278

1 kWh electrical energy | 3 600 | 0,086 | 1(4)

Source:Eurostat.

(1)  Member States may apply different conversion factors if these can be justified.

(2)  93 % methane.

(3)  Member States may apply other values depending on the type of wood most used in the respective Member State.

(4)  For savings in kWh electricity Member States may apply a default co-efficient of 2,5 reflecting the estimated 40 % average EU generation efficiency during the target period. Member States may apply a different co-efficient provided they can justify it.
ANNEX IIIIndicative list of examples of eligible energy efficiency improvement measuresThis Annex provides examples of areas in which energy efficiency improvement programmes and other energy efficiency improvement measures may be developed and implemented in the context of Article 4.

To be taken into account, these energy efficiency improvement measures must result in energy savings that can be clearly measured and verified or estimated in accordance with the guidelines in Annex IV, and their impacts on energy savings must not already be counted in other specific measures. The following lists are not exhaustive but are intended to provide guidance.

Examples of eligible energy efficiency improvement measures:
 | Residential and tertiary sectors(a)heating and cooling (e.g. heat pumps, new efficient boilers, installation/efficient update of district heating/cooling systems);(b)insulation and ventilation (e.g. wall cavity and roof insulation, double/triple glazing of windows, passive heating and cooling);(c)hot water (e.g. installation of new devices, direct and efficient use in space heating, washing machines);(d)lighting (e.g. new efficient bulbs and ballasts, digital control systems, use of motion detectors for lighting systems in commercial buildings);(e)cooking and refrigeration (e.g. new efficient devices, heat recovery systems);(f)other equipment and appliances (e.g. combined heat and power appliances, new efficient devices, time control for optimised energy use, stand-by loss reduction, installation of capacitors to reduce reactive power, transformers with low losses);(g)domestic generation of renewable energy sources, whereby the amount of purchased energy is reduced (e.g. solar thermal applications, domestic hot water, solar-assisted space heating and cooling); | (a) | heating and cooling (e.g. heat pumps, new efficient boilers, installation/efficient update of district heating/cooling systems); | (b) | insulation and ventilation (e.g. wall cavity and roof insulation, double/triple glazing of windows, passive heating and cooling); | (c) | hot water (e.g. installation of new devices, direct and efficient use in space heating, washing machines); | (d) | lighting (e.g. new efficient bulbs and ballasts, digital control systems, use of motion detectors for lighting systems in commercial buildings); | (e) | cooking and refrigeration (e.g. new efficient devices, heat recovery systems); | (f) | other equipment and appliances (e.g. combined heat and power appliances, new efficient devices, time control for optimised energy use, stand-by loss reduction, installation of capacitors to reduce reactive power, transformers with low losses); | (g) | domestic generation of renewable energy sources, whereby the amount of purchased energy is reduced (e.g. solar thermal applications, domestic hot water, solar-assisted space heating and cooling);

(a) | heating and cooling (e.g. heat pumps, new efficient boilers, installation/efficient update of district heating/cooling systems);

(b) | insulation and ventilation (e.g. wall cavity and roof insulation, double/triple glazing of windows, passive heating and cooling);

(c) | hot water (e.g. installation of new devices, direct and efficient use in space heating, washing machines);

(d) | lighting (e.g. new efficient bulbs and ballasts, digital control systems, use of motion detectors for lighting systems in commercial buildings);

(e) | cooking and refrigeration (e.g. new efficient devices, heat recovery systems);

(f) | other equipment and appliances (e.g. combined heat and power appliances, new efficient devices, time control for optimised energy use, stand-by loss reduction, installation of capacitors to reduce reactive power, transformers with low losses);

(g) | domestic generation of renewable energy sources, whereby the amount of purchased energy is reduced (e.g. solar thermal applications, domestic hot water, solar-assisted space heating and cooling);

 | Industry sector(h)product manufacturing processes (e.g. more efficient use of compressed air, condensate and switches and valves, use of automatic and integrated systems, efficient stand-by modes);(i)motors and drives (e.g. increase in the use of electronic controls, variable speed drives, integrated application programming, frequency conversion, electrical motor with high efficiency);(j)fans, variable speed drives and ventilation (e.g. new devices/systems, use of natural ventilation);(k)demand response management (e.g. load management, peak shaving control systems);(l)high-efficiency cogeneration (e.g. combined heat and power appliances); | (h) | product manufacturing processes (e.g. more efficient use of compressed air, condensate and switches and valves, use of automatic and integrated systems, efficient stand-by modes); | (i) | motors and drives (e.g. increase in the use of electronic controls, variable speed drives, integrated application programming, frequency conversion, electrical motor with high efficiency); | (j) | fans, variable speed drives and ventilation (e.g. new devices/systems, use of natural ventilation); | (k) | demand response management (e.g. load management, peak shaving control systems); | (l) | high-efficiency cogeneration (e.g. combined heat and power appliances);

(h) | product manufacturing processes (e.g. more efficient use of compressed air, condensate and switches and valves, use of automatic and integrated systems, efficient stand-by modes);

(i) | motors and drives (e.g. increase in the use of electronic controls, variable speed drives, integrated application programming, frequency conversion, electrical motor with high efficiency);

(j) | fans, variable speed drives and ventilation (e.g. new devices/systems, use of natural ventilation);

(k) | demand response management (e.g. load management, peak shaving control systems);

(l) | high-efficiency cogeneration (e.g. combined heat and power appliances);

 | Transport sector(m)mode of travel used (e.g. promotion of energy-efficient vehicles, energy-efficient use of vehicles including tyre pressure adjustment schemes, energy efficiency devices and add-on devices for vehicles, fuel additives which improve energy efficiency, high-lubricity oils and low-resistance tyres);(n)modal shifts of travel (e.g. car free home/office transportation arrangements, car sharing, modal shifts from more energy-consuming modes of transport to less energy-consuming ones, per passenger-km or tonne-km);(o)car-free days; | (m) | mode of travel used (e.g. promotion of energy-efficient vehicles, energy-efficient use of vehicles including tyre pressure adjustment schemes, energy efficiency devices and add-on devices for vehicles, fuel additives which improve energy efficiency, high-lubricity oils and low-resistance tyres); | (n) | modal shifts of travel (e.g. car free home/office transportation arrangements, car sharing, modal shifts from more energy-consuming modes of transport to less energy-consuming ones, per passenger-km or tonne-km); | (o) | car-free days;

(m) | mode of travel used (e.g. promotion of energy-efficient vehicles, energy-efficient use of vehicles including tyre pressure adjustment schemes, energy efficiency devices and add-on devices for vehicles, fuel additives which improve energy efficiency, high-lubricity oils and low-resistance tyres);

(n) | modal shifts of travel (e.g. car free home/office transportation arrangements, car sharing, modal shifts from more energy-consuming modes of transport to less energy-consuming ones, per passenger-km or tonne-km);

(o) | car-free days;

 | Cross-sectoral measures(p)standards and norms that aim primarily at improving the energy efficiency of products and services, including buildings;(q)energy labelling schemes;(r)metering, intelligent metering systems such as individual metering instruments managed by remote, and informative billing;(s)training and education that lead to application of energy-efficient technology and/or techniques; | (p) | standards and norms that aim primarily at improving the energy efficiency of products and services, including buildings; | (q) | energy labelling schemes; | (r) | metering, intelligent metering systems such as individual metering instruments managed by remote, and informative billing; | (s) | training and education that lead to application of energy-efficient technology and/or techniques;

(p) | standards and norms that aim primarily at improving the energy efficiency of products and services, including buildings;

(q) | energy labelling schemes;

(r) | metering, intelligent metering systems such as individual metering instruments managed by remote, and informative billing;

(s) | training and education that lead to application of energy-efficient technology and/or techniques;

 | Horizontal measures(t)regulations, taxes etc. that have the effect of reducing energy end-use consumption;(u)focused information campaigns that promote energy efficiency improvement and energy efficiency improvement measures. | (t) | regulations, taxes etc. that have the effect of reducing energy end-use consumption; | (u) | focused information campaigns that promote energy efficiency improvement and energy efficiency improvement measures.

(t) | regulations, taxes etc. that have the effect of reducing energy end-use consumption;

(u) | focused information campaigns that promote energy efficiency improvement and energy efficiency improvement measures.
1.   Energy savings measurements and calculations and their normalisationANNEX IVGeneral framework for measurement and verification of energy savings1.1.   Measuring energy savingsGeneralIn measuring the realised energy savings as set out in Article 4 with a view to capturing the overall improvement in energy efficiency and to ascertaining the impact of individual measures, a harmonised calculation model which uses a combination of top-down and bottom-up calculation methods shall be used to measure the annual improvements in energy efficiency for the EEAPs referred to in Article 14.

In developing the harmonised calculation model in accordance with Article 15(2), the Committee shall aim to use, to the extent possible, data which are already routinely provided by Eurostat and/or the national statistical agencies.

Top-down calculationsA top-down calculation method means that the amount of energy savings is calculated using the national or larger-scale aggregated sectoral levels of energy savings as the starting point. Adjustments of the annual data are then made for extraneous factors such as degree days, structural changes, product mix, etc. to derive a measure that gives a fair indication of total energy efficiency improvement, as described in point 1.2. This method does not provide exact measurements at a detailed level nor does it show cause and effect relationships between measures and their resulting energy savings. However, it is usually simpler and less costly and is often referred to as ‘energy efficiency indicators’ because it gives an indication of developments.

In developing the top-down calculation method used in this harmonised calculation model, the Committee shall base its work, to the extent possible, on existing methodologies such as the ODEX model(1).

Bottom-up calculationsA bottom-up calculation method means that energy savings obtained through the implementation of a specific energy efficiency improvement measure are measured in kilowatt-hours (kWh), in Joules (J) or in kilogram oil equivalent (kgoe) and added to energy savings results from other specific energy efficiency improvement measures. The authorities or agencies referred to in Article 4(4) will ensure that double counting of energy savings, which results from a combination of energy efficiency improvement measures (including mechanisms), is avoided. For the bottom-up calculation method, data and methods referred to in points 2.1 and 2.2 may be used.

Before 1 January 2008, the Commission shall develop a harmonised bottom-up model. This model shall cover a level between 20 and 30 % of the annual final inland energy consumption for sectors falling within the scope of this Directive, subject to due consideration of the factors referred to in points (a), (b) and (c) below.

Until 1 January 2012, the Commission shall continue to develop this harmonised bottom-up model, which shall cover a significantly higher level of the annual final inland energy consumption for sectors falling within the scope of this Directive, subject to due consideration of the factors referred to in points (a), (b) and (c) below.

In the development of the harmonised bottom-up model, the Commission shall take the following factors into account and justify its decision accordingly:
(a) | experience with the harmonised calculation model during its first years of application;

(b) | expected potential increase in accuracy as a result of a larger share of bottom-up calculations;

(c) | estimated potential added cost and/or administrative burden.In developing this harmonised bottom-up model in accordance with Article 15(2), the Committee shall aim to use standardised methods which entail a minimum of administrative burden and cost, notably by using the measurement methods referred to in points 2.1 and 2.2 and by focusing on those sectors where the harmonised bottom-up model can be most cost efficiently applied.

Member States that so wish may use further bottom-up measurements in addition to the part prescribed by the harmonised bottom-up model subject to the agreement of the Commission, in accordance with the procedure referred to in Article 16(2), on the basis of a description of the methodology presented by the Member State concerned.

If bottom-up calculations are not available for certain sectors, top-down indicators or mixtures of top-down and bottom-up calculations shall be used in the reports to the Commission, subject to the agreement of the Commission, in accordance with the procedure referred to in Article 16(2). In particular, when assessing requests to this effect within the context of the first EEAP described in Article 14(2), the Commission shall demonstrate the appropriate flexibility. Some top-down calculations will be necessary to measure the impact of measures implemented after 1995 (and in certain cases as early as 1991) that continue to have impact.

1.2.   How energy savings measurements should be normalisedEnergy savings shall be determined by measuring and/or estimating consumption, before and after the implementation of the measure, while ensuring adjustment and normalisation for external conditions commonly affecting energy use. Conditions commonly affecting energy use may also differ over time. Such conditions may be the likely impact of one or several plausible factors, such as:
(a) | weather conditions, such as degree days;

(b) | occupancy levels;

(c) | opening hours for non-domestic buildings;

(d) | installed equipment intensity (plant throughput); product mix;

(e) | plant throughput, level of production, volume or added value, including changes in GDP level;

(f) | schedules for installation and vehicles;

(g) | relationship with other units.2.   Data and methods that may be used (measurability)Several methods for collecting data to measure and/or estimate energy savings exist. At the time of the evaluation of an energy service or energy efficiency improvement measure, it will often be impossible to rely only on measurements. A distinction is therefore made between methods measuring energy savings and methods estimating energy savings, where the latter is the more common practice.

2.1.   Data and methods based on measurementsBills from distribution companies or retailersMetered energy bills may form the basis for measurement for a representative period before the introduction of the energy efficiency improvement measure. These may then be compared to metered bills for the period after the introduction and use of the measure, also for a representative period of time. The findings should be compared to a control group (non-participation group) if possible or, alternatively, normalised as described in point 1.2.

Energy sales dataThe consumption of different types of energy (e.g. electricity, gas, heating oil) may be measured by comparing the sales data from the retailer or distributor obtained before the introduction of the energy efficiency improvement measures with the sales data from the time after the measure. A control group may be used or the data normalised.

Equipment and appliance sales dataPerformance of equipment and appliances may be calculated on the basis of information obtained directly from the manufacturer. Data on equipment and appliance sales can generally be obtained from the retailers. Special surveys and measurements may also be carried out. The accessible data can be checked against sales figures to determine the size of energy savings. When using this method, adjustment should be made for changes in the use of the equipment or appliance.

End-use load dataEnergy use of a building or facility can be fully monitored to record energy demand before and after the introduction of an energy efficiency improvement measure. Important relevant factors (e.g. production process, special equipment, heating installations) may be metered more closely.

2.2.   Data and methods based on estimatesSimple engineering estimated data: Non-inspectionSimple engineering estimated data calculation without on-site inspection is the most common method for obtaining data for measuring deemed energy savings. Data may be estimated using engineering principles, without using on-site data, but with assumptions based on equipment specifications, performance characteristics, operation profiles of measures installed and statistics, etc.

Enhanced engineering estimated data: InspectionEnergy data may be calculated on the basis of information obtained by an external expert during an audit of, or other type of visit to, one or several targeted sites. On this basis, more sophisticated algorithms/simulation models could be developed and be applied to a larger population of sites (e.g. buildings, facilities, vehicles). This type of measurement can often be used to complement and calibrate simple engineering estimated data.

3.   How to deal with uncertaintyAll the methods listed in point 2 may entail some degree of uncertainty. Uncertainty may derive from(2):
(a) | instrumentation errors: these typically occur because of errors in specifications given by the product manufacturer;

(b) | modelling errors: these typically refer to errors in the model used to estimate parameters for the data collected;

(c) | sampling errors: these typically refer to errors resulting from the fact that a sample of units was observed rather than the entire set of units under study.Uncertainty may also derive from planned and unplanned assumptions; these are typically associated with estimates, stipulations and/or the use of engineering data. The occurrence of errors is also related to the chosen system of data collection that is outlined in points 2.1 and 2.2. A further specification of uncertainty is advised.

Member States may choose to use the method of quantified uncertainty when reporting on the targets set out in this Directive. Quantified uncertainty shall then be expressed in a statistically meaningful way, declaring both accuracy and confidence level. For example, ‘the quantifiable error is found with 90 % confidence to be ± 20 %’.

If the method of quantified uncertainty is used, Member States are also to take into account that the acceptable level of uncertainty required in energy savings calculations is a function of the level of savings and the cost-effectiveness of decreasing uncertainty.

4.   Harmonised lifetimes of energy efficiency improvement measures in bottom-up calculationsSome energy efficiency improvement measures last for decades while other measures last for a shorter period of time. The list below gives some examples of the average lifetime of energy efficiency improvement measures:
Loft insulation of private dwellings | 30 years

Cavity wall insulation of private dwellings | 40 years

Glazing E to C rated (in m2) | 20 years

Boilers B to A rated | 15 years

Heating controls — upgrade with boiler replacement | 15 years

CFLs — retail | 16 years

Source: Energy Efficiency Commitment 2005 — 2008, UKTo ensure that all Member States apply the same lifetimes for similar measures, these lifetimes will be harmonised on a European level. The Commission, assisted by the Committee established under Article 16, shall therefore replace the above list with an agreed preliminary list of the average lifetime of different energy efficiency improvement measures not later than 17 November 2006.

5.   How to deal with multiplier effects of energy savings and how to avoid double counting in mixed top-down and bottom-up calculation methodsThe implementation of one energy efficiency improvement measure, e.g. hot water tank and pipe insulation in a building, or another measure with equivalent effect, may have future multiplier effects in the market, meaning that the market will implement a measure automatically without any further involvement from the authorities or agencies referred to in Article 4(4) or any private-sector energy services provider. A measure with multiplier potential would in most cases be more cost-effective than measures that need to be repeated on a regular basis. Member States shall estimate the energy savings potential of such measures including their multiplier effects and verify the total effects in an ex-post evaluation using indicators when appropriate.

With regard to the evaluation of horizontal measures, energy efficiency indicators may be used, provided that the way in which they would have developed without the horizontal measures can be determined. However, it must be possible to rule out, as far as possible, double counting with savings achieved through targeted energy efficiency programmes, energy services and other policy instruments. This applies particularly to energy or CO2taxes and information campaigns.

Corrections shall be made for double counting of energy savings. The use of matrices that enable the summation of impacts of measures is encouraged.

Potential energy savings resulting after the target period shall not be taken into account when Member States report on the overall target set out in Article 4. Measures that promote long-term market effects should in any case be encouraged and measures that have already resulted in multiplier energy savings effects should be taken into account when reporting on the targets set out in Article 4, provided they can be measured and verified using the guidance given in this Annex.

6.   How to verify energy savingsIf deemed cost-effective and necessary, the energy savings obtained through a specific energy service or other energy efficiency improvement measure shall be verified by a third party. This may be done by independent consultants, ESCOs or other market actors. The appropriate Member State authorities or agencies referred to in Article 4(4) may provide further instructions on this matter.

Sources: A European Ex-post Evaluation Guidebook for DSM and EE Service Programmes; IEA, INDEEP database; IPMVP, Volume 1 (Version March 2002).
(1)  ODYSSEE-MURE Project, SAVE Programme. Commission 2005.

(2)  A model for establishing a level of quantifiable uncertainty based on these three errors is given in Appendix B in the International Performance Measurement & Verification Protocol (IPMVP).
ANNEX VIndicative list of energy conversion markets and sub-markets for which benchmarks can be worked out:
1. | The market for household appliances/information technology and lighting:1.1.Kitchen appliances (white goods);1.2.Entertainment/information technology;1.3.Lighting. | 1.1. | Kitchen appliances (white goods); | 1.2. | Entertainment/information technology; | 1.3. | Lighting.

1.1. | Kitchen appliances (white goods);

1.2. | Entertainment/information technology;

1.3. | Lighting.

2. | The market for domestic heating technology:2.1.Heating;2.2.Hot-water provision;2.3.Air conditioning;2.4.Ventilation;2.5.Heat insulation;2.6.Windows. | 2.1. | Heating; | 2.2. | Hot-water provision; | 2.3. | Air conditioning; | 2.4. | Ventilation; | 2.5. | Heat insulation; | 2.6. | Windows.

2.1. | Heating;

2.2. | Hot-water provision;

2.3. | Air conditioning;

2.4. | Ventilation;

2.5. | Heat insulation;

2.6. | Windows.

3. | The market for industrial ovens.

4. | The market for motorised power in industry.

5. | The market for public-sector institutions:5.1.Schools/public administration;5.2.Hospitals;5.3.Swimming pools;5.4.Street lighting. | 5.1. | Schools/public administration; | 5.2. | Hospitals; | 5.3. | Swimming pools; | 5.4. | Street lighting.

5.1. | Schools/public administration;

5.2. | Hospitals;

5.3. | Swimming pools;

5.4. | Street lighting.

6. | The market for transport services.
ANNEX VIList of eligible energy efficient public procurement measuresWithout prejudice to national and Community public procurement legislation, Member States shall ensure that the public sector applies at least two requirements from the following list in the context of the exemplary role of the public sector as referred to in Article 5:
(a) | requirements concerning the use of financial instruments for energy savings, including energy performance contracting, that stipulate the delivery of measurable and pre-determined energy savings (including whenever public administrations have outsourced responsibilities);

(b) | requirements to purchase equipment and vehicles based on lists of energy-efficient product specifications of different categories of equipment and vehicles to be drawn up by the authorities or agencies referred to in Article 4(4), using, where applicable, minimised life-cycle cost analysis or comparable methods to ensure cost-effectiveness;

(c) | requirements to purchase equipment that has efficient energy consumption in all modes, including in standby mode, using, where applicable, minimised life-cycle cost analysis or comparable methods to ensure cost-effectiveness;

(d) | requirements to replace or retrofit existing equipment and vehicles with the equipment listed in points (b) and (c);

(e) | requirements to use energy audits and implement the resulting cost-effective recommendations;

(f) | requirements to purchase or rent energy-efficient buildings or parts thereof, or requirements to replace or retrofit purchased or rented buildings or parts thereof in order to render them more energy-efficient.

Pending: 32006L0027

                                January 16, 2026                            

8.3.2006
EN
Official Journal of the European Union
L 66/7



(1)
Directives 93/14/EEC, 93/34/EEC, 95/1/EC and 97/24/EC are separate Directives for the purposes of the EC type-approval procedure laid down by Directive 2002/24/EC.



(2)
It is necessary to introduce the last amendment to United Nations ECE Regulation No 78 into the European type approval requirements in order to maintain equivalence between the requirements laid down in Directive 93/14/EEC and those laid down in United Nations ECE Regulation No 78.



(3)
The requirements on statutory markings and maximum speed for two- and three-wheel motor vehicles as laid down in Directives 93/34/EEC and 95/1/EC can be simplified for reasons of better regulation.



(4)
In order to ensure the proper functioning of the type-approval system as a whole, it is necessary to clarify which provisions concerning external projections, safety belt anchorages and safety belts shall apply to bodied vehicles and to unbodied vehicles.



(5)
In Directive 97/24/EC, the requirements for marking of original catalytic converters and original silencers need to be clarified and completed.



(6)
Directives 93/14/EEC, 93/34/EEC, 95/1/EC and 97/24/EC should therefore be amended accordingly.



(7)
The measures provided for this Directive are in accordance with the opinion of the Committee for Adaptation to Technical Progress,



(1)
The following section 2.1.1.3 is added:‘2.1.1.3.Brake linings shall not contain asbestos.’;
‘2.1.1.3.
Brake linings shall not contain asbestos.’;

‘2.1.1.3.
Brake linings shall not contain asbestos.’;



‘2.1.1.3.
Brake linings shall not contain asbestos.’;



(2)
Appendix 1 is amended as follows:(a)Sections 1.1.1 and 1.1.2 are replaced by the following:‘1.1.1.The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.1.1.2.The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;(b)In Section 1.1.3, the word ‘component’ is replaced by ‘vehicle’;(c)Section 1.2.1.1 is replaced by the following:‘1.2.1.1.The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;(d)Section 1.4.2.1 is replaced by the following:‘1.4.2.1.The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.
(a)
Sections 1.1.1 and 1.1.2 are replaced by the following:‘1.1.1.The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.1.1.2.The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
‘1.1.1.
The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.
1.1.2.
The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
dm
=
means fully developed deceleration
v1
=
as defined above
vb
=
vehicle speed at 0,8 v1in km/h
ve
=
vehicle speed at 0,1 v1in km/h
sb
=
distance travelled between v1and vbin metres
se
=
distance travelled between v1and vein metres
(b)
In Section 1.1.3, the word ‘component’ is replaced by ‘vehicle’;
(c)
Section 1.2.1.1 is replaced by the following:‘1.2.1.1.The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;
‘1.2.1.1.
The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;
(d)
Section 1.4.2.1 is replaced by the following:‘1.4.2.1.The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.
‘1.4.2.1.
The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.

(a)
Sections 1.1.1 and 1.1.2 are replaced by the following:‘1.1.1.The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.1.1.2.The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
‘1.1.1.
The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.
1.1.2.
The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
dm
=
means fully developed deceleration
v1
=
as defined above
vb
=
vehicle speed at 0,8 v1in km/h
ve
=
vehicle speed at 0,1 v1in km/h
sb
=
distance travelled between v1and vbin metres
se
=
distance travelled between v1and vein metres

‘1.1.1.
The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.

1.1.2.
The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
dm
=
means fully developed deceleration
v1
=
as defined above
vb
=
vehicle speed at 0,8 v1in km/h
ve
=
vehicle speed at 0,1 v1in km/h
sb
=
distance travelled between v1and vbin metres
se
=
distance travelled between v1and vein metres

dm
=
means fully developed deceleration

v1
=
as defined above

vb
=
vehicle speed at 0,8 v1in km/h

ve
=
vehicle speed at 0,1 v1in km/h

sb
=
distance travelled between v1and vbin metres

se
=
distance travelled between v1and vein metres

(b)
In Section 1.1.3, the word ‘component’ is replaced by ‘vehicle’;

(c)
Section 1.2.1.1 is replaced by the following:‘1.2.1.1.The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;
‘1.2.1.1.
The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;

‘1.2.1.1.
The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;

(d)
Section 1.4.2.1 is replaced by the following:‘1.4.2.1.The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.
‘1.4.2.1.
The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.

‘1.4.2.1.
The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.



(a)
Sections 1.1.1 and 1.1.2 are replaced by the following:‘1.1.1.The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.1.1.2.The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
‘1.1.1.
The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.
1.1.2.
The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
dm
=
means fully developed deceleration
v1
=
as defined above
vb
=
vehicle speed at 0,8 v1in km/h
ve
=
vehicle speed at 0,1 v1in km/h
sb
=
distance travelled between v1and vbin metres
se
=
distance travelled between v1and vein metres

‘1.1.1.
The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.

1.1.2.
The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
dm
=
means fully developed deceleration
v1
=
as defined above
vb
=
vehicle speed at 0,8 v1in km/h
ve
=
vehicle speed at 0,1 v1in km/h
sb
=
distance travelled between v1and vbin metres
se
=
distance travelled between v1and vein metres

dm
=
means fully developed deceleration

v1
=
as defined above

vb
=
vehicle speed at 0,8 v1in km/h

ve
=
vehicle speed at 0,1 v1in km/h

sb
=
distance travelled between v1and vbin metres

se
=
distance travelled between v1and vein metres



‘1.1.1.
The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.



1.1.2.
The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;
dm
=
means fully developed deceleration
v1
=
as defined above
vb
=
vehicle speed at 0,8 v1in km/h
ve
=
vehicle speed at 0,1 v1in km/h
sb
=
distance travelled between v1and vbin metres
se
=
distance travelled between v1and vein metres

dm
=
means fully developed deceleration

v1
=
as defined above

vb
=
vehicle speed at 0,8 v1in km/h

ve
=
vehicle speed at 0,1 v1in km/h

sb
=
distance travelled between v1and vbin metres

se
=
distance travelled between v1and vein metres



dm
=
means fully developed deceleration

v1
=
as defined above

vb
=
vehicle speed at 0,8 v1in km/h

ve
=
vehicle speed at 0,1 v1in km/h

sb
=
distance travelled between v1and vbin metres

se
=
distance travelled between v1and vein metres



(b)
In Section 1.1.3, the word ‘component’ is replaced by ‘vehicle’;



(c)
Section 1.2.1.1 is replaced by the following:‘1.2.1.1.The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;
‘1.2.1.1.
The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;

‘1.2.1.1.
The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;



‘1.2.1.1.
The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;



(d)
Section 1.4.2.1 is replaced by the following:‘1.4.2.1.The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.
‘1.4.2.1.
The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.

‘1.4.2.1.
The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.



‘1.4.2.1.
The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.



‘3.1.1.2.
The second part consists of six characters (letters or digits) for the purpose of describing the general characteristics of the vehicle (type, variant, and in the case of mopeds, version); each characteristic may be represented by several characters. If its manufacturer does not use one or more of those characters the unused spaces must be filled by alphabetical or numerical characters, the choice being left to the manufacturer;’.



(1)
In section II.1 of Appendix 2 to Annex III to Chapter 1, the fifth indent is deleted.



(2)
Chapter 3 is amended as follows:(a)Annex I is amended as follows:(i)The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;(ii)The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;(iii)Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’(b)The title and ‘GENERAL’ section of ANNEX II are replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM THREE-WHEEL MOTOR VEHICLES, LIGHT QUADRICYCLES AND QUADRICYCLESGENERALThe requirements set out in Directive 74/483/EEC(*1)relating to the external projections of (category M1) motor vehicles shall apply to three-wheel motor vehicles intended for the carriage of passengers.However, bearing in mind the variety of forms of construction of these vehicles, the type approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex I to all or part of the vehicle, based on an assessment of the worst case condition.This shall also apply to the requirements given below with regard to the requirements for three-wheel vehicles, light quadricycles and quadricycles.The following requirements shall apply to three-wheel motor vehicles, light quadricycles and quadricycles intended for the carriage of goods.(*1)OJ L 266, 2.10.1974, p. 4.’ "
(a)
Annex I is amended as follows:(i)The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;(ii)The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;(iii)Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
(i)
The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;
(ii)
The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
(iii)
Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
(b)
The title and ‘GENERAL’ section of ANNEX II are replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM THREE-WHEEL MOTOR VEHICLES, LIGHT QUADRICYCLES AND QUADRICYCLESGENERALThe requirements set out in Directive 74/483/EEC(*1)relating to the external projections of (category M1) motor vehicles shall apply to three-wheel motor vehicles intended for the carriage of passengers.However, bearing in mind the variety of forms of construction of these vehicles, the type approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex I to all or part of the vehicle, based on an assessment of the worst case condition.This shall also apply to the requirements given below with regard to the requirements for three-wheel vehicles, light quadricycles and quadricycles.The following requirements shall apply to three-wheel motor vehicles, light quadricycles and quadricycles intended for the carriage of goods.(*1)OJ L 266, 2.10.1974, p. 4.’ "

(a)
Annex I is amended as follows:(i)The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;(ii)The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;(iii)Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
(i)
The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;
(ii)
The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
(iii)
Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

(i)
The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;

(ii)
The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;

‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;

(iii)
Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

(b)
The title and ‘GENERAL’ section of ANNEX II are replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM THREE-WHEEL MOTOR VEHICLES, LIGHT QUADRICYCLES AND QUADRICYCLESGENERALThe requirements set out in Directive 74/483/EEC(*1)relating to the external projections of (category M1) motor vehicles shall apply to three-wheel motor vehicles intended for the carriage of passengers.However, bearing in mind the variety of forms of construction of these vehicles, the type approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex I to all or part of the vehicle, based on an assessment of the worst case condition.This shall also apply to the requirements given below with regard to the requirements for three-wheel vehicles, light quadricycles and quadricycles.The following requirements shall apply to three-wheel motor vehicles, light quadricycles and quadricycles intended for the carriage of goods.(*1)OJ L 266, 2.10.1974, p. 4.’ "



(a)
Annex I is amended as follows:(i)The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;(ii)The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;(iii)Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
(i)
The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;
(ii)
The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
(iii)
Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

(i)
The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;

(ii)
The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;

‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;

(iii)
Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’



(i)
The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;



(ii)
The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;
‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;

‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;



‘3.6.
In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;



(iii)
Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’
‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’



‘6.2.
The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’



(b)
The title and ‘GENERAL’ section of ANNEX II are replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM THREE-WHEEL MOTOR VEHICLES, LIGHT QUADRICYCLES AND QUADRICYCLESGENERALThe requirements set out in Directive 74/483/EEC(*1)relating to the external projections of (category M1) motor vehicles shall apply to three-wheel motor vehicles intended for the carriage of passengers.However, bearing in mind the variety of forms of construction of these vehicles, the type approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex I to all or part of the vehicle, based on an assessment of the worst case condition.This shall also apply to the requirements given below with regard to the requirements for three-wheel vehicles, light quadricycles and quadricycles.The following requirements shall apply to three-wheel motor vehicles, light quadricycles and quadricycles intended for the carriage of goods.(*1)OJ L 266, 2.10.1974, p. 4.’ "



(3)
In Annex I to Chapter 4 the following sections 14 and 15 are added:‘14.“Unbodied vehicle” means a vehicle for which the passenger compartment is not bounded by at least four of all of the following features: windscreen, floor, roof and side and rear walls or doors.15.“Bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof and side and rear walls or doors.’
‘14.
“Unbodied vehicle” means a vehicle for which the passenger compartment is not bounded by at least four of all of the following features: windscreen, floor, roof and side and rear walls or doors.
15.
“Bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof and side and rear walls or doors.’

‘14.
“Unbodied vehicle” means a vehicle for which the passenger compartment is not bounded by at least four of all of the following features: windscreen, floor, roof and side and rear walls or doors.

15.
“Bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof and side and rear walls or doors.’



‘14.
“Unbodied vehicle” means a vehicle for which the passenger compartment is not bounded by at least four of all of the following features: windscreen, floor, roof and side and rear walls or doors.



15.
“Bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof and side and rear walls or doors.’



(4)
Chapter 5 is amended as follows:(a)Annex I is amended as follows:(i)Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;(b)Annex II is amended as follows:(i)Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;(c)Section 4a of Annex VI is replaced by the following:‘4a.   Catalytic converters4a.1.   Original equipment catalytic converter tested to all the requirements of this directive4a.1.1.   Make and type of original equipment catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document).4a.2.   Original replacement catalytic converter tested to all the requirements of this directive4a.2.1.   Make(s) and type(s) of original replacement catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document)’;
(a)
Annex I is amended as follows:(i)Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
(i)
Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(b)
Annex II is amended as follows:(i)Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
(i)
Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(c)
Section 4a of Annex VI is replaced by the following:‘4a.   Catalytic converters4a.1.   Original equipment catalytic converter tested to all the requirements of this directive4a.1.1.   Make and type of original equipment catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document).4a.2.   Original replacement catalytic converter tested to all the requirements of this directive4a.2.1.   Make(s) and type(s) of original replacement catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document)’;

(a)
Annex I is amended as follows:(i)Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
(i)
Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

(i)
Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.

(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.

(b)
Annex II is amended as follows:(i)Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
(i)
Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

(i)
Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.

(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.

(c)
Section 4a of Annex VI is replaced by the following:‘4a.   Catalytic converters4a.1.   Original equipment catalytic converter tested to all the requirements of this directive4a.1.1.   Make and type of original equipment catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document).4a.2.   Original replacement catalytic converter tested to all the requirements of this directive4a.2.1.   Make(s) and type(s) of original replacement catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document)’;



(a)
Annex I is amended as follows:(i)Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
(i)
Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

(i)
Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.

(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



(i)
Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



‘2.3.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



—
the “e” mark followed by the identification of the country which granted the type-approval,



—
the vehicle manufacturer's name or trade mark,



—
the make and identifying part number.



(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



—
the “e” mark followed by the identification of the country which granted the type-approval,



—
the vehicle manufacturer's name or trade mark,



—
the make and identifying part number.



(b)
Annex II is amended as follows:(i)Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
(i)
Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

(i)
Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.

(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



(i)
Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



‘2.4.2.
All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



—
the “e” mark followed by the identification of the country which granted the type-approval,



—
the vehicle manufacturer's name or trade mark,



—
the make and identifying part number.



(ii)
Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



—
the “e” mark followed by the identification of the country which granted the type-approval,



—
the vehicle manufacturer's name or trade mark,



—
the make and identifying part number.



(c)
Section 4a of Annex VI is replaced by the following:‘4a.   Catalytic converters4a.1.   Original equipment catalytic converter tested to all the requirements of this directive4a.1.1.   Make and type of original equipment catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document).4a.2.   Original replacement catalytic converter tested to all the requirements of this directive4a.2.1.   Make(s) and type(s) of original replacement catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document)’;



(5)
Figure 1 of the Annex to chapter 7 is replaced by the following:Figure 1Text of imageTrade mark:Vehicle category:Note: Not applicable rows can be omitted.1.2.3.4.5.6.7.7a8.9.10.11.12.



(6)
Chapter 9 is amended as follows:(a)Section 2.3.2.2 of Annex II is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;(b)Section 2.3.2.2 of Annex III is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;(c)Section 2.4.2.2 of Annex IV is replaced by the following:‘2.4.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
(a)
Section 2.3.2.2 of Annex II is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(b)
Section 2.3.2.2 of Annex III is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.
(c)
Section 2.4.2.2 of Annex IV is replaced by the following:‘2.4.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.4.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

(a)
Section 2.3.2.2 of Annex II is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.

(b)
Section 2.3.2.2 of Annex III is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.

(c)
Section 2.4.2.2 of Annex IV is replaced by the following:‘2.4.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.4.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.4.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



(a)
Section 2.3.2.2 of Annex II is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



—
the “e” mark followed by the identification of the country which granted the type-approval,



—
the vehicle manufacturer's name or trade mark,



—
the make and identifying part number.



(b)
Section 2.3.2.2 of Annex III is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



‘2.3.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



—
the “e” mark followed by the identification of the country which granted the type-approval,



—
the vehicle manufacturer's name or trade mark,



—
the make and identifying part number.



(c)
Section 2.4.2.2 of Annex IV is replaced by the following:‘2.4.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
‘2.4.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

‘2.4.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



‘2.4.2.2.
All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer's name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;
—
the “e” mark followed by the identification of the country which granted the type-approval,
—
the vehicle manufacturer's name or trade mark,
—
the make and identifying part number.

—
the “e” mark followed by the identification of the country which granted the type-approval,

—
the vehicle manufacturer's name or trade mark,

—
the make and identifying part number.



—
the “e” mark followed by the identification of the country which granted the type-approval,



—
the vehicle manufacturer's name or trade mark,



—
the make and identifying part number.



(7)
Chapter 11 is amended as follows:(a)The title is replaced by the following:‘SAFETY-BELT ANCHORAGES AND SAFETY-BELTS OF THREE-WHEEL MOPEDS, TRICYCLES AND QUADRICYCLES’;(b)Annex I is amended as follows:(i)Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;(ii)Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
(a)
The title is replaced by the following:‘SAFETY-BELT ANCHORAGES AND SAFETY-BELTS OF THREE-WHEEL MOPEDS, TRICYCLES AND QUADRICYCLES’;
(b)
Annex I is amended as follows:(i)Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;(ii)Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
(i)
Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;
(ii)
Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and
—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

(a)
The title is replaced by the following:‘SAFETY-BELT ANCHORAGES AND SAFETY-BELTS OF THREE-WHEEL MOPEDS, TRICYCLES AND QUADRICYCLES’;

(b)
Annex I is amended as follows:(i)Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;(ii)Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
(i)
Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;
(ii)
Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and
—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

(i)
Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;

(ii)
Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and
—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and

—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.



(a)
The title is replaced by the following:‘SAFETY-BELT ANCHORAGES AND SAFETY-BELTS OF THREE-WHEEL MOPEDS, TRICYCLES AND QUADRICYCLES’;



(b)
Annex I is amended as follows:(i)Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;(ii)Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
(i)
Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;
(ii)
Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and
—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

(i)
Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;

(ii)
Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and
—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and

—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.



(i)
Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.    “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.    “saddle” means a seating position where the rider or passenger sits astride.’;



(ii)
Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’
—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and
—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and

—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.



—
when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and



—
when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.



(8)
Chapter 12 is amended as follows:(a)After the title of Annex I to Chapter 12 the following sentence is inserted:‘For the purpose of this Chapter “bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof, side and rear walls or doors.’;(b)Section 2.3.1 of Annex II is replaced by the following:‘2.3.1.All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’
(a)
After the title of Annex I to Chapter 12 the following sentence is inserted:‘For the purpose of this Chapter “bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof, side and rear walls or doors.’;
(b)
Section 2.3.1 of Annex II is replaced by the following:‘2.3.1.All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’
‘2.3.1.
All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’

(a)
After the title of Annex I to Chapter 12 the following sentence is inserted:‘For the purpose of this Chapter “bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof, side and rear walls or doors.’;

(b)
Section 2.3.1 of Annex II is replaced by the following:‘2.3.1.All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’
‘2.3.1.
All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’

‘2.3.1.
All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’



(a)
After the title of Annex I to Chapter 12 the following sentence is inserted:‘For the purpose of this Chapter “bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof, side and rear walls or doors.’;



(b)
Section 2.3.1 of Annex II is replaced by the following:‘2.3.1.All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’
‘2.3.1.
All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’

‘2.3.1.
All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’



‘2.3.1.
All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Directive 2002/24/EC of the European Parliament and of the Council of 18 March 2002 relating to the type-approval of two- and three-wheel motor vehicles and repealing Council Directive 92/61/EEC(1), and in particular Article 17 thereof,

Having regard to Council Directive 93/14/EEC of 5 April 1993 on the braking of two- or three-wheel motor vehicles(2), and in particular Article 4 thereof,

Having regard to Council Directive 93/34/EEC of 14 June 1993 on statutory markings for two- or three-wheel motor vehicles(3), and in particular Article 3 thereof,

Having regard to Directive 95/1/EC of the European Parliament and of the Council of 2 February 1995 on the maximum design speed, maximum torque and maximum net engine power of two- or three-wheel motor vehicles(4), and in particular Article 4 thereof,

Having regard to Directive 97/24/EC of the European Parliament and of the Council of 17 June 1997 on certain components and characteristics of two- or three-wheel motor vehicles(5), and in particular Article 7 thereof,

(1) Directives 93/14/EEC, 93/34/EEC, 95/1/EC and 97/24/EC are separate Directives for the purposes of the EC type-approval procedure laid down by Directive 2002/24/EC.

(2) It is necessary to introduce the last amendment to United Nations ECE Regulation No 78 into the European type approval requirements in order to maintain equivalence between the requirements laid down in Directive 93/14/EEC and those laid down in United Nations ECE Regulation No 78.

(3) The requirements on statutory markings and maximum speed for two- and three-wheel motor vehicles as laid down in Directives 93/34/EEC and 95/1/EC can be simplified for reasons of better regulation.

(4) In order to ensure the proper functioning of the type-approval system as a whole, it is necessary to clarify which provisions concerning external projections, safety belt anchorages and safety belts shall apply to bodied vehicles and to unbodied vehicles.

(5) In Directive 97/24/EC, the requirements for marking of original catalytic converters and original silencers need to be clarified and completed.

(6) Directives 93/14/EEC, 93/34/EEC, 95/1/EC and 97/24/EC should therefore be amended accordingly.

(7) The measures provided for this Directive are in accordance with the opinion of the Committee for Adaptation to Technical Progress,

HAS ADOPTED THIS DIRECTIVE:
Article 1

The Annex to Directive 93/14/EEC is amended in accordance with the text set out in Annex I to this Directive.
Article 2

The Annex to Directive 93/34/EEC is amended in accordance with the text set out in Annex II to this Directive.
Article 3

Annex I to Directive 95/1/EC is amended in accordance with the text set out in Annex III to this Directive.
Article 4

Annex III to Chapter 1, Annexes I and II to Chapter 3, Annex I to Chapter 4, Annexes I, II, VI, and VII to Chapter 5, the Annex to Chapter 7, Annexes II, III and IV to Chapter 9, the title and Annex I to Chapter 11, and Annexes I and II to Chapter 12 of Directive 97/24/EC are amended in accordance with the text set out in Annex IV to this Directive.
Article 5

1.   With effect from 1 January 2007, with respect to two- or three- wheel vehicles which comply with the provisions laid down in Directives 93/14/EEC, 93/34/EC, 95/1/EC, and 97/24/EC respectively, as amended by this Directive, Member States shall not, on grounds relating to the subject matter of the Directive concerned, refuse to grant EC type-approval or prohibit the registration, sale or entry into service of such a vehicle.

2.   With effect from 1 July 2007, Member States shall refuse, on grounds relating to the subject matter of the Directive concerned, to grant EC type-approval to any new type of two- or three-wheel motor vehicle which does not comply with the provisions laid down in Directives 93/14/EEC, 93/34/EC, 95/1/EC and 97/24/EC respectively, as amended by this Directive.
Article 6

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 31 December 2006 at the latest. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
Article 7

This Directive shall enter into force on the 20th day following its publication in theOfficial Journal of the European Union.
Article 8

This Directive is addressed to the Member States.
THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Directive 2002/24/EC of the European Parliament and of the Council of 18 March 2002 relating to the type-approval of two- and three-wheel motor vehicles and repealing Council Directive 92/61/EEC(1), and in particular Article 17 thereof,

Having regard to Council Directive 93/14/EEC of 5 April 1993 on the braking of two- or three-wheel motor vehicles(2), and in particular Article 4 thereof,

Having regard to Council Directive 93/34/EEC of 14 June 1993 on statutory markings for two- or three-wheel motor vehicles(3), and in particular Article 3 thereof,

Having regard to Directive 95/1/EC of the European Parliament and of the Council of 2 February 1995 on the maximum design speed, maximum torque and maximum net engine power of two- or three-wheel motor vehicles(4), and in particular Article 4 thereof,

Having regard to Directive 97/24/EC of the European Parliament and of the Council of 17 June 1997 on certain components and characteristics of two- or three-wheel motor vehicles(5), and in particular Article 7 thereof,

(1) Directives 93/14/EEC, 93/34/EEC, 95/1/EC and 97/24/EC are separate Directives for the purposes of the EC type-approval procedure laid down by Directive 2002/24/EC.

(2) It is necessary to introduce the last amendment to United Nations ECE Regulation No 78 into the European type approval requirements in order to maintain equivalence between the requirements laid down in Directive 93/14/EEC and those laid down in United Nations ECE Regulation No 78.

(3) The requirements on statutory markings and maximum speed for two- and three-wheel motor vehicles as laid down in Directives 93/34/EEC and 95/1/EC can be simplified for reasons of better regulation.

(4) In order to ensure the proper functioning of the type-approval system as a whole, it is necessary to clarify which provisions concerning external projections, safety belt anchorages and safety belts shall apply to bodied vehicles and to unbodied vehicles.

(5) In Directive 97/24/EC, the requirements for marking of original catalytic converters and original silencers need to be clarified and completed.

(6) Directives 93/14/EEC, 93/34/EEC, 95/1/EC and 97/24/EC should therefore be amended accordingly.

(7) The measures provided for this Directive are in accordance with the opinion of the Committee for Adaptation to Technical Progress,

HAS ADOPTED THIS DIRECTIVE:
The Annex to Directive 93/14/EEC is amended in accordance with the text set out in Annex I to this Directive.
The Annex to Directive 93/34/EEC is amended in accordance with the text set out in Annex II to this Directive.
Annex I to Directive 95/1/EC is amended in accordance with the text set out in Annex III to this Directive.
Annex III to Chapter 1, Annexes I and II to Chapter 3, Annex I to Chapter 4, Annexes I, II, VI, and VII to Chapter 5, the Annex to Chapter 7, Annexes II, III and IV to Chapter 9, the title and Annex I to Chapter 11, and Annexes I and II to Chapter 12 of Directive 97/24/EC are amended in accordance with the text set out in Annex IV to this Directive.
1.   With effect from 1 January 2007, with respect to two- or three- wheel vehicles which comply with the provisions laid down in Directives 93/14/EEC, 93/34/EC, 95/1/EC, and 97/24/EC respectively, as amended by this Directive, Member States shall not, on grounds relating to the subject matter of the Directive concerned, refuse to grant EC type-approval or prohibit the registration, sale or entry into service of such a vehicle.

2.   With effect from 1 July 2007, Member States shall refuse, on grounds relating to the subject matter of the Directive concerned, to grant EC type-approval to any new type of two- or three-wheel motor vehicle which does not comply with the provisions laid down in Directives 93/14/EEC, 93/34/EC, 95/1/EC and 97/24/EC respectively, as amended by this Directive.
1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 31 December 2006 at the latest. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
This Directive shall enter into force on the 20th day following its publication in theOfficial Journal of the European Union.
This Directive is addressed to the Member States.
ANNEX IThe Annex to Directive 93/14/EEC is amended as follows:
(1) | The following section 2.1.1.3 is added:‘2.1.1.3.Brake linings shall not contain asbestos.’; | ‘2.1.1.3. | Brake linings shall not contain asbestos.’;

‘2.1.1.3. | Brake linings shall not contain asbestos.’;

(2) | Appendix 1 is amended as follows:(a)Sections 1.1.1 and 1.1.2 are replaced by the following:‘1.1.1.The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.1.1.2.The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’;(b)In Section 1.1.3, the word ‘component’ is replaced by ‘vehicle’;(c)Section 1.2.1.1 is replaced by the following:‘1.2.1.1.The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;(d)Section 1.4.2.1 is replaced by the following:‘1.4.2.1.The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’. | (a) | Sections 1.1.1 and 1.1.2 are replaced by the following:‘1.1.1.The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.1.1.2.The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’; | ‘1.1.1. | The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test. | 1.1.2. | The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’; | dm | = | means fully developed deceleration | v1 | = | as defined above | vb | = | vehicle speed at 0,8 v1in km/h | ve | = | vehicle speed at 0,1 v1in km/h | sb | = | distance travelled between v1and vbin metres | se | = | distance travelled between v1and vein metres | (b) | In Section 1.1.3, the word ‘component’ is replaced by ‘vehicle’; | (c) | Section 1.2.1.1 is replaced by the following:‘1.2.1.1.The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’; | ‘1.2.1.1. | The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’; | (d) | Section 1.4.2.1 is replaced by the following:‘1.4.2.1.The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’. | ‘1.4.2.1. | The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.

(a) | Sections 1.1.1 and 1.1.2 are replaced by the following:‘1.1.1.The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.1.1.2.The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’; | ‘1.1.1. | The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test. | 1.1.2. | The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’; | dm | = | means fully developed deceleration | v1 | = | as defined above | vb | = | vehicle speed at 0,8 v1in km/h | ve | = | vehicle speed at 0,1 v1in km/h | sb | = | distance travelled between v1and vbin metres | se | = | distance travelled between v1and vein metres

‘1.1.1. | The performance prescribed for braking devices shall be based on the stopping distance and/or the mean fully developed deceleration. The performance of a braking device shall be determined by measuring the stopping distance in relation to the initial speed of the vehicle and/or measuring the mean fully developed deceleration during the test.

1.1.2. | The stopping distance shall be the distance covered by the vehicle from the moment when the driver begins to actuate the control of the braking system until the moment when the vehicle stops; the initial vehicle speed, v1, shall be the speed at the moment when the driver begins to actuate the control of the braking system; the initial speed shall not be less than 98 % of the prescribed speed for the test in question. The mean fully developed deceleration, (dm), shall be calculated as the deceleration averaged with respect to distance over the interval vbto veaccording to the following formula:Where:dm=means fully developed decelerationv1=as defined abovevb=vehicle speed at 0,8 v1in km/hve=vehicle speed at 0,1 v1in km/hsb=distance travelled between v1and vbin metresse=distance travelled between v1and vein metresThe speed and distance shall be determined using instrumentation having an accuracy of ± 1 % at the prescribed speed for the test. The “dm” may be determined by other methods than the measurement of speed and distance; in this case, the accuracy of the “dm” shall be within ± 3 %.’; | dm | = | means fully developed deceleration | v1 | = | as defined above | vb | = | vehicle speed at 0,8 v1in km/h | ve | = | vehicle speed at 0,1 v1in km/h | sb | = | distance travelled between v1and vbin metres | se | = | distance travelled between v1and vein metres

dm | = | means fully developed deceleration

v1 | = | as defined above

vb | = | vehicle speed at 0,8 v1in km/h

ve | = | vehicle speed at 0,1 v1in km/h

sb | = | distance travelled between v1and vbin metres

se | = | distance travelled between v1and vein metres

(b) | In Section 1.1.3, the word ‘component’ is replaced by ‘vehicle’;

(c) | Section 1.2.1.1 is replaced by the following:‘1.2.1.1.The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’; | ‘1.2.1.1. | The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;

‘1.2.1.1. | The limits prescribed for minimum performance are those laid down hereunder for each category of vehicle; the vehicle shall satisfy both the prescribed stopping distance and the prescribed mean fully developed deceleration for the relevant vehicle category, but it may not be necessary to measure both parameters.’;

(d) | Section 1.4.2.1 is replaced by the following:‘1.4.2.1.The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’. | ‘1.4.2.1. | The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.

‘1.4.2.1. | The vehicle and the brake(s) to be tested must be substantially free from moisture and the brake(s) cold. A brake is deemed to be cold when the temperature measured on the disc or on the outside of the drum is below 100 °C;’.
ANNEX IIThe Annex to Directive 93/34/EEC is amended as follows:

Section 3.1.1.2 is replaced by the following:
‘3.1.1.2. The second part consists of six characters (letters or digits) for the purpose of describing the general characteristics of the vehicle (type, variant, and in the case of mopeds, version); each characteristic may be represented by several characters. If its manufacturer does not use one or more of those characters the unused spaces must be filled by alphabetical or numerical characters, the choice being left to the manufacturer;’.
ANNEX IIIAnnex I to Directive 95/1/EC is amended as follows:

Section 7 is replaced by the following:
‘7.   MAXIMUM SPEED

The maximum speed of the vehicle is expressed in kilometres per hour by the figure corresponding to the closest whole number to the arithmetical mean of the values for the speeds measured during the two consecutive tests, which must not diverge by more than 3 %. When this arithmetical mean lies exactly between two whole numbers it is rounded up to the next highest number. In the case of vehicles where the maximum speed is not limited by the relevant definition given in Article 1, sections 2 and 3 of Directive 2002/24/EC, no type-approval test is needed and the maximum speed shall be accepted as being that declared by the vehicle manufacturer in the information document given in Annex II to Directive 2002/24/EC.’.
ANNEX IVDirective 97/24/EC is amended as follows:
(1) | In section II.1 of Appendix 2 to Annex III to Chapter 1, the fifth indent is deleted.

(2) | Chapter 3 is amended as follows:(a)Annex I is amended as follows:(i)The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;(ii)The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;(iii)Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’(b)The title and ‘GENERAL’ section of ANNEX II are replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM THREE-WHEEL MOTOR VEHICLES, LIGHT QUADRICYCLES AND QUADRICYCLESGENERALThe requirements set out in Directive 74/483/EEC(*1)relating to the external projections of (category M1) motor vehicles shall apply to three-wheel motor vehicles intended for the carriage of passengers.However, bearing in mind the variety of forms of construction of these vehicles, the type approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex I to all or part of the vehicle, based on an assessment of the worst case condition.This shall also apply to the requirements given below with regard to the requirements for three-wheel vehicles, light quadricycles and quadricycles.The following requirements shall apply to three-wheel motor vehicles, light quadricycles and quadricycles intended for the carriage of goods.(*1)OJ L 266, 2.10.1974, p. 4.’

                                             ” | (a) | Annex I is amended as follows:(i)The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;(ii)The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;(iii)Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’ | (i) | The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’; | (ii) | The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’; | ‘3.6. | In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’; | (iii) | Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’ | ‘6.2. | The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’ | (b) | The title and ‘GENERAL’ section of ANNEX II are replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM THREE-WHEEL MOTOR VEHICLES, LIGHT QUADRICYCLES AND QUADRICYCLESGENERALThe requirements set out in Directive 74/483/EEC(*1)relating to the external projections of (category M1) motor vehicles shall apply to three-wheel motor vehicles intended for the carriage of passengers.However, bearing in mind the variety of forms of construction of these vehicles, the type approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex I to all or part of the vehicle, based on an assessment of the worst case condition.This shall also apply to the requirements given below with regard to the requirements for three-wheel vehicles, light quadricycles and quadricycles.The following requirements shall apply to three-wheel motor vehicles, light quadricycles and quadricycles intended for the carriage of goods.(*1)OJ L 266, 2.10.1974, p. 4.’

                                             “

(a) | Annex I is amended as follows:(i)The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;(ii)The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;(iii)Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’ | (i) | The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’; | (ii) | The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’; | ‘3.6. | In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’; | (iii) | Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’ | ‘6.2. | The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

(i) | The title is replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM TWO-WHEEL MOTOR VEHICLES’;

(ii) | The following section 3.6 is added:‘3.6.In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’; | ‘3.6. | In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;

‘3.6. | In the case of two-wheel vehicles that are fitted with a form of structure or panels intended to enclose, or partially enclose, the driver or passengers or to cover components of the vehicle, the type-approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex II, to all or part of the vehicle based on an assessment of the worst case condition.’;

(iii) | Section 6.2 is replaced by the following:‘6.2.The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’ | ‘6.2. | The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

‘6.2. | The end of the clutch and brake levers shall be perceptibly spherical and have a radius of curvature of at least 7 mm. The outer edges of these levers shall have a radius of curvature of not less than 2 mm. The verification is done with the levers in non-applied position.’

(b) | The title and ‘GENERAL’ section of ANNEX II are replaced by the following:‘REQUIREMENTS APPLYING TO EXTERNAL PROJECTIONS FROM THREE-WHEEL MOTOR VEHICLES, LIGHT QUADRICYCLES AND QUADRICYCLESGENERALThe requirements set out in Directive 74/483/EEC(*1)relating to the external projections of (category M1) motor vehicles shall apply to three-wheel motor vehicles intended for the carriage of passengers.However, bearing in mind the variety of forms of construction of these vehicles, the type approval authority or technical service may, at its discretion and in discussion with the vehicle manufacturer, apply the requirements of this Annex, or of Annex I to all or part of the vehicle, based on an assessment of the worst case condition.This shall also apply to the requirements given below with regard to the requirements for three-wheel vehicles, light quadricycles and quadricycles.The following requirements shall apply to three-wheel motor vehicles, light quadricycles and quadricycles intended for the carriage of goods.(*1)OJ L 266, 2.10.1974, p. 4.’

                                             “

(3) | In Annex I to Chapter 4 the following sections 14 and 15 are added:‘14.“Unbodied vehicle” means a vehicle for which the passenger compartment is not bounded by at least four of all of the following features: windscreen, floor, roof and side and rear walls or doors.15.“Bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof and side and rear walls or doors.’ | ‘14. | “Unbodied vehicle” means a vehicle for which the passenger compartment is not bounded by at least four of all of the following features: windscreen, floor, roof and side and rear walls or doors. | 15. | “Bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof and side and rear walls or doors.’

‘14. | “Unbodied vehicle” means a vehicle for which the passenger compartment is not bounded by at least four of all of the following features: windscreen, floor, roof and side and rear walls or doors.

15. | “Bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof and side and rear walls or doors.’

(4) | Chapter 5 is amended as follows:(a)Annex I is amended as follows:(i)Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;(b)Annex II is amended as follows:(i)Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;(c)Section 4a of Annex VI is replaced by the following:‘4a.   Catalytic converters4a.1.   Original equipment catalytic converter tested to all the requirements of this directive4a.1.1.   Make and type of original equipment catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document).4a.2.   Original replacement catalytic converter tested to all the requirements of this directive4a.2.1.   Make(s) and type(s) of original replacement catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document)’; | (a) | Annex I is amended as follows:(i)Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | (i) | Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | ‘2.3.2. | All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number. | (ii) | Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number. | (b) | Annex II is amended as follows:(i)Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | (i) | Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | ‘2.4.2. | All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number. | (ii) | Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number. | (c) | Section 4a of Annex VI is replaced by the following:‘4a.   Catalytic converters4a.1.   Original equipment catalytic converter tested to all the requirements of this directive4a.1.1.   Make and type of original equipment catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document).4a.2.   Original replacement catalytic converter tested to all the requirements of this directive4a.2.1.   Make(s) and type(s) of original replacement catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document)’;

(a) | Annex I is amended as follows:(i)Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | (i) | Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | ‘2.3.2. | All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number. | (ii) | Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

(i) | Section 2.3.2 is replaced by the following:‘2.3.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | ‘2.3.2. | All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

‘2.3.2. | All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

— | the “e” mark followed by the identification of the country which granted the type-approval,

— | the vehicle manufacturer’s name or trade mark,

— | the make and identifying part number.

(ii) | Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

— | the “e” mark followed by the identification of the country which granted the type-approval,

— | the vehicle manufacturer’s name or trade mark,

— | the make and identifying part number.

(b) | Annex II is amended as follows:(i)Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’(ii)Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | (i) | Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | ‘2.4.2. | All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number. | (ii) | Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

(i) | Section 2.4.2 is replaced by the following:‘2.4.2.All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | ‘2.4.2. | All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

‘2.4.2. | All original equipment catalytic converter(s) shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’ | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

— | the “e” mark followed by the identification of the country which granted the type-approval,

— | the vehicle manufacturer’s name or trade mark,

— | the make and identifying part number.

(ii) | Section 5.2.1 is replaced by the following and sections 5.2.1.1 and 5.2.1.2 are deleted:‘5.2.1.   MarkingsOriginal replacement catalytic converters shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

— | the “e” mark followed by the identification of the country which granted the type-approval,

— | the vehicle manufacturer’s name or trade mark,

— | the make and identifying part number.

(c) | Section 4a of Annex VI is replaced by the following:‘4a.   Catalytic converters4a.1.   Original equipment catalytic converter tested to all the requirements of this directive4a.1.1.   Make and type of original equipment catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document).4a.2.   Original replacement catalytic converter tested to all the requirements of this directive4a.2.1.   Make(s) and type(s) of original replacement catalytic converter as listed in item 3.2.12.2.1 of Annex V (the information document)’;

(5) | Figure 1 of the Annex to chapter 7 is replaced by the following:Figure 1Text of imageTrade mark:Vehicle category:Note: Not applicable rows can be omitted.1.2.3.4.5.6.7.7a8.9.10.11.12.

(6) | Chapter 9 is amended as follows:(a)Section 2.3.2.2 of Annex II is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;(b)Section 2.3.2.2 of Annex III is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’;(c)Section 2.4.2.2 of Annex IV is replaced by the following:‘2.4.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | (a) | Section 2.3.2.2 of Annex II is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | ‘2.3.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number. | (b) | Section 2.3.2.2 of Annex III is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | ‘2.3.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number. | (c) | Section 2.4.2.2 of Annex IV is replaced by the following:‘2.4.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | ‘2.4.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

(a) | Section 2.3.2.2 of Annex II is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | ‘2.3.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

‘2.3.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

— | the “e” mark followed by the identification of the country which granted the type-approval,

— | the vehicle manufacturer’s name or trade mark,

— | the make and identifying part number.

(b) | Section 2.3.2.2 of Annex III is replaced by the following:‘2.3.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | ‘2.3.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

‘2.3.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

— | the “e” mark followed by the identification of the country which granted the type-approval,

— | the vehicle manufacturer’s name or trade mark,

— | the make and identifying part number.

(c) | Section 2.4.2.2 of Annex IV is replaced by the following:‘2.4.2.2.All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | ‘2.4.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

‘2.4.2.2. | All original silencers shall bear at least the following identifications:—the “e” mark followed by the identification of the country which granted the type-approval,—the vehicle manufacturer’s name or trade mark,—the make and identifying part number.This reference must be legible and indelible and also visible, in the position at which it is to be fitted.’; | — | the “e” mark followed by the identification of the country which granted the type-approval, | — | the vehicle manufacturer’s name or trade mark, | — | the make and identifying part number.

— | the “e” mark followed by the identification of the country which granted the type-approval,

— | the vehicle manufacturer’s name or trade mark,

— | the make and identifying part number.

(7) | Chapter 11 is amended as follows:(a)The title is replaced by the following:‘SAFETY-BELT ANCHORAGES AND SAFETY-BELTS OF THREE-WHEEL MOPEDS, TRICYCLES AND QUADRICYCLES’;(b)Annex I is amended as follows:(i)Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.   

                                                   “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.   

                                                      “saddle” means a seating position where the rider or passenger sits astride.’;(ii)Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’ | (a) | The title is replaced by the following:‘SAFETY-BELT ANCHORAGES AND SAFETY-BELTS OF THREE-WHEEL MOPEDS, TRICYCLES AND QUADRICYCLES’; | (b) | Annex I is amended as follows:(i)Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.   

                                                   “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.   

                                                      “saddle” means a seating position where the rider or passenger sits astride.’;(ii)Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’ | (i) | Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.   

                                                   “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.   

                                                      “saddle” means a seating position where the rider or passenger sits astride.’; | (ii) | Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’ | — | when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and | — | when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

(a) | The title is replaced by the following:‘SAFETY-BELT ANCHORAGES AND SAFETY-BELTS OF THREE-WHEEL MOPEDS, TRICYCLES AND QUADRICYCLES’;

(b) | Annex I is amended as follows:(i)Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.   

                                                   “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.   

                                                      “saddle” means a seating position where the rider or passenger sits astride.’;(ii)Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’ | (i) | Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.   

                                                   “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.   

                                                      “saddle” means a seating position where the rider or passenger sits astride.’; | (ii) | Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’ | — | when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and | — | when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

(i) | Section 1.6 is replaced by the following and the following section 1.6a. is inserted:1.6.   

                                                   “seat” means a structure, whether or not forming an integral part of the vehicle structure and including its trim, which offers a seated position for an adult, the term designating both an individual seat and part of a bench corresponding to a seating position. A saddle is not considered to be a seat for item 2.1.1.6a.   

                                                      “saddle” means a seating position where the rider or passenger sits astride.’;

(ii) | Section 2 is replaced by the following:‘2.   GENERAL REQUIREMENTS2.1.   Whenever safety belt anchorages are fitted, these must comply with the prescriptions in this Chapter.2.1.1.   Safety belt anchorages must be fitted for all seats of three-wheeled mopeds, tricycles, light quadricycles and quadricycles.2.1.1.1.   Anchorage points suitable for three-point belts are required for all seats that meet both of the following conditions:—when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and—when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.2.1.1.2.   For all other seats, anchorages suitable for lap belts are acceptable.2.1.2.   Safety belt anchorages are not mandatory for three-wheeled mopeds or quadricycles having an unladen mass of not more than 250 kg.’ | — | when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and | — | when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

— | when the seat has a back or when a support helps to determine the back rest angle of the dummy and may be considered as a seatback, and

— | when there is a lateral or transversal structural element behind the H point at a height of more than 450 mm measured from the vertical plane of the H point.

(8) | Chapter 12 is amended as follows:(a)After the title of Annex I to Chapter 12 the following sentence is inserted:‘For the purpose of this Chapter “bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof, side and rear walls or doors.’;(b)Section 2.3.1 of Annex II is replaced by the following:‘2.3.1.All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’ | (a) | After the title of Annex I to Chapter 12 the following sentence is inserted:‘For the purpose of this Chapter “bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof, side and rear walls or doors.’; | (b) | Section 2.3.1 of Annex II is replaced by the following:‘2.3.1.All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’ | ‘2.3.1. | All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’

(a) | After the title of Annex I to Chapter 12 the following sentence is inserted:‘For the purpose of this Chapter “bodied vehicle” means a vehicle for which the passenger compartment is bounded or may be bounded by at least four of the following elements: windscreen, floor, roof, side and rear walls or doors.’;

(b) | Section 2.3.1 of Annex II is replaced by the following:‘2.3.1.All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’ | ‘2.3.1. | All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’

‘2.3.1. | All vehicles must be equipped with a windscreen de-icer and de-mister enabling any ice or frost covering the windscreen and any mist covering the inner surface of the windscreen to be removed.However, this device is not required for bodied three-wheel mopeds having an engine developing not more than 4 kW or for vehicles where the windscreen is fitted such that there is no any supporting or other structure or panel attached to the windscreen extending rearwards for more than 100 mm. The device is required for any vehicle having a roof that is either permanent or detachable or retractable.’

(*1)  

            OJ L 266, 2.10.1974, p. 4.’

         ’
			

Pending: 32006L0024

                                January 16, 2026                            

13.4.2006
EN
Official Journal of the European Union
L 105/54

(1)
Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data(3)requires Member States to protect the rights and freedoms of natural persons with regard to the processing of personal data, and in particular their right to privacy, in order to ensure the free flow of personal data in the Community.

(2)
Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications)(4)translates the principles set out in Directive 95/46/EC into specific rules for the electronic communications sector.

(3)
Articles 5, 6 and 9 of Directive 2002/58/EC lay down the rules applicable to the processing by network and service providers of traffic and location data generated by using electronic communications services. Such data must be erased or made anonymous when no longer needed for the purpose of the transmission of a communication, except for the data necessary for billing or interconnection payments. Subject to consent, certain data may also be processed for marketing purposes and the provision of value-added services.

(4)
Article 15(1) of Directive 2002/58/EC sets out the conditions under which Member States may restrict the scope of the rights and obligations provided for in Article 5, Article 6, Article 8(1), (2), (3) and (4), and Article 9 of that Directive. Any such restrictions must be necessary, appropriate and proportionate within a democratic society for specific public order purposes, i.e. to safeguard national security (i.e. State security), defence, public security or the prevention, investigation, detection and prosecution of criminal offences or of unauthorised use of the electronic communications systems.

(5)
Several Member States have adopted legislation providing for the retention of data by service providers for the prevention, investigation, detection, and prosecution of criminal offences. Those national provisions vary considerably.

(6)
The legal and technical differences between national provisions concerning the retention of data for the purpose of prevention, investigation, detection and prosecution of criminal offences present obstacles to the internal market for electronic communications, since service providers are faced with different requirements regarding the types of traffic and location data to be retained and the conditions and periods of retention.

(7)
The Conclusions of the Justice and Home Affairs Council of 19 December 2002 underline that, because of the significant growth in the possibilities afforded by electronic communications, data relating to the use of electronic communications are particularly important and therefore a valuable tool in the prevention, investigation, detection and prosecution of criminal offences, in particular organised crime.

(8)
The Declaration on Combating Terrorism adopted by the European Council on 25 March 2004 instructed the Council to examine measures for establishing rules on the retention of communications traffic data by service providers.

(9)
Under Article 8 of the European Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR), everyone has the right to respect for his private life and his correspondence. Public authorities may interfere with the exercise of that right only in accordance with the law and where necessary in a democratic society,inter alia, in the interests of national security or public safety, for the prevention of disorder or crime, or for the protection of the rights and freedoms of others. Because retention of data has proved to be such a necessary and effective investigative tool for law enforcement in several Member States, and in particular concerning serious matters such as organised crime and terrorism, it is necessary to ensure that retained data are made available to law enforcement authorities for a certain period, subject to the conditions provided for in this Directive. The adoption of an instrument on data retention that complies with the requirements of Article 8 of the ECHR is therefore a necessary measure.

(10)
On 13 July 2005, the Council reaffirmed in its declaration condemning the terrorist attacks on London the need to adopt common measures on the retention of telecommunications data as soon as possible.

(11)
Given the importance of traffic and location data for the investigation, detection, and prosecution of criminal offences, as demonstrated by research and the practical experience of several Member States, there is a need to ensure at European level that data that are generated or processed, in the course of the supply of communications services, by providers of publicly available electronic communications services or of a public communications network are retained for a certain period, subject to the conditions provided for in this Directive.

(12)
Article 15(1) of Directive 2002/58/EC continues to apply to data, including data relating to unsuccessful call attempts, the retention of which is not specifically required under this Directive and which therefore fall outside the scope thereof, and to retention for purposes, including judicial purposes, other than those covered by this Directive.

(13)
This Directive relates only to data generated or processed as a consequence of a communication or a communication service and does not relate to data that are the content of the information communicated. Data should be retained in such a way as to avoid their being retained more than once. Data generated or processed when supplying the communications services concerned refers to data which are accessible. In particular, as regards the retention of data relating to Internet e-mail and Internet telephony, the obligation to retain data may apply only in respect of data from the providers' or the network providers' own services.

(14)
Technologies relating to electronic communications are changing rapidly and the legitimate requirements of the competent authorities may evolve. In order to obtain advice and encourage the sharing of experience of best practice in these matters, the Commission intends to establish a group composed of Member States' law enforcement authorities, associations of the electronic communications industry, representatives of the European Parliament and data protection authorities, including the European Data Protection Supervisor.

(15)
Directive 95/46/EC and Directive 2002/58/EC are fully applicable to the data retained in accordance with this Directive. Article 30(1)(c) of Directive 95/46/EC requires the consultation of the Working Party on the Protection of Individuals with regard to the Processing of Personal Data established under Article 29 of that Directive.

(16)
The obligations incumbent on service providers concerning measures to ensure data quality, which derive from Article 6 of Directive 95/46/EC, and their obligations concerning measures to ensure confidentiality and security of processing of data, which derive from Articles 16 and 17 of that Directive, apply in full to data being retained within the meaning of this Directive.

(17)
It is essential that Member States adopt legislative measures to ensure that data retained under this Directive are provided to the competent national authorities only in accordance with national legislation in full respect of the fundamental rights of the persons concerned.

(18)
In this context, Article 24 of Directive 95/46/EC imposes an obligation on Member States to lay down sanctions for infringements of the provisions adopted pursuant to that Directive. Article 15(2) of Directive 2002/58/EC imposes the same requirement in relation to national provisions adopted pursuant to Directive 2002/58/EC. Council Framework Decision 2005/222/JHA of 24 February 2005 on attacks against information systems(5)provides that the intentional illegal access to information systems, including to data retained therein, is to be made punishable as a criminal offence.

(19)
The right of any person who has suffered damage as a result of an unlawful processing operation or of any act incompatible with national provisions adopted pursuant to Directive 95/46/EC to receive compensation, which derives from Article 23 of that Directive, applies also in relation to the unlawful processing of any personal data pursuant to this Directive.

(20)
The 2001 Council of Europe Convention on Cybercrime and the 1981 Council of Europe Convention for the Protection of Individuals with Regard to Automatic Processing of Personal Data also cover data being retained within the meaning of this Directive.

(21)
Since the objectives of this Directive, namely to harmonise the obligations on providers to retain certain data and to ensure that those data are available for the purpose of the investigation, detection and prosecution of serious crime, as defined by each Member State in its national law, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of this Directive, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

(22)
This Directive respects the fundamental rights and observes the principles recognised, in particular, by the Charter of Fundamental Rights of the European Union. In particular, this Directive, together with Directive 2002/58/EC, seeks to ensure full compliance with citizens' fundamental rights to respect for private life and communications and to the protection of their personal data, as enshrined in Articles 7 and 8 of the Charter.

(23)
Given that the obligations on providers of electronic communications services should be proportionate, this Directive requires that they retain only such data as are generated or processed in the process of supplying their communications services. To the extent that such data are not generated or processed by those providers, there is no obligation to retain them. This Directive is not intended to harmonise the technology for retaining data, the choice of which is a matter to be resolved at national level.

(24)
In accordance with paragraph 34 of the Interinstitutional agreement on better law-making(6), Member States are encouraged to draw up, for themselves and in the interests of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures, and to make them public.

(25)
This Directive is without prejudice to the power of Member States to adopt legislative measures concerning the right of access to, and use of, data by national authorities, as designated by them. Issues of access to data retained pursuant to this Directive by national authorities for such activities as are referred to in the first indent of Article 3(2) of Directive 95/46/EC fall outside the scope of Community law. However, they may be subject to national law or action pursuant to Title VI of the Treaty on European Union. Such laws or action must fully respect fundamental rights as they result from the common constitutional traditions of the Member States and as guaranteed by the ECHR. Under Article 8 of the ECHR, as interpreted by the European Court of Human Rights, interference by public authorities with privacy rights must meet the requirements of necessity and proportionality and must therefore serve specified, explicit and legitimate purposes and be exercised in a manner that is adequate, relevant and not excessive in relation to the purpose of the interference,

(a)
‘data’ means traffic data and location data and the related data necessary to identify the subscriber or user;

(b)
‘user’ means any legal entity or natural person using a publicly available electronic communications service, for private or business purposes, without necessarily having subscribed to that service;

(c)
‘telephone service’ means calls (including voice, voicemail and conference and data calls), supplementary services (including call forwarding and call transfer) and messaging and multi-media services (including short message services, enhanced media services and multi-media services);

(d)
‘user ID’ means a unique identifier allocated to persons when they subscribe to or register with an Internet access service or Internet communications service;

(e)
‘cell ID’ means the identity of the cell from which a mobile telephony call originated or in which it terminated;

(f)
‘unsuccessful call attempt’ means a communication where a telephone call has been successfully connected but not answered or there has been a network management intervention.

(a)
data necessary to trace and identify the source of a communication:(1)concerning fixed network telephony and mobile telephony:(i)the calling telephone number;(ii)the name and address of the subscriber or registered user;(2)concerning Internet access, Internet e-mail and Internet telephony:(i)the user ID(s) allocated;(ii)the user ID and telephone number allocated to any communication entering the public telephone network;(iii)the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;
(1)
concerning fixed network telephony and mobile telephony:(i)the calling telephone number;(ii)the name and address of the subscriber or registered user;
(i)
the calling telephone number;
(ii)
the name and address of the subscriber or registered user;
(2)
concerning Internet access, Internet e-mail and Internet telephony:(i)the user ID(s) allocated;(ii)the user ID and telephone number allocated to any communication entering the public telephone network;(iii)the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;
(i)
the user ID(s) allocated;
(ii)
the user ID and telephone number allocated to any communication entering the public telephone network;
(iii)
the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;

(1)
concerning fixed network telephony and mobile telephony:(i)the calling telephone number;(ii)the name and address of the subscriber or registered user;
(i)
the calling telephone number;
(ii)
the name and address of the subscriber or registered user;

(i)
the calling telephone number;

(ii)
the name and address of the subscriber or registered user;

(2)
concerning Internet access, Internet e-mail and Internet telephony:(i)the user ID(s) allocated;(ii)the user ID and telephone number allocated to any communication entering the public telephone network;(iii)the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;
(i)
the user ID(s) allocated;
(ii)
the user ID and telephone number allocated to any communication entering the public telephone network;
(iii)
the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;

(i)
the user ID(s) allocated;

(ii)
the user ID and telephone number allocated to any communication entering the public telephone network;

(iii)
the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;

(1)
concerning fixed network telephony and mobile telephony:(i)the calling telephone number;(ii)the name and address of the subscriber or registered user;
(i)
the calling telephone number;
(ii)
the name and address of the subscriber or registered user;

(i)
the calling telephone number;

(ii)
the name and address of the subscriber or registered user;

(i)
the calling telephone number;

(ii)
the name and address of the subscriber or registered user;

(2)
concerning Internet access, Internet e-mail and Internet telephony:(i)the user ID(s) allocated;(ii)the user ID and telephone number allocated to any communication entering the public telephone network;(iii)the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;
(i)
the user ID(s) allocated;
(ii)
the user ID and telephone number allocated to any communication entering the public telephone network;
(iii)
the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;

(i)
the user ID(s) allocated;

(ii)
the user ID and telephone number allocated to any communication entering the public telephone network;

(iii)
the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;

(i)
the user ID(s) allocated;

(ii)
the user ID and telephone number allocated to any communication entering the public telephone network;

(iii)
the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;

(b)
data necessary to identify the destination of a communication:(1)concerning fixed network telephony and mobile telephony:(i)the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;(ii)the name(s) and address(es) of the subscriber(s) or registered user(s);(2)concerning Internet e-mail and Internet telephony:(i)the user ID or telephone number of the intended recipient(s) of an Internet telephony call;(ii)the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;
(1)
concerning fixed network telephony and mobile telephony:(i)the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;(ii)the name(s) and address(es) of the subscriber(s) or registered user(s);
(i)
the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;
(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s);
(2)
concerning Internet e-mail and Internet telephony:(i)the user ID or telephone number of the intended recipient(s) of an Internet telephony call;(ii)the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;
(i)
the user ID or telephone number of the intended recipient(s) of an Internet telephony call;
(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;

(1)
concerning fixed network telephony and mobile telephony:(i)the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;(ii)the name(s) and address(es) of the subscriber(s) or registered user(s);
(i)
the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;
(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s);

(i)
the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;

(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s);

(2)
concerning Internet e-mail and Internet telephony:(i)the user ID or telephone number of the intended recipient(s) of an Internet telephony call;(ii)the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;
(i)
the user ID or telephone number of the intended recipient(s) of an Internet telephony call;
(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;

(i)
the user ID or telephone number of the intended recipient(s) of an Internet telephony call;

(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;

(1)
concerning fixed network telephony and mobile telephony:(i)the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;(ii)the name(s) and address(es) of the subscriber(s) or registered user(s);
(i)
the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;
(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s);

(i)
the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;

(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s);

(i)
the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;

(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s);

(2)
concerning Internet e-mail and Internet telephony:(i)the user ID or telephone number of the intended recipient(s) of an Internet telephony call;(ii)the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;
(i)
the user ID or telephone number of the intended recipient(s) of an Internet telephony call;
(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;

(i)
the user ID or telephone number of the intended recipient(s) of an Internet telephony call;

(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;

(i)
the user ID or telephone number of the intended recipient(s) of an Internet telephony call;

(ii)
the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;

(c)
data necessary to identify the date, time and duration of a communication:(1)concerning fixed network telephony and mobile telephony, the date and time of the start and end of the communication;(2)concerning Internet access, Internet e-mail and Internet telephony:(i)the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;(ii)the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;
(1)
concerning fixed network telephony and mobile telephony, the date and time of the start and end of the communication;
(2)
concerning Internet access, Internet e-mail and Internet telephony:(i)the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;(ii)the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;
(i)
the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;
(ii)
the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;

(1)
concerning fixed network telephony and mobile telephony, the date and time of the start and end of the communication;

(2)
concerning Internet access, Internet e-mail and Internet telephony:(i)the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;(ii)the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;
(i)
the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;
(ii)
the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;

(i)
the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;

(ii)
the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;

(1)
concerning fixed network telephony and mobile telephony, the date and time of the start and end of the communication;

(2)
concerning Internet access, Internet e-mail and Internet telephony:(i)the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;(ii)the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;
(i)
the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;
(ii)
the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;

(i)
the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;

(ii)
the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;

(i)
the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;

(ii)
the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;

(d)
data necessary to identify the type of communication:(1)concerning fixed network telephony and mobile telephony: the telephone service used;(2)concerning Internet e-mail and Internet telephony: the Internet service used;
(1)
concerning fixed network telephony and mobile telephony: the telephone service used;
(2)
concerning Internet e-mail and Internet telephony: the Internet service used;

(1)
concerning fixed network telephony and mobile telephony: the telephone service used;

(2)
concerning Internet e-mail and Internet telephony: the Internet service used;

(1)
concerning fixed network telephony and mobile telephony: the telephone service used;

(2)
concerning Internet e-mail and Internet telephony: the Internet service used;

(e)
data necessary to identify users' communication equipment or what purports to be their equipment:(1)concerning fixed network telephony, the calling and called telephone numbers;(2)concerning mobile telephony:(i)the calling and called telephone numbers;(ii)the International Mobile Subscriber Identity (IMSI) of the calling party;(iii)the International Mobile Equipment Identity (IMEI) of the calling party;(iv)the IMSI of the called party;(v)the IMEI of the called party;(vi)in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;(3)concerning Internet access, Internet e-mail and Internet telephony:(i)the calling telephone number for dial-up access;(ii)the digital subscriber line (DSL) or other end point of the originator of the communication;
(1)
concerning fixed network telephony, the calling and called telephone numbers;
(2)
concerning mobile telephony:(i)the calling and called telephone numbers;(ii)the International Mobile Subscriber Identity (IMSI) of the calling party;(iii)the International Mobile Equipment Identity (IMEI) of the calling party;(iv)the IMSI of the called party;(v)the IMEI of the called party;(vi)in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;
(i)
the calling and called telephone numbers;
(ii)
the International Mobile Subscriber Identity (IMSI) of the calling party;
(iii)
the International Mobile Equipment Identity (IMEI) of the calling party;
(iv)
the IMSI of the called party;
(v)
the IMEI of the called party;
(vi)
in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;
(3)
concerning Internet access, Internet e-mail and Internet telephony:(i)the calling telephone number for dial-up access;(ii)the digital subscriber line (DSL) or other end point of the originator of the communication;
(i)
the calling telephone number for dial-up access;
(ii)
the digital subscriber line (DSL) or other end point of the originator of the communication;

(1)
concerning fixed network telephony, the calling and called telephone numbers;

(2)
concerning mobile telephony:(i)the calling and called telephone numbers;(ii)the International Mobile Subscriber Identity (IMSI) of the calling party;(iii)the International Mobile Equipment Identity (IMEI) of the calling party;(iv)the IMSI of the called party;(v)the IMEI of the called party;(vi)in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;
(i)
the calling and called telephone numbers;
(ii)
the International Mobile Subscriber Identity (IMSI) of the calling party;
(iii)
the International Mobile Equipment Identity (IMEI) of the calling party;
(iv)
the IMSI of the called party;
(v)
the IMEI of the called party;
(vi)
in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;

(i)
the calling and called telephone numbers;

(ii)
the International Mobile Subscriber Identity (IMSI) of the calling party;

(iii)
the International Mobile Equipment Identity (IMEI) of the calling party;

(iv)
the IMSI of the called party;

(v)
the IMEI of the called party;

(vi)
in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;

(3)
concerning Internet access, Internet e-mail and Internet telephony:(i)the calling telephone number for dial-up access;(ii)the digital subscriber line (DSL) or other end point of the originator of the communication;
(i)
the calling telephone number for dial-up access;
(ii)
the digital subscriber line (DSL) or other end point of the originator of the communication;

(i)
the calling telephone number for dial-up access;

(ii)
the digital subscriber line (DSL) or other end point of the originator of the communication;

(1)
concerning fixed network telephony, the calling and called telephone numbers;

(2)
concerning mobile telephony:(i)the calling and called telephone numbers;(ii)the International Mobile Subscriber Identity (IMSI) of the calling party;(iii)the International Mobile Equipment Identity (IMEI) of the calling party;(iv)the IMSI of the called party;(v)the IMEI of the called party;(vi)in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;
(i)
the calling and called telephone numbers;
(ii)
the International Mobile Subscriber Identity (IMSI) of the calling party;
(iii)
the International Mobile Equipment Identity (IMEI) of the calling party;
(iv)
the IMSI of the called party;
(v)
the IMEI of the called party;
(vi)
in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;

(i)
the calling and called telephone numbers;

(ii)
the International Mobile Subscriber Identity (IMSI) of the calling party;

(iii)
the International Mobile Equipment Identity (IMEI) of the calling party;

(iv)
the IMSI of the called party;

(v)
the IMEI of the called party;

(vi)
in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;

(i)
the calling and called telephone numbers;

(ii)
the International Mobile Subscriber Identity (IMSI) of the calling party;

(iii)
the International Mobile Equipment Identity (IMEI) of the calling party;

(iv)
the IMSI of the called party;

(v)
the IMEI of the called party;

(vi)
in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;

(3)
concerning Internet access, Internet e-mail and Internet telephony:(i)the calling telephone number for dial-up access;(ii)the digital subscriber line (DSL) or other end point of the originator of the communication;
(i)
the calling telephone number for dial-up access;
(ii)
the digital subscriber line (DSL) or other end point of the originator of the communication;

(i)
the calling telephone number for dial-up access;

(ii)
the digital subscriber line (DSL) or other end point of the originator of the communication;

(i)
the calling telephone number for dial-up access;

(ii)
the digital subscriber line (DSL) or other end point of the originator of the communication;

(f)
data necessary to identify the location of mobile communication equipment:(1)the location label (Cell ID) at the start of the communication;(2)data identifying the geographic location of cells by reference to their location labels (Cell ID) during the period for which communications data are retained.
(1)
the location label (Cell ID) at the start of the communication;
(2)
data identifying the geographic location of cells by reference to their location labels (Cell ID) during the period for which communications data are retained.

(1)
the location label (Cell ID) at the start of the communication;

(2)
data identifying the geographic location of cells by reference to their location labels (Cell ID) during the period for which communications data are retained.

(1)
the location label (Cell ID) at the start of the communication;

(2)
data identifying the geographic location of cells by reference to their location labels (Cell ID) during the period for which communications data are retained.

(a)
the retained data shall be of the same quality and subject to the same security and protection as those data on the network;

(b)
the data shall be subject to appropriate technical and organisational measures to protect the data against accidental or unlawful destruction, accidental loss or alteration, or unauthorised or unlawful storage, processing, access or disclosure;

(c)
the data shall be subject to appropriate technical and organisational measures to ensure that they can be accessed by specially authorised personnel only;and

(d)
the data, except those that have been accessed and preserved, shall be destroyed at the end of the period of retention.

—
the cases in which information was provided to the competent authorities in accordance with applicable national law,

—
the time elapsed between the date on which the data were retained and the date on which the competent authority requested the transmission of the data,

—
the cases where requests for data could not be met.

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

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

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

(1) Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data(3)requires Member States to protect the rights and freedoms of natural persons with regard to the processing of personal data, and in particular their right to privacy, in order to ensure the free flow of personal data in the Community.

(2) Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications)(4)translates the principles set out in Directive 95/46/EC into specific rules for the electronic communications sector.

(3) Articles 5, 6 and 9 of Directive 2002/58/EC lay down the rules applicable to the processing by network and service providers of traffic and location data generated by using electronic communications services. Such data must be erased or made anonymous when no longer needed for the purpose of the transmission of a communication, except for the data necessary for billing or interconnection payments. Subject to consent, certain data may also be processed for marketing purposes and the provision of value-added services.

(4) Article 15(1) of Directive 2002/58/EC sets out the conditions under which Member States may restrict the scope of the rights and obligations provided for in Article 5, Article 6, Article 8(1), (2), (3) and (4), and Article 9 of that Directive. Any such restrictions must be necessary, appropriate and proportionate within a democratic society for specific public order purposes, i.e. to safeguard national security (i.e. State security), defence, public security or the prevention, investigation, detection and prosecution of criminal offences or of unauthorised use of the electronic communications systems.

(5) Several Member States have adopted legislation providing for the retention of data by service providers for the prevention, investigation, detection, and prosecution of criminal offences. Those national provisions vary considerably.

(6) The legal and technical differences between national provisions concerning the retention of data for the purpose of prevention, investigation, detection and prosecution of criminal offences present obstacles to the internal market for electronic communications, since service providers are faced with different requirements regarding the types of traffic and location data to be retained and the conditions and periods of retention.

(7) The Conclusions of the Justice and Home Affairs Council of 19 December 2002 underline that, because of the significant growth in the possibilities afforded by electronic communications, data relating to the use of electronic communications are particularly important and therefore a valuable tool in the prevention, investigation, detection and prosecution of criminal offences, in particular organised crime.

(8) The Declaration on Combating Terrorism adopted by the European Council on 25 March 2004 instructed the Council to examine measures for establishing rules on the retention of communications traffic data by service providers.

(9) Under Article 8 of the European Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR), everyone has the right to respect for his private life and his correspondence. Public authorities may interfere with the exercise of that right only in accordance with the law and where necessary in a democratic society,inter alia, in the interests of national security or public safety, for the prevention of disorder or crime, or for the protection of the rights and freedoms of others. Because retention of data has proved to be such a necessary and effective investigative tool for law enforcement in several Member States, and in particular concerning serious matters such as organised crime and terrorism, it is necessary to ensure that retained data are made available to law enforcement authorities for a certain period, subject to the conditions provided for in this Directive. The adoption of an instrument on data retention that complies with the requirements of Article 8 of the ECHR is therefore a necessary measure.

(10) On 13 July 2005, the Council reaffirmed in its declaration condemning the terrorist attacks on London the need to adopt common measures on the retention of telecommunications data as soon as possible.

(11) Given the importance of traffic and location data for the investigation, detection, and prosecution of criminal offences, as demonstrated by research and the practical experience of several Member States, there is a need to ensure at European level that data that are generated or processed, in the course of the supply of communications services, by providers of publicly available electronic communications services or of a public communications network are retained for a certain period, subject to the conditions provided for in this Directive.

(12) Article 15(1) of Directive 2002/58/EC continues to apply to data, including data relating to unsuccessful call attempts, the retention of which is not specifically required under this Directive and which therefore fall outside the scope thereof, and to retention for purposes, including judicial purposes, other than those covered by this Directive.

(13) This Directive relates only to data generated or processed as a consequence of a communication or a communication service and does not relate to data that are the content of the information communicated. Data should be retained in such a way as to avoid their being retained more than once. Data generated or processed when supplying the communications services concerned refers to data which are accessible. In particular, as regards the retention of data relating to Internet e-mail and Internet telephony, the obligation to retain data may apply only in respect of data from the providers’ or the network providers’ own services.

(14) Technologies relating to electronic communications are changing rapidly and the legitimate requirements of the competent authorities may evolve. In order to obtain advice and encourage the sharing of experience of best practice in these matters, the Commission intends to establish a group composed of Member States’ law enforcement authorities, associations of the electronic communications industry, representatives of the European Parliament and data protection authorities, including the European Data Protection Supervisor.

(15) Directive 95/46/EC and Directive 2002/58/EC are fully applicable to the data retained in accordance with this Directive. Article 30(1)(c) of Directive 95/46/EC requires the consultation of the Working Party on the Protection of Individuals with regard to the Processing of Personal Data established under Article 29 of that Directive.

(16) The obligations incumbent on service providers concerning measures to ensure data quality, which derive from Article 6 of Directive 95/46/EC, and their obligations concerning measures to ensure confidentiality and security of processing of data, which derive from Articles 16 and 17 of that Directive, apply in full to data being retained within the meaning of this Directive.

(17) It is essential that Member States adopt legislative measures to ensure that data retained under this Directive are provided to the competent national authorities only in accordance with national legislation in full respect of the fundamental rights of the persons concerned.

(18) In this context, Article 24 of Directive 95/46/EC imposes an obligation on Member States to lay down sanctions for infringements of the provisions adopted pursuant to that Directive. Article 15(2) of Directive 2002/58/EC imposes the same requirement in relation to national provisions adopted pursuant to Directive 2002/58/EC. Council Framework Decision 2005/222/JHA of 24 February 2005 on attacks against information systems(5)provides that the intentional illegal access to information systems, including to data retained therein, is to be made punishable as a criminal offence.

(19) The right of any person who has suffered damage as a result of an unlawful processing operation or of any act incompatible with national provisions adopted pursuant to Directive 95/46/EC to receive compensation, which derives from Article 23 of that Directive, applies also in relation to the unlawful processing of any personal data pursuant to this Directive.

(20) The 2001 Council of Europe Convention on Cybercrime and the 1981 Council of Europe Convention for the Protection of Individuals with Regard to Automatic Processing of Personal Data also cover data being retained within the meaning of this Directive.

(21) Since the objectives of this Directive, namely to harmonise the obligations on providers to retain certain data and to ensure that those data are available for the purpose of the investigation, detection and prosecution of serious crime, as defined by each Member State in its national law, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of this Directive, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

(22) This Directive respects the fundamental rights and observes the principles recognised, in particular, by the Charter of Fundamental Rights of the European Union. In particular, this Directive, together with Directive 2002/58/EC, seeks to ensure full compliance with citizens’ fundamental rights to respect for private life and communications and to the protection of their personal data, as enshrined in Articles 7 and 8 of the Charter.

(23) Given that the obligations on providers of electronic communications services should be proportionate, this Directive requires that they retain only such data as are generated or processed in the process of supplying their communications services. To the extent that such data are not generated or processed by those providers, there is no obligation to retain them. This Directive is not intended to harmonise the technology for retaining data, the choice of which is a matter to be resolved at national level.

(24) In accordance with paragraph 34 of the Interinstitutional agreement on better law-making(6), Member States are encouraged to draw up, for themselves and in the interests of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures, and to make them public.

(25) This Directive is without prejudice to the power of Member States to adopt legislative measures concerning the right of access to, and use of, data by national authorities, as designated by them. Issues of access to data retained pursuant to this Directive by national authorities for such activities as are referred to in the first indent of Article 3(2) of Directive 95/46/EC fall outside the scope of Community law. However, they may be subject to national law or action pursuant to Title VI of the Treaty on European Union. Such laws or action must fully respect fundamental rights as they result from the common constitutional traditions of the Member States and as guaranteed by the ECHR. Under Article 8 of the ECHR, as interpreted by the European Court of Human Rights, interference by public authorities with privacy rights must meet the requirements of necessity and proportionality and must therefore serve specified, explicit and legitimate purposes and be exercised in a manner that is adequate, relevant and not excessive in relation to the purpose of the interference,

HAVE ADOPTED THIS DIRECTIVE:
Subject matter and scope

Article 1

1.   This Directive aims to harmonise Member States’ provisions concerning the obligations of the providers of publicly available electronic communications services or of public communications networks with respect to the retention of certain data which are generated or processed by them, in order to ensure that the data are available for the purpose of the investigation, detection and prosecution of serious crime, as defined by each Member State in its national law.

2.   This Directive shall apply to traffic and location data on both legal entities and natural persons and to the related data necessary to identify the subscriber or registered user. It shall not apply to the content of electronic communications, including information consulted using an electronic communications network.
Definitions

Article 2

1.   For the purpose of this Directive, the definitions in Directive 95/46/EC, in Directive 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services (Framework Directive)(7), and in Directive 2002/58/EC shall apply.

2.   For the purpose of this Directive:

(a)

‘data’ means traffic data and location data and the related data necessary to identify the subscriber or user;

(b)

‘user’ means any legal entity or natural person using a publicly available electronic communications service, for private or business purposes, without necessarily having subscribed to that service;

(c)

‘telephone service’ means calls (including voice, voicemail and conference and data calls), supplementary services (including call forwarding and call transfer) and messaging and multi-media services (including short message services, enhanced media services and multi-media services);

(d)

‘user ID’ means a unique identifier allocated to persons when they subscribe to or register with an Internet access service or Internet communications service;

(e)

‘cell ID’ means the identity of the cell from which a mobile telephony call originated or in which it terminated;

(f)

‘unsuccessful call attempt’ means a communication where a telephone call has been successfully connected but not answered or there has been a network management intervention.
Obligation to retain data

Article 3

1.   By way of derogation from Articles 5, 6 and 9 of Directive 2002/58/EC, Member States shall adopt measures to ensure that the data specified in Article 5 of this Directive are retained in accordance with the provisions thereof, to the extent that those data are generated or processed by providers of publicly available electronic communications services or of a public communications network within their jurisdiction in the process of supplying the communications services concerned.

2.   The obligation to retain data provided for in paragraph 1 shall include the retention of the data specified in Article 5 relating to unsuccessful call attempts where those data are generated or processed, and stored (as regards telephony data) or logged (as regards Internet data), by providers of publicly available electronic communications services or of a public communications network within the jurisdiction of the Member State concerned in the process of supplying the communication services concerned. This Directive shall not require data relating to unconnected calls to be retained.
Access to data

Article 4

Member States shall adopt measures to ensure that data retained in accordance with this Directive are provided only to the competent national authorities in specific cases and in accordance with national law. The procedures to be followed and the conditions to be fulfilled in order to gain access to retained data in accordance with necessity and proportionality requirements shall be defined by each Member State in its national law, subject to the relevant provisions of European Union law or public international law, and in particular the ECHR as interpreted by the European Court of Human Rights.
Categories of data to be retained

Article 5

1.   Member States shall ensure that the following categories of data are retained under this Directive:

(a)

data necessary to trace and identify the source of a communication:

(1)

concerning fixed network telephony and mobile telephony:

(i)

the calling telephone number;

(ii)

the name and address of the subscriber or registered user;

(2)

concerning Internet access, Internet e-mail and Internet telephony:

(i)

the user ID(s) allocated;

(ii)

the user ID and telephone number allocated to any communication entering the public telephone network;

(iii)

the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;

(b)

data necessary to identify the destination of a communication:

(1)

concerning fixed network telephony and mobile telephony:

(i)

the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;

(ii)

the name(s) and address(es) of the subscriber(s) or registered user(s);

(2)

concerning Internet e-mail and Internet telephony:

(i)

the user ID or telephone number of the intended recipient(s) of an Internet telephony call;

(ii)

the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;

(c)

data necessary to identify the date, time and duration of a communication:

(1)

concerning fixed network telephony and mobile telephony, the date and time of the start and end of the communication;

(2)

concerning Internet access, Internet e-mail and Internet telephony:

(i)

the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;

(ii)

the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;

(d)

data necessary to identify the type of communication:

(1)

concerning fixed network telephony and mobile telephony: the telephone service used;

(2)

concerning Internet e-mail and Internet telephony: the Internet service used;

(e)

data necessary to identify users’ communication equipment or what purports to be their equipment:

(1)

concerning fixed network telephony, the calling and called telephone numbers;

(2)

concerning mobile telephony:

(i)

the calling and called telephone numbers;

(ii)

the International Mobile Subscriber Identity (IMSI) of the calling party;

(iii)

the International Mobile Equipment Identity (IMEI) of the calling party;

(iv)

the IMSI of the called party;

(v)

the IMEI of the called party;

(vi)

in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;

(3)

concerning Internet access, Internet e-mail and Internet telephony:

(i)

the calling telephone number for dial-up access;

(ii)

the digital subscriber line (DSL) or other end point of the originator of the communication;

(f)

data necessary to identify the location of mobile communication equipment:

(1)

the location label (Cell ID) at the start of the communication;

(2)

data identifying the geographic location of cells by reference to their location labels (Cell ID) during the period for which communications data are retained.

2.   No data revealing the content of the communication may be retained pursuant to this Directive.
Periods of retention

Article 6

Member States shall ensure that the categories of data specified in Article 5 are retained for periods of not less than six months and not more than two years from the date of the communication.
Data protection and data security

Article 7

Without prejudice to the provisions adopted pursuant to Directive 95/46/EC and Directive 2002/58/EC, each Member State shall ensure that providers of publicly available electronic communications services or of a public communications network respect, as a minimum, the following data security principles with respect to data retained in accordance with this Directive:

(a)

the retained data shall be of the same quality and subject to the same security and protection as those data on the network;

(b)

the data shall be subject to appropriate technical and organisational measures to protect the data against accidental or unlawful destruction, accidental loss or alteration, or unauthorised or unlawful storage, processing, access or disclosure;

(c)

the data shall be subject to appropriate technical and organisational measures to ensure that they can be accessed by specially authorised personnel only;

and

(d)

the data, except those that have been accessed and preserved, shall be destroyed at the end of the period of retention.
Storage requirements for retained data

Article 8

Member States shall ensure that the data specified in Article 5 are retained in accordance with this Directive in such a way that the data retained and any other necessary information relating to such data can be transmitted upon request to the competent authorities without undue delay.
Supervisory authority

Article 9

1.   Each Member State shall designate one or more public authorities to be responsible for monitoring the application within its territory of the provisions adopted by the Member States pursuant to Article 7 regarding the security of the stored data. Those authorities may be the same authorities as those referred to in Article 28 of Directive 95/46/EC.

2.   The authorities referred to in paragraph 1 shall act with complete independence in carrying out the monitoring referred to in that paragraph.
Statistics

Article 10

1.   Member States shall ensure that the Commission is provided on a yearly basis with statistics on the retention of data generated or processed in connection with the provision of publicly available electronic communications services or a public communications network. Such statistics shall include:

—

the cases in which information was provided to the competent authorities in accordance with applicable national law,

—

the time elapsed between the date on which the data were retained and the date on which the competent authority requested the transmission of the data,

—

the cases where requests for data could not be met.

2.   Such statistics shall not contain personal data.
Amendment of Directive 2002/58/EC

Article 11

The following paragraph shall be inserted in Article 15 of Directive 2002/58/EC:

‘1a.   Paragraph 1 shall not apply to data specifically required by Directive 2006/24/EC of the European Parliament and of the Council of 15 March 2006 on the retention of data generated or processed in connection with the provision of publicly available electronic communications services or of public communications networks(*1)to be retained for the purposes referred to in Article 1(1) of that Directive.
Future measures

Aricle 12

1.   A Member State facing particular circumstances that warrant an extension for a limited period of the maximum retention period referred to in Article 6 may take the necessary measures. That Member State shall immediately notify the Commission and inform the other Member States of the measures taken under this Article and shall state the grounds for introducing them.

2.   The Commission shall, within a period of six months after the notification referred to in paragraph 1, approve or reject the national measures concerned, after having examined whether they are a means of arbitrary discrimination or a disguised restriction of trade between Member States and whether they constitute an obstacle to the functioning of the internal market. In the absence of a decision by the Commission within that period the national measures shall be deemed to have been approved.

3.   Where, pursuant to paragraph 2, the national measures of a Member State derogating from the provisions of this Directive are approved, the Commission may consider whether to propose an amendment to this Directive.
Remedies, liability and penalties

Article 13

1.   Each Member State shall take the necessary measures to ensure that the national measures implementing Chapter III of Directive 95/46/EC providing for judicial remedies, liability and sanctions are fully implemented with respect to the processing of data under this Directive.

2.   Each Member State shall, in particular, take the necessary measures to ensure that any intentional access to, or transfer of, data retained in accordance with this Directive that is not permitted under national law adopted pursuant to this Directive is punishable by penalties, including administrative or criminal penalties, that are effective, proportionate and dissuasive.
Evaluation

Article 14

1.   No later than 15 September 2010, the Commission shall submit to the European Parliament and the Council an evaluation of the application of this Directive and its impact on economic operators and consumers, taking into account further developments in electronic communications technology and the statistics provided to the Commission pursuant to Article 10 with a view to determining whether it is necessary to amend the provisions of this Directive, in particular with regard to the list of data in Article 5 and the periods of retention provided for in Article 6. The results of the evaluation shall be made public.

2.   To that end, the Commission shall examine all observations communicated to it by the Member States or by the Working Party established under Article 29 of Directive 95/46/EC.
Transposition

Article 15

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by no later than 15 September 2007. They shall forthwith inform the Commission thereof. When Member States adopt those measures, they shall contain a reference to this Directive or shall be accompanied by such reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.

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

3.   Until 15 March 2009, each Member State may postpone application of this Directive to the retention of communications data relating to Internet Access, Internet telephony and Internet e-mail. Any Member State that intends to make use of this paragraph shall, upon adoption of this Directive, notify the Council and the Commission to that effect by way of a declaration. The declaration shall be published in theOfficial Journal of the European Union.
Entry into force

Article 16

This Directive shall enter into force on the twentieth day following that of its publication in theOfficial Journal of the European Union.
Addressees

Article 17

This Directive is addressed to the Member States.
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

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

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

(1) Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data(3)requires Member States to protect the rights and freedoms of natural persons with regard to the processing of personal data, and in particular their right to privacy, in order to ensure the free flow of personal data in the Community.

(2) Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications)(4)translates the principles set out in Directive 95/46/EC into specific rules for the electronic communications sector.

(3) Articles 5, 6 and 9 of Directive 2002/58/EC lay down the rules applicable to the processing by network and service providers of traffic and location data generated by using electronic communications services. Such data must be erased or made anonymous when no longer needed for the purpose of the transmission of a communication, except for the data necessary for billing or interconnection payments. Subject to consent, certain data may also be processed for marketing purposes and the provision of value-added services.

(4) Article 15(1) of Directive 2002/58/EC sets out the conditions under which Member States may restrict the scope of the rights and obligations provided for in Article 5, Article 6, Article 8(1), (2), (3) and (4), and Article 9 of that Directive. Any such restrictions must be necessary, appropriate and proportionate within a democratic society for specific public order purposes, i.e. to safeguard national security (i.e. State security), defence, public security or the prevention, investigation, detection and prosecution of criminal offences or of unauthorised use of the electronic communications systems.

(5) Several Member States have adopted legislation providing for the retention of data by service providers for the prevention, investigation, detection, and prosecution of criminal offences. Those national provisions vary considerably.

(6) The legal and technical differences between national provisions concerning the retention of data for the purpose of prevention, investigation, detection and prosecution of criminal offences present obstacles to the internal market for electronic communications, since service providers are faced with different requirements regarding the types of traffic and location data to be retained and the conditions and periods of retention.

(7) The Conclusions of the Justice and Home Affairs Council of 19 December 2002 underline that, because of the significant growth in the possibilities afforded by electronic communications, data relating to the use of electronic communications are particularly important and therefore a valuable tool in the prevention, investigation, detection and prosecution of criminal offences, in particular organised crime.

(8) The Declaration on Combating Terrorism adopted by the European Council on 25 March 2004 instructed the Council to examine measures for establishing rules on the retention of communications traffic data by service providers.

(9) Under Article 8 of the European Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR), everyone has the right to respect for his private life and his correspondence. Public authorities may interfere with the exercise of that right only in accordance with the law and where necessary in a democratic society,inter alia, in the interests of national security or public safety, for the prevention of disorder or crime, or for the protection of the rights and freedoms of others. Because retention of data has proved to be such a necessary and effective investigative tool for law enforcement in several Member States, and in particular concerning serious matters such as organised crime and terrorism, it is necessary to ensure that retained data are made available to law enforcement authorities for a certain period, subject to the conditions provided for in this Directive. The adoption of an instrument on data retention that complies with the requirements of Article 8 of the ECHR is therefore a necessary measure.

(10) On 13 July 2005, the Council reaffirmed in its declaration condemning the terrorist attacks on London the need to adopt common measures on the retention of telecommunications data as soon as possible.

(11) Given the importance of traffic and location data for the investigation, detection, and prosecution of criminal offences, as demonstrated by research and the practical experience of several Member States, there is a need to ensure at European level that data that are generated or processed, in the course of the supply of communications services, by providers of publicly available electronic communications services or of a public communications network are retained for a certain period, subject to the conditions provided for in this Directive.

(12) Article 15(1) of Directive 2002/58/EC continues to apply to data, including data relating to unsuccessful call attempts, the retention of which is not specifically required under this Directive and which therefore fall outside the scope thereof, and to retention for purposes, including judicial purposes, other than those covered by this Directive.

(13) This Directive relates only to data generated or processed as a consequence of a communication or a communication service and does not relate to data that are the content of the information communicated. Data should be retained in such a way as to avoid their being retained more than once. Data generated or processed when supplying the communications services concerned refers to data which are accessible. In particular, as regards the retention of data relating to Internet e-mail and Internet telephony, the obligation to retain data may apply only in respect of data from the providers’ or the network providers’ own services.

(14) Technologies relating to electronic communications are changing rapidly and the legitimate requirements of the competent authorities may evolve. In order to obtain advice and encourage the sharing of experience of best practice in these matters, the Commission intends to establish a group composed of Member States’ law enforcement authorities, associations of the electronic communications industry, representatives of the European Parliament and data protection authorities, including the European Data Protection Supervisor.

(15) Directive 95/46/EC and Directive 2002/58/EC are fully applicable to the data retained in accordance with this Directive. Article 30(1)(c) of Directive 95/46/EC requires the consultation of the Working Party on the Protection of Individuals with regard to the Processing of Personal Data established under Article 29 of that Directive.

(16) The obligations incumbent on service providers concerning measures to ensure data quality, which derive from Article 6 of Directive 95/46/EC, and their obligations concerning measures to ensure confidentiality and security of processing of data, which derive from Articles 16 and 17 of that Directive, apply in full to data being retained within the meaning of this Directive.

(17) It is essential that Member States adopt legislative measures to ensure that data retained under this Directive are provided to the competent national authorities only in accordance with national legislation in full respect of the fundamental rights of the persons concerned.

(18) In this context, Article 24 of Directive 95/46/EC imposes an obligation on Member States to lay down sanctions for infringements of the provisions adopted pursuant to that Directive. Article 15(2) of Directive 2002/58/EC imposes the same requirement in relation to national provisions adopted pursuant to Directive 2002/58/EC. Council Framework Decision 2005/222/JHA of 24 February 2005 on attacks against information systems(5)provides that the intentional illegal access to information systems, including to data retained therein, is to be made punishable as a criminal offence.

(19) The right of any person who has suffered damage as a result of an unlawful processing operation or of any act incompatible with national provisions adopted pursuant to Directive 95/46/EC to receive compensation, which derives from Article 23 of that Directive, applies also in relation to the unlawful processing of any personal data pursuant to this Directive.

(20) The 2001 Council of Europe Convention on Cybercrime and the 1981 Council of Europe Convention for the Protection of Individuals with Regard to Automatic Processing of Personal Data also cover data being retained within the meaning of this Directive.

(21) Since the objectives of this Directive, namely to harmonise the obligations on providers to retain certain data and to ensure that those data are available for the purpose of the investigation, detection and prosecution of serious crime, as defined by each Member State in its national law, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of this Directive, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

(22) This Directive respects the fundamental rights and observes the principles recognised, in particular, by the Charter of Fundamental Rights of the European Union. In particular, this Directive, together with Directive 2002/58/EC, seeks to ensure full compliance with citizens’ fundamental rights to respect for private life and communications and to the protection of their personal data, as enshrined in Articles 7 and 8 of the Charter.

(23) Given that the obligations on providers of electronic communications services should be proportionate, this Directive requires that they retain only such data as are generated or processed in the process of supplying their communications services. To the extent that such data are not generated or processed by those providers, there is no obligation to retain them. This Directive is not intended to harmonise the technology for retaining data, the choice of which is a matter to be resolved at national level.

(24) In accordance with paragraph 34 of the Interinstitutional agreement on better law-making(6), Member States are encouraged to draw up, for themselves and in the interests of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures, and to make them public.

(25) This Directive is without prejudice to the power of Member States to adopt legislative measures concerning the right of access to, and use of, data by national authorities, as designated by them. Issues of access to data retained pursuant to this Directive by national authorities for such activities as are referred to in the first indent of Article 3(2) of Directive 95/46/EC fall outside the scope of Community law. However, they may be subject to national law or action pursuant to Title VI of the Treaty on European Union. Such laws or action must fully respect fundamental rights as they result from the common constitutional traditions of the Member States and as guaranteed by the ECHR. Under Article 8 of the ECHR, as interpreted by the European Court of Human Rights, interference by public authorities with privacy rights must meet the requirements of necessity and proportionality and must therefore serve specified, explicit and legitimate purposes and be exercised in a manner that is adequate, relevant and not excessive in relation to the purpose of the interference,

HAVE ADOPTED THIS DIRECTIVE:
Subject matter and scope1.   This Directive aims to harmonise Member States’ provisions concerning the obligations of the providers of publicly available electronic communications services or of public communications networks with respect to the retention of certain data which are generated or processed by them, in order to ensure that the data are available for the purpose of the investigation, detection and prosecution of serious crime, as defined by each Member State in its national law.

2.   This Directive shall apply to traffic and location data on both legal entities and natural persons and to the related data necessary to identify the subscriber or registered user. It shall not apply to the content of electronic communications, including information consulted using an electronic communications network.
Definitions1.   For the purpose of this Directive, the definitions in Directive 95/46/EC, in Directive 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services (Framework Directive)(7), and in Directive 2002/58/EC shall apply.

2.   For the purpose of this Directive:

(a)

‘data’ means traffic data and location data and the related data necessary to identify the subscriber or user;

(b)

‘user’ means any legal entity or natural person using a publicly available electronic communications service, for private or business purposes, without necessarily having subscribed to that service;

(c)

‘telephone service’ means calls (including voice, voicemail and conference and data calls), supplementary services (including call forwarding and call transfer) and messaging and multi-media services (including short message services, enhanced media services and multi-media services);

(d)

‘user ID’ means a unique identifier allocated to persons when they subscribe to or register with an Internet access service or Internet communications service;

(e)

‘cell ID’ means the identity of the cell from which a mobile telephony call originated or in which it terminated;

(f)

‘unsuccessful call attempt’ means a communication where a telephone call has been successfully connected but not answered or there has been a network management intervention.
Obligation to retain data1.   By way of derogation from Articles 5, 6 and 9 of Directive 2002/58/EC, Member States shall adopt measures to ensure that the data specified in Article 5 of this Directive are retained in accordance with the provisions thereof, to the extent that those data are generated or processed by providers of publicly available electronic communications services or of a public communications network within their jurisdiction in the process of supplying the communications services concerned.

2.   The obligation to retain data provided for in paragraph 1 shall include the retention of the data specified in Article 5 relating to unsuccessful call attempts where those data are generated or processed, and stored (as regards telephony data) or logged (as regards Internet data), by providers of publicly available electronic communications services or of a public communications network within the jurisdiction of the Member State concerned in the process of supplying the communication services concerned. This Directive shall not require data relating to unconnected calls to be retained.
Access to dataMember States shall adopt measures to ensure that data retained in accordance with this Directive are provided only to the competent national authorities in specific cases and in accordance with national law. The procedures to be followed and the conditions to be fulfilled in order to gain access to retained data in accordance with necessity and proportionality requirements shall be defined by each Member State in its national law, subject to the relevant provisions of European Union law or public international law, and in particular the ECHR as interpreted by the European Court of Human Rights.
Categories of data to be retained1.   Member States shall ensure that the following categories of data are retained under this Directive:

(a)

data necessary to trace and identify the source of a communication:

(1)

concerning fixed network telephony and mobile telephony:

(i)

the calling telephone number;

(ii)

the name and address of the subscriber or registered user;

(2)

concerning Internet access, Internet e-mail and Internet telephony:

(i)

the user ID(s) allocated;

(ii)

the user ID and telephone number allocated to any communication entering the public telephone network;

(iii)

the name and address of the subscriber or registered user to whom an Internet Protocol (IP) address, user ID or telephone number was allocated at the time of the communication;

(b)

data necessary to identify the destination of a communication:

(1)

concerning fixed network telephony and mobile telephony:

(i)

the number(s) dialled (the telephone number(s) called), and, in cases involving supplementary services such as call forwarding or call transfer, the number or numbers to which the call is routed;

(ii)

the name(s) and address(es) of the subscriber(s) or registered user(s);

(2)

concerning Internet e-mail and Internet telephony:

(i)

the user ID or telephone number of the intended recipient(s) of an Internet telephony call;

(ii)

the name(s) and address(es) of the subscriber(s) or registered user(s) and user ID of the intended recipient of the communication;

(c)

data necessary to identify the date, time and duration of a communication:

(1)

concerning fixed network telephony and mobile telephony, the date and time of the start and end of the communication;

(2)

concerning Internet access, Internet e-mail and Internet telephony:

(i)

the date and time of the log-in and log-off of the Internet access service, based on a certain time zone, together with the IP address, whether dynamic or static, allocated by the Internet access service provider to a communication, and the user ID of the subscriber or registered user;

(ii)

the date and time of the log-in and log-off of the Internet e-mail service or Internet telephony service, based on a certain time zone;

(d)

data necessary to identify the type of communication:

(1)

concerning fixed network telephony and mobile telephony: the telephone service used;

(2)

concerning Internet e-mail and Internet telephony: the Internet service used;

(e)

data necessary to identify users’ communication equipment or what purports to be their equipment:

(1)

concerning fixed network telephony, the calling and called telephone numbers;

(2)

concerning mobile telephony:

(i)

the calling and called telephone numbers;

(ii)

the International Mobile Subscriber Identity (IMSI) of the calling party;

(iii)

the International Mobile Equipment Identity (IMEI) of the calling party;

(iv)

the IMSI of the called party;

(v)

the IMEI of the called party;

(vi)

in the case of pre-paid anonymous services, the date and time of the initial activation of the service and the location label (Cell ID) from which the service was activated;

(3)

concerning Internet access, Internet e-mail and Internet telephony:

(i)

the calling telephone number for dial-up access;

(ii)

the digital subscriber line (DSL) or other end point of the originator of the communication;

(f)

data necessary to identify the location of mobile communication equipment:

(1)

the location label (Cell ID) at the start of the communication;

(2)

data identifying the geographic location of cells by reference to their location labels (Cell ID) during the period for which communications data are retained.

2.   No data revealing the content of the communication may be retained pursuant to this Directive.
Periods of retentionMember States shall ensure that the categories of data specified in Article 5 are retained for periods of not less than six months and not more than two years from the date of the communication.
Data protection and data securityWithout prejudice to the provisions adopted pursuant to Directive 95/46/EC and Directive 2002/58/EC, each Member State shall ensure that providers of publicly available electronic communications services or of a public communications network respect, as a minimum, the following data security principles with respect to data retained in accordance with this Directive:

(a)

the retained data shall be of the same quality and subject to the same security and protection as those data on the network;

(b)

the data shall be subject to appropriate technical and organisational measures to protect the data against accidental or unlawful destruction, accidental loss or alteration, or unauthorised or unlawful storage, processing, access or disclosure;

(c)

the data shall be subject to appropriate technical and organisational measures to ensure that they can be accessed by specially authorised personnel only;

and

(d)

the data, except those that have been accessed and preserved, shall be destroyed at the end of the period of retention.
Storage requirements for retained dataMember States shall ensure that the data specified in Article 5 are retained in accordance with this Directive in such a way that the data retained and any other necessary information relating to such data can be transmitted upon request to the competent authorities without undue delay.
Supervisory authority1.   Each Member State shall designate one or more public authorities to be responsible for monitoring the application within its territory of the provisions adopted by the Member States pursuant to Article 7 regarding the security of the stored data. Those authorities may be the same authorities as those referred to in Article 28 of Directive 95/46/EC.

2.   The authorities referred to in paragraph 1 shall act with complete independence in carrying out the monitoring referred to in that paragraph.
Statistics1.   Member States shall ensure that the Commission is provided on a yearly basis with statistics on the retention of data generated or processed in connection with the provision of publicly available electronic communications services or a public communications network. Such statistics shall include:

—

the cases in which information was provided to the competent authorities in accordance with applicable national law,

—

the time elapsed between the date on which the data were retained and the date on which the competent authority requested the transmission of the data,

—

the cases where requests for data could not be met.

2.   Such statistics shall not contain personal data.
Amendment of Directive 2002/58/ECThe following paragraph shall be inserted in Article 15 of Directive 2002/58/EC:

‘1a.   Paragraph 1 shall not apply to data specifically required by Directive 2006/24/EC of the European Parliament and of the Council of 15 March 2006 on the retention of data generated or processed in connection with the provision of publicly available electronic communications services or of public communications networks(*1)to be retained for the purposes referred to in Article 1(1) of that Directive.
Future measures1.   A Member State facing particular circumstances that warrant an extension for a limited period of the maximum retention period referred to in Article 6 may take the necessary measures. That Member State shall immediately notify the Commission and inform the other Member States of the measures taken under this Article and shall state the grounds for introducing them.

2.   The Commission shall, within a period of six months after the notification referred to in paragraph 1, approve or reject the national measures concerned, after having examined whether they are a means of arbitrary discrimination or a disguised restriction of trade between Member States and whether they constitute an obstacle to the functioning of the internal market. In the absence of a decision by the Commission within that period the national measures shall be deemed to have been approved.

3.   Where, pursuant to paragraph 2, the national measures of a Member State derogating from the provisions of this Directive are approved, the Commission may consider whether to propose an amendment to this Directive.
Remedies, liability and penalties1.   Each Member State shall take the necessary measures to ensure that the national measures implementing Chapter III of Directive 95/46/EC providing for judicial remedies, liability and sanctions are fully implemented with respect to the processing of data under this Directive.

2.   Each Member State shall, in particular, take the necessary measures to ensure that any intentional access to, or transfer of, data retained in accordance with this Directive that is not permitted under national law adopted pursuant to this Directive is punishable by penalties, including administrative or criminal penalties, that are effective, proportionate and dissuasive.
Evaluation1.   No later than 15 September 2010, the Commission shall submit to the European Parliament and the Council an evaluation of the application of this Directive and its impact on economic operators and consumers, taking into account further developments in electronic communications technology and the statistics provided to the Commission pursuant to Article 10 with a view to determining whether it is necessary to amend the provisions of this Directive, in particular with regard to the list of data in Article 5 and the periods of retention provided for in Article 6. The results of the evaluation shall be made public.

2.   To that end, the Commission shall examine all observations communicated to it by the Member States or by the Working Party established under Article 29 of Directive 95/46/EC.
Transposition1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by no later than 15 September 2007. They shall forthwith inform the Commission thereof. When Member States adopt those measures, they shall contain a reference to this Directive or shall be accompanied by such reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.

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

3.   Until 15 March 2009, each Member State may postpone application of this Directive to the retention of communications data relating to Internet Access, Internet telephony and Internet e-mail. Any Member State that intends to make use of this paragraph shall, upon adoption of this Directive, notify the Council and the Commission to that effect by way of a declaration. The declaration shall be published in theOfficial Journal of the European Union.
Entry into forceThis Directive shall enter into force on the twentieth day following that of its publication in theOfficial Journal of the European Union.
AddresseesThis Directive is addressed to the Member States.

Pending: 32006L0008

                                January 16, 2026                            

24.1.2006
EN
Official Journal of the European Union
L 19/12



(1)
Preparations composed of more than one substance being classified in Annex I to Council Directive 67/548/EEC of 27 June 1967 on the approximation of laws, regulations and administrative provisions relating to the classification, packaging and labelling of dangerous substances(2)as carcinogenic, mutagenic and/or toxic for reproduction must currently be labelled with risk phrases (R-phrases) to indicate both category 1 or 2 and category 3 classification. However, providing both R-phrases sends a conflicting message. Preparations should therefore only be classified and labelled with the higher category.



(2)
For substances very toxic to the aquatic environment (classified as N) and assigned the R-phrases R50 or R50/53, specific concentration limits (SCLs) are currently applied to substances listed in Annex I to Directive 67/548/EEC in order to avoid an underestimation of the hazard. This measure creates distortions between preparations containing substances listed in Annex I to Directive 67/548/EEC, to which SCLs are applied, and those preparations containing substances not yet included in Annex I, but classified and labelled provisionally in accordance with Article 6 of Directive 67/548/EEC and to which no SCLs are applicable. It is therefore necessary to ensure that SCLs are applied in the same way to all preparations containing substances very toxic to the aquatic environment.



(3)
On 6 August 2001, the Commission adopted Directive 2001/59/EC(3)adapting to technical progress Directive 67/548/EEC. Directive 2001/59/EC revised the criteria in Annex VI to Directive 67/548/EEC for the classification and labelling of ozone depleting substances. The revised Annex III now only provides for the assignment of the symbol N in addition to R-phrase R59.



(4)
The terminology used to describe the packaging and the labelling requirements in Annex V to Directive 1999/45/EC has raised concerns due to the lack of consistency. It is therefore appropriate to modify the wording in Annex V to Directive 1999/45/EC to make it more accurate.



(5)
Annexes II, III and V to Directive 1999/45/EC should therefore be amended accordingly.



(6)
The measures provided for in this Directive are in accordance with the opinion of the Committee for the adaptation to technical progress of the Directives on the removal of technical barriers to trade in dangerous substances and preparations established under Article 20 of Directive 1999/45/EC,



1.
Annex II is amended as follows:(a)table VI is replaced by the following table:‘Table VIClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)(b)table VI A is replaced by the following table:‘Table VI AClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)
(a)
table VI is replaced by the following table:‘Table VIClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)
Classification of the substance
Classification of the preparation
Categories 1 and 2
Category 3
Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate

Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))
Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory

Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)
Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory

Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)
Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory

Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)
(b)
table VI A is replaced by the following table:‘Table VI AClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)
Classification of the substance
Classification of the preparation
Categories 1 and 2
Category 3
Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate

Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))
Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory

Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)
Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory

Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)
Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory

Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

(a)
table VI is replaced by the following table:‘Table VIClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)
Classification of the substance
Classification of the preparation
Categories 1 and 2
Category 3
Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate

Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))
Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory

Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)
Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory

Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)
Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory

Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

Classification of the substance
Classification of the preparation

Categories 1 and 2
Category 3

Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate


Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))

Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory


Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)

Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory


Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)

Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory


Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

(b)
table VI A is replaced by the following table:‘Table VI AClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)
Classification of the substance
Classification of the preparation
Categories 1 and 2
Category 3
Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate

Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))
Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory

Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)
Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory

Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)
Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory

Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

Classification of the substance
Classification of the preparation

Categories 1 and 2
Category 3

Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate


Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))

Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory


Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)

Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory


Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)

Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory


Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)



(a)
table VI is replaced by the following table:‘Table VIClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)
Classification of the substance
Classification of the preparation
Categories 1 and 2
Category 3
Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate

Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))
Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory

Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)
Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory

Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)
Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory

Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

Classification of the substance
Classification of the preparation

Categories 1 and 2
Category 3

Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate


Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))

Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory


Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)

Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory


Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)

Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory


Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)



Classification of the substance
Classification of the preparation

Categories 1 and 2
Category 3

Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate


Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))

Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory


Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)

Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory


Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)

Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory


Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)



(b)
table VI A is replaced by the following table:‘Table VI AClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)
Classification of the substance
Classification of the preparation
Categories 1 and 2
Category 3
Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate

Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))
Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory

Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)
Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory

Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)
Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory

Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

Classification of the substance
Classification of the preparation

Categories 1 and 2
Category 3

Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate


Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))

Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory


Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)

Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory


Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)

Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory


Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)



Classification of the substance
Classification of the preparation

Categories 1 and 2
Category 3

Carcinogenic substances of category 1 or 2 with R45 or R49
Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate


Carcinogenic substances of category 3 with R40

Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))

Mutagenic substances of category 1 or 2 with R46
Concentration ≥ 0,1 %mutagenicR46 obligatory


Mutagenic substances of category 3 with R68

Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)

Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)
Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory


Substances “toxic for reproduction” of category 3 with R62 (fertility)

Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)

Substances “toxic for reproduction” of category 1 or 2 with R61 (development)
Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory


Substances “toxic for reproduction” of category 3 with R63 (development)

Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)



2.
Annex III is amended as follows:(a)in Part A, point 2 of section (b)(1) (I), is deleted;(b)in Part B, table 1 is replaced by the following tables:‘Table 1aAcute aquatic toxicity and long-term adverse effectsClassification of the substanceClassification of the preparationN, R50-53N, R51-53R52-53N, R50-53see Table 1bsee Table 1bsee Table 1bN, R51-53Cn≥ 25 %2,5 % ≤ Cn< 25 %R52-53Cn≥ 25 %Preparations containing a substance classified with N, R50-53, the concentration limits and the resulting classification given in table 1b are applicable.Table 1bAcute aquatic toxicity and long-term adverse effects of substances very toxic to the aquatic environmentLC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)Classification of the preparationN, R50-53N, R51-53R52-530,1 < L(E)C50≤ 1Cn≥ 25 %2,5 % ≤ Cn< 25 %0,25 % ≤ Cn< 2,5 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,25 % ≤ Cn< 2,5 %0,025 % ≤ Cn< 0,25 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,025 % ≤ Cn< 0,25 %0,0025 % ≤ Cn< 0,025 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,0025 % ≤ Cn< 0,025 %0,00025 % ≤ Cn< 0,0025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %0,00025 % ≤ Cn< 0,0025 %0,000025 % ≤ Cn< 0,00025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’(c)in part B, table 2 is replaced by the following table:‘Table 2Acute aquatic toxicityLC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)Classification of the preparation N, R500,1 < L(E)C50≤ 1Cn≥ 25 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’(d)in part B, table 5 of point II, is replaced by the following table:‘Table 5Dangerous for the ozone layerClassification of the substanceClassification of the preparation N, R59N with R59Cn≥ 0,1 %’
(a)
in Part A, point 2 of section (b)(1) (I), is deleted;
(b)
in Part B, table 1 is replaced by the following tables:‘Table 1aAcute aquatic toxicity and long-term adverse effectsClassification of the substanceClassification of the preparationN, R50-53N, R51-53R52-53N, R50-53see Table 1bsee Table 1bsee Table 1bN, R51-53Cn≥ 25 %2,5 % ≤ Cn< 25 %R52-53Cn≥ 25 %Preparations containing a substance classified with N, R50-53, the concentration limits and the resulting classification given in table 1b are applicable.Table 1bAcute aquatic toxicity and long-term adverse effects of substances very toxic to the aquatic environmentLC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)Classification of the preparationN, R50-53N, R51-53R52-530,1 < L(E)C50≤ 1Cn≥ 25 %2,5 % ≤ Cn< 25 %0,25 % ≤ Cn< 2,5 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,25 % ≤ Cn< 2,5 %0,025 % ≤ Cn< 0,25 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,025 % ≤ Cn< 0,25 %0,0025 % ≤ Cn< 0,025 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,0025 % ≤ Cn< 0,025 %0,00025 % ≤ Cn< 0,0025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %0,00025 % ≤ Cn< 0,0025 %0,000025 % ≤ Cn< 0,00025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’
Classification of the substance
Classification of the preparation
N, R50-53
N, R51-53
R52-53
N, R50-53
see Table 1b
see Table 1b
see Table 1b
N, R51-53

Cn≥ 25 %
2,5 % ≤ Cn< 25 %
R52-53


Cn≥ 25 %
LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)
Classification of the preparation
N, R50-53
N, R51-53
R52-53
0,1 < L(E)C50≤ 1
Cn≥ 25 %
2,5 % ≤ Cn< 25 %
0,25 % ≤ Cn< 2,5 %
0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,25 % ≤ Cn< 2,5 %
0,025 % ≤ Cn< 0,25 %
0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,025 % ≤ Cn< 0,25 %
0,0025 % ≤ Cn< 0,025 %
0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,0025 % ≤ Cn< 0,025 %
0,00025 % ≤ Cn< 0,0025 %
0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
0,00025 % ≤ Cn< 0,0025 %
0,000025 % ≤ Cn< 0,00025 %
For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’
(c)
in part B, table 2 is replaced by the following table:‘Table 2Acute aquatic toxicityLC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)Classification of the preparation N, R500,1 < L(E)C50≤ 1Cn≥ 25 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’
LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)
Classification of the preparation N, R50
0,1 < L(E)C50≤ 1
Cn≥ 25 %
0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’
(d)
in part B, table 5 of point II, is replaced by the following table:‘Table 5Dangerous for the ozone layerClassification of the substanceClassification of the preparation N, R59N with R59Cn≥ 0,1 %’
Classification of the substance
Classification of the preparation N, R59
N with R59
Cn≥ 0,1 %’

(a)
in Part A, point 2 of section (b)(1) (I), is deleted;

(b)
in Part B, table 1 is replaced by the following tables:‘Table 1aAcute aquatic toxicity and long-term adverse effectsClassification of the substanceClassification of the preparationN, R50-53N, R51-53R52-53N, R50-53see Table 1bsee Table 1bsee Table 1bN, R51-53Cn≥ 25 %2,5 % ≤ Cn< 25 %R52-53Cn≥ 25 %Preparations containing a substance classified with N, R50-53, the concentration limits and the resulting classification given in table 1b are applicable.Table 1bAcute aquatic toxicity and long-term adverse effects of substances very toxic to the aquatic environmentLC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)Classification of the preparationN, R50-53N, R51-53R52-530,1 < L(E)C50≤ 1Cn≥ 25 %2,5 % ≤ Cn< 25 %0,25 % ≤ Cn< 2,5 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,25 % ≤ Cn< 2,5 %0,025 % ≤ Cn< 0,25 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,025 % ≤ Cn< 0,25 %0,0025 % ≤ Cn< 0,025 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,0025 % ≤ Cn< 0,025 %0,00025 % ≤ Cn< 0,0025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %0,00025 % ≤ Cn< 0,0025 %0,000025 % ≤ Cn< 0,00025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’
Classification of the substance
Classification of the preparation
N, R50-53
N, R51-53
R52-53
N, R50-53
see Table 1b
see Table 1b
see Table 1b
N, R51-53

Cn≥ 25 %
2,5 % ≤ Cn< 25 %
R52-53


Cn≥ 25 %
LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)
Classification of the preparation
N, R50-53
N, R51-53
R52-53
0,1 < L(E)C50≤ 1
Cn≥ 25 %
2,5 % ≤ Cn< 25 %
0,25 % ≤ Cn< 2,5 %
0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,25 % ≤ Cn< 2,5 %
0,025 % ≤ Cn< 0,25 %
0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,025 % ≤ Cn< 0,25 %
0,0025 % ≤ Cn< 0,025 %
0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,0025 % ≤ Cn< 0,025 %
0,00025 % ≤ Cn< 0,0025 %
0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
0,00025 % ≤ Cn< 0,0025 %
0,000025 % ≤ Cn< 0,00025 %
For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

Classification of the substance
Classification of the preparation

N, R50-53
N, R51-53
R52-53

N, R50-53
see Table 1b
see Table 1b
see Table 1b

N, R51-53

Cn≥ 25 %
2,5 % ≤ Cn< 25 %

R52-53


Cn≥ 25 %

LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)
Classification of the preparation

N, R50-53
N, R51-53
R52-53

0,1 < L(E)C50≤ 1
Cn≥ 25 %
2,5 % ≤ Cn< 25 %
0,25 % ≤ Cn< 2,5 %

0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,25 % ≤ Cn< 2,5 %
0,025 % ≤ Cn< 0,25 %

0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,025 % ≤ Cn< 0,25 %
0,0025 % ≤ Cn< 0,025 %

0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,0025 % ≤ Cn< 0,025 %
0,00025 % ≤ Cn< 0,0025 %

0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
0,00025 % ≤ Cn< 0,0025 %
0,000025 % ≤ Cn< 0,00025 %

For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

(c)
in part B, table 2 is replaced by the following table:‘Table 2Acute aquatic toxicityLC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)Classification of the preparation N, R500,1 < L(E)C50≤ 1Cn≥ 25 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’
LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)
Classification of the preparation N, R50
0,1 < L(E)C50≤ 1
Cn≥ 25 %
0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)
Classification of the preparation N, R50

0,1 < L(E)C50≤ 1
Cn≥ 25 %

0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %

0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %

0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %

0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %

For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

(d)
in part B, table 5 of point II, is replaced by the following table:‘Table 5Dangerous for the ozone layerClassification of the substanceClassification of the preparation N, R59N with R59Cn≥ 0,1 %’
Classification of the substance
Classification of the preparation N, R59
N with R59
Cn≥ 0,1 %’

Classification of the substance
Classification of the preparation N, R59

N with R59
Cn≥ 0,1 %’



(a)
in Part A, point 2 of section (b)(1) (I), is deleted;



(b)
in Part B, table 1 is replaced by the following tables:‘Table 1aAcute aquatic toxicity and long-term adverse effectsClassification of the substanceClassification of the preparationN, R50-53N, R51-53R52-53N, R50-53see Table 1bsee Table 1bsee Table 1bN, R51-53Cn≥ 25 %2,5 % ≤ Cn< 25 %R52-53Cn≥ 25 %Preparations containing a substance classified with N, R50-53, the concentration limits and the resulting classification given in table 1b are applicable.Table 1bAcute aquatic toxicity and long-term adverse effects of substances very toxic to the aquatic environmentLC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)Classification of the preparationN, R50-53N, R51-53R52-530,1 < L(E)C50≤ 1Cn≥ 25 %2,5 % ≤ Cn< 25 %0,25 % ≤ Cn< 2,5 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,25 % ≤ Cn< 2,5 %0,025 % ≤ Cn< 0,25 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,025 % ≤ Cn< 0,25 %0,0025 % ≤ Cn< 0,025 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,0025 % ≤ Cn< 0,025 %0,00025 % ≤ Cn< 0,0025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %0,00025 % ≤ Cn< 0,0025 %0,000025 % ≤ Cn< 0,00025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’
Classification of the substance
Classification of the preparation
N, R50-53
N, R51-53
R52-53
N, R50-53
see Table 1b
see Table 1b
see Table 1b
N, R51-53

Cn≥ 25 %
2,5 % ≤ Cn< 25 %
R52-53


Cn≥ 25 %
LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)
Classification of the preparation
N, R50-53
N, R51-53
R52-53
0,1 < L(E)C50≤ 1
Cn≥ 25 %
2,5 % ≤ Cn< 25 %
0,25 % ≤ Cn< 2,5 %
0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,25 % ≤ Cn< 2,5 %
0,025 % ≤ Cn< 0,25 %
0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,025 % ≤ Cn< 0,25 %
0,0025 % ≤ Cn< 0,025 %
0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,0025 % ≤ Cn< 0,025 %
0,00025 % ≤ Cn< 0,0025 %
0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
0,00025 % ≤ Cn< 0,0025 %
0,000025 % ≤ Cn< 0,00025 %
For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

Classification of the substance
Classification of the preparation

N, R50-53
N, R51-53
R52-53

N, R50-53
see Table 1b
see Table 1b
see Table 1b

N, R51-53

Cn≥ 25 %
2,5 % ≤ Cn< 25 %

R52-53


Cn≥ 25 %

LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)
Classification of the preparation

N, R50-53
N, R51-53
R52-53

0,1 < L(E)C50≤ 1
Cn≥ 25 %
2,5 % ≤ Cn< 25 %
0,25 % ≤ Cn< 2,5 %

0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,25 % ≤ Cn< 2,5 %
0,025 % ≤ Cn< 0,25 %

0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,025 % ≤ Cn< 0,25 %
0,0025 % ≤ Cn< 0,025 %

0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,0025 % ≤ Cn< 0,025 %
0,00025 % ≤ Cn< 0,0025 %

0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
0,00025 % ≤ Cn< 0,0025 %
0,000025 % ≤ Cn< 0,00025 %

For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’



Classification of the substance
Classification of the preparation

N, R50-53
N, R51-53
R52-53

N, R50-53
see Table 1b
see Table 1b
see Table 1b

N, R51-53

Cn≥ 25 %
2,5 % ≤ Cn< 25 %

R52-53


Cn≥ 25 %



LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)
Classification of the preparation

N, R50-53
N, R51-53
R52-53

0,1 < L(E)C50≤ 1
Cn≥ 25 %
2,5 % ≤ Cn< 25 %
0,25 % ≤ Cn< 2,5 %

0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,25 % ≤ Cn< 2,5 %
0,025 % ≤ Cn< 0,25 %

0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,025 % ≤ Cn< 0,25 %
0,0025 % ≤ Cn< 0,025 %

0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,0025 % ≤ Cn< 0,025 %
0,00025 % ≤ Cn< 0,0025 %

0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
0,00025 % ≤ Cn< 0,0025 %
0,000025 % ≤ Cn< 0,00025 %

For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’



(c)
in part B, table 2 is replaced by the following table:‘Table 2Acute aquatic toxicityLC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)Classification of the preparation N, R500,1 < L(E)C50≤ 1Cn≥ 25 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’
LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)
Classification of the preparation N, R50
0,1 < L(E)C50≤ 1
Cn≥ 25 %
0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %
0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %
0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %
0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %
For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)
Classification of the preparation N, R50

0,1 < L(E)C50≤ 1
Cn≥ 25 %

0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %

0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %

0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %

0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %

For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’



LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)
Classification of the preparation N, R50

0,1 < L(E)C50≤ 1
Cn≥ 25 %

0,01 < L(E)C50≤ 0,1
Cn≥ 2,5 %

0,001 < L(E)C50≤ 0,01
Cn≥ 0,25 %

0,0001 < L(E)C50≤ 0,001
Cn≥ 0,025 %

0,00001 < L(E)C50≤ 0,0001
Cn≥ 0,0025 %

For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’



(d)
in part B, table 5 of point II, is replaced by the following table:‘Table 5Dangerous for the ozone layerClassification of the substanceClassification of the preparation N, R59N with R59Cn≥ 0,1 %’
Classification of the substance
Classification of the preparation N, R59
N with R59
Cn≥ 0,1 %’

Classification of the substance
Classification of the preparation N, R59

N with R59
Cn≥ 0,1 %’



Classification of the substance
Classification of the preparation N, R59

N with R59
Cn≥ 0,1 %’



3.
Annex V is replaced by the following:‘ANNEX VSPECIAL PROVISIONS CONCERNING THE LABELLING OF CERTAIN PREPARATIONSA.   For preparations classified as dangerous within the meaning of Articles 5, 6 and 71.   Preparations sold to the general public1.1.The label on the packaging containing such preparations, in addition to the specific safety advice, must bear the relevant safety advice S1, S2, S45 or S46 in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC.1.2.When such preparations are classified as very toxic (T+), toxic (T) or corrosive (C) and where it is physically impossible to give such information on the package itself, packages containing such preparations must be accompanied by precise and easily understandable instructions for use including, where appropriate, instructions for the destruction of the empty package.2.   Preparations intended for use by sprayingThe label on the packaging containing such preparations must compulsorily bear the safety advice S23 accompanied by safety advice S38 or S51 assigned to it in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC.3.   Preparations containing a substance assigned phrase R33: Danger of cumulative effectsWhen a preparation contains at least one substance assigned the phrase R33, the label on the packaging of the preparation must carry the wording of this phrase as set out in Annex III to Directive 67/548/EEC, when the concentration of this substance present in the preparation is equal to or higher than 1 %, unless different values are set in Annex I to Directive 67/548/EEC.4.   Preparations containing a substance assigned phrase R64: May cause harm to breastfed babiesWhen a preparation contains at least one substance assigned phrase R64, the label on the packaging of the preparation must carry the wording of this phrase as set out in Annex III to Directive 67/548/EEC, when the concentration of this substance present in the preparation is equal to or higher than 1 %, unless different values are set in Annex I to Directive 67/548/EEC.B.   For preparations irrespective of their classification within the meaning of Articles 5, 6 and 71.   Preparations containing lead1.1.   Paint and varnishesThe label on the packaging of paints and varnishes containing lead in quantities exceeding 0,15 % (expressed as weight of metal) of the total weight of the preparation, as determined in accordance with ISO standard 6503/1984, must show the following particulars:“Contains lead. Should not be used on surfaces liable to be chewed or sucked by children”.In the case of packages the contents of which are less than 125 millilitres, the particulars may be as follows:“Warning! Contains lead”.2.   Preparations containing cyanoacrylates2.1.   AdhesivesThe label on the immediate packaging of adhesives based on cyanoacrylate must bear the following inscriptions:“CyanoacrylateDangerBonds skin and eyes in secondsKeep out of the reach of children”.Appropriate advice on safety must accompany the package.3.   Preparations containing isocyanatesThe label on the packaging of preparations containing isocyanates (as monomers, oligomers, prepolymers, etc., or as mixtures thereof) must bear the following inscriptions:“Contains isocyanates.See information supplied by the manufacturer”.4.   Preparations containing epoxy constituents with an average molecular weight ≤ 700The label on the packaging of preparations containing epoxy constituents with an average molecular weight ≤ 700 must bear the following inscriptions:“Contains epoxy constituents.See information supplied by the manufacturer”.5.   Preparations sold to the general public which contain active chlorineThe label on the packaging of preparations containing more than 1 % of active chlorine must bear the following particular inscriptions:“Warning! Do not use together with other products. May release dangerous gases (chlorine)”.6.   Preparations containing cadmium (alloys) and intended to be used for brazing or solderingThe label on the packaging of the above mentioned preparations must bear the following inscription printed in clearly legible and indelible characters:“Warning! Contains cadmium.Dangerous fumes are formed during use.See information supplied by the manufacturer.Comply with the safety instructions”.7.   Preparations available as aerosolsWithout prejudice to the provisions of this Directive, preparations available as aerosols are also subject to the labelling provisions in accordance with points 2.2 and 2.3 of the Annex to Directive 75/324/EEC as last amended by Directive 94/1/EC.8.   Preparations containing substances not yet tested completelyWhere a preparation contains at least one substance which, in accordance with Article 13.3 of Directive 67/548/EEC, bears the inscription “Caution — substance not yet tested completely”, the label on the packaging of the preparation must bear the inscription “Warning — this preparation contains a substance not yet tested completely” if this substance is present in a concentration ≥ 1 %.9.   Preparations not classified as sensitising but containing at least one sensitising substanceThe label on the packaging of preparations containing at least one substance classified as sensitising and being present in a concentration equal to or greater than 0,1 % or in a concentration equal to or greater than that specified under a specific note for the substance in Annex I to Directive 67/548/EEC must bear the inscription:“Contains (name of sensitising substance). May produce an allergic reaction”.10.   Liquid preparations containing halogenated hydrocarbonsFor liquid preparations which show no flashpoint or a flashpoint higher than 55 °C and contain a halogenated hydrocarbon and more than 5 % flammable or highly flammable substances, the label on the packaging must bear the following inscription as appropriate:“Can become highly flammable in use” or “Can become flammable in use”.11.   Preparations containing a substance assigned phrase R67: vapours may cause drowsiness and dizzinessWhen a preparation contains one or more substances assigned the phrase R67, the label on the packaging of the preparation must carry the wording of this phrase as set out in Annex III to Directive 67/548/EEC, when the total concentration of these substances present in the preparation is equal to or higher than 15 %, unless:—the preparation is already classified with phrases R20, R23, R26, R68/20, R39/23 or R39/26,—or the preparation is in a package not exceeding 125 ml.12.   Cements and cement preparationsThe label on the packaging of cements and cement preparations containing more than 0,0002 % soluble chromium (VI) of the total dry weight of the cement must bear the inscription:“Contains chromium (VI). May produce an allergic reaction”unless the preparation is already classified and labelled as a sensitiser with phrase R43.C.   For preparations not classified within the meaning of Articles 5, 6 and 7 but containing at least one dangerous substance1.   Preparations not intended for the general publicThe label on the packaging of preparations referred to in Article 14.2.1(b) must bear the following inscription:“Safety data sheet available for professional user on request”.’

1.1.
The label on the packaging containing such preparations, in addition to the specific safety advice, must bear the relevant safety advice S1, S2, S45 or S46 in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC.

1.2.
When such preparations are classified as very toxic (T+), toxic (T) or corrosive (C) and where it is physically impossible to give such information on the package itself, packages containing such preparations must be accompanied by precise and easily understandable instructions for use including, where appropriate, instructions for the destruction of the empty package.
“CyanoacrylateDangerBonds skin and eyes in secondsKeep out of the reach of children”.
“Contains isocyanates.See information supplied by the manufacturer”.
“Contains epoxy constituents.See information supplied by the manufacturer”.
“Warning! Contains cadmium.Dangerous fumes are formed during use.See information supplied by the manufacturer.Comply with the safety instructions”.
—
the preparation is already classified with phrases R20, R23, R26, R68/20, R39/23 or R39/26,
—
or the preparation is in a package not exceeding 125 ml.


1.1.
The label on the packaging containing such preparations, in addition to the specific safety advice, must bear the relevant safety advice S1, S2, S45 or S46 in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC.


1.2.
When such preparations are classified as very toxic (T+), toxic (T) or corrosive (C) and where it is physically impossible to give such information on the package itself, packages containing such preparations must be accompanied by precise and easily understandable instructions for use including, where appropriate, instructions for the destruction of the empty package.

“CyanoacrylateDangerBonds skin and eyes in secondsKeep out of the reach of children”.

“Contains isocyanates.See information supplied by the manufacturer”.

“Contains epoxy constituents.See information supplied by the manufacturer”.

“Warning! Contains cadmium.Dangerous fumes are formed during use.See information supplied by the manufacturer.Comply with the safety instructions”.

—
the preparation is already classified with phrases R20, R23, R26, R68/20, R39/23 or R39/26,

—
or the preparation is in a package not exceeding 125 ml.




1.1.
The label on the packaging containing such preparations, in addition to the specific safety advice, must bear the relevant safety advice S1, S2, S45 or S46 in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC.




1.2.
When such preparations are classified as very toxic (T+), toxic (T) or corrosive (C) and where it is physically impossible to give such information on the package itself, packages containing such preparations must be accompanied by precise and easily understandable instructions for use including, where appropriate, instructions for the destruction of the empty package.



“CyanoacrylateDangerBonds skin and eyes in secondsKeep out of the reach of children”.



“Contains isocyanates.See information supplied by the manufacturer”.



“Contains epoxy constituents.See information supplied by the manufacturer”.



“Warning! Contains cadmium.Dangerous fumes are formed during use.See information supplied by the manufacturer.Comply with the safety instructions”.



—
the preparation is already classified with phrases R20, R23, R26, R68/20, R39/23 or R39/26,



—
or the preparation is in a package not exceeding 125 ml.

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Directive 1999/45/EC of the European Parliament and of the Council of 31 May 1999 concerning the approximation of the laws, regulations and administrative provisions of the Member States relating to the classification, packaging and labelling of dangerous preparations(1), and in particular the first paragraph of Article 20 thereof,

(1) Preparations composed of more than one substance being classified in Annex I to Council Directive 67/548/EEC of 27 June 1967 on the approximation of laws, regulations and administrative provisions relating to the classification, packaging and labelling of dangerous substances(2)as carcinogenic, mutagenic and/or toxic for reproduction must currently be labelled with risk phrases (R-phrases) to indicate both category 1 or 2 and category 3 classification. However, providing both R-phrases sends a conflicting message. Preparations should therefore only be classified and labelled with the higher category.

(2) For substances very toxic to the aquatic environment (classified as N) and assigned the R-phrases R50 or R50/53, specific concentration limits (SCLs) are currently applied to substances listed in Annex I to Directive 67/548/EEC in order to avoid an underestimation of the hazard. This measure creates distortions between preparations containing substances listed in Annex I to Directive 67/548/EEC, to which SCLs are applied, and those preparations containing substances not yet included in Annex I, but classified and labelled provisionally in accordance with Article 6 of Directive 67/548/EEC and to which no SCLs are applicable. It is therefore necessary to ensure that SCLs are applied in the same way to all preparations containing substances very toxic to the aquatic environment.

(3) On 6 August 2001, the Commission adopted Directive 2001/59/EC(3)adapting to technical progress Directive 67/548/EEC. Directive 2001/59/EC revised the criteria in Annex VI to Directive 67/548/EEC for the classification and labelling of ozone depleting substances. The revised Annex III now only provides for the assignment of the symbol N in addition to R-phrase R59.

(4) The terminology used to describe the packaging and the labelling requirements in Annex V to Directive 1999/45/EC has raised concerns due to the lack of consistency. It is therefore appropriate to modify the wording in Annex V to Directive 1999/45/EC to make it more accurate.

(5) Annexes II, III and V to Directive 1999/45/EC should therefore be amended accordingly.

(6) The measures provided for in this Directive are in accordance with the opinion of the Committee for the adaptation to technical progress of the Directives on the removal of technical barriers to trade in dangerous substances and preparations established under Article 20 of Directive 1999/45/EC,

HAS ADOPTED THIS DIRECTIVE:
Article 1

Annexes II, III and V to Directive 1999/45/EC are amended in accordance with the Annex to this Directive.
Article 2

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 1 March 2007 at the latest. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
Article 3

This Directive shall enter into force on the 20th day following its publication in theOfficial Journal of the European Union.
Article 4

This Directive is addressed to the Member States.
THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Directive 1999/45/EC of the European Parliament and of the Council of 31 May 1999 concerning the approximation of the laws, regulations and administrative provisions of the Member States relating to the classification, packaging and labelling of dangerous preparations(1), and in particular the first paragraph of Article 20 thereof,

(1) Preparations composed of more than one substance being classified in Annex I to Council Directive 67/548/EEC of 27 June 1967 on the approximation of laws, regulations and administrative provisions relating to the classification, packaging and labelling of dangerous substances(2)as carcinogenic, mutagenic and/or toxic for reproduction must currently be labelled with risk phrases (R-phrases) to indicate both category 1 or 2 and category 3 classification. However, providing both R-phrases sends a conflicting message. Preparations should therefore only be classified and labelled with the higher category.

(2) For substances very toxic to the aquatic environment (classified as N) and assigned the R-phrases R50 or R50/53, specific concentration limits (SCLs) are currently applied to substances listed in Annex I to Directive 67/548/EEC in order to avoid an underestimation of the hazard. This measure creates distortions between preparations containing substances listed in Annex I to Directive 67/548/EEC, to which SCLs are applied, and those preparations containing substances not yet included in Annex I, but classified and labelled provisionally in accordance with Article 6 of Directive 67/548/EEC and to which no SCLs are applicable. It is therefore necessary to ensure that SCLs are applied in the same way to all preparations containing substances very toxic to the aquatic environment.

(3) On 6 August 2001, the Commission adopted Directive 2001/59/EC(3)adapting to technical progress Directive 67/548/EEC. Directive 2001/59/EC revised the criteria in Annex VI to Directive 67/548/EEC for the classification and labelling of ozone depleting substances. The revised Annex III now only provides for the assignment of the symbol N in addition to R-phrase R59.

(4) The terminology used to describe the packaging and the labelling requirements in Annex V to Directive 1999/45/EC has raised concerns due to the lack of consistency. It is therefore appropriate to modify the wording in Annex V to Directive 1999/45/EC to make it more accurate.

(5) Annexes II, III and V to Directive 1999/45/EC should therefore be amended accordingly.

(6) The measures provided for in this Directive are in accordance with the opinion of the Committee for the adaptation to technical progress of the Directives on the removal of technical barriers to trade in dangerous substances and preparations established under Article 20 of Directive 1999/45/EC,

HAS ADOPTED THIS DIRECTIVE:
Annexes II, III and V to Directive 1999/45/EC are amended in accordance with the Annex to this Directive.
1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 1 March 2007 at the latest. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
This Directive shall enter into force on the 20th day following its publication in theOfficial Journal of the European Union.
This Directive is addressed to the Member States.
ANNEXDirective 1999/45/EC is amended as follows:
1. | Annex II is amended as follows:(a)table VI is replaced by the following table:‘Table VIClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)(b)table VI A is replaced by the following table:‘Table VI AClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61) | (a) | table VI is replaced by the following table:‘Table VIClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61) | Classification of the substance | Classification of the preparation | Categories 1 and 2 | Category 3 | Carcinogenic substances of category 1 or 2 with R45 or R49 | Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate |  | Carcinogenic substances of category 3 with R40 |  | Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1)) | Mutagenic substances of category 1 or 2 with R46 | Concentration ≥ 0,1 %mutagenicR46 obligatory |  | Mutagenic substances of category 3 with R68 |  | Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46) | Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility) | Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory |  | Substances “toxic for reproduction” of category 3 with R62 (fertility) |  | Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60) | Substances “toxic for reproduction” of category 1 or 2 with R61 (development) | Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory |  | Substances “toxic for reproduction” of category 3 with R63 (development) |  | Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61) | (b) | table VI A is replaced by the following table:‘Table VI AClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61) | Classification of the substance | Classification of the preparation | Categories 1 and 2 | Category 3 | Carcinogenic substances of category 1 or 2 with R45 or R49 | Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate |  | Carcinogenic substances of category 3 with R40 |  | Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2)) | Mutagenic substances of category 1 or 2 with R46 | Concentration ≥ 0,1 %mutagenicR46 obligatory |  | Mutagenic substances of category 3 with R68 |  | Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46) | Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility) | Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory |  | Substances “toxic for reproduction” of category 3 with R62 (fertility) |  | Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60) | Substances “toxic for reproduction” of category 1 or 2 with R61 (development) | Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory |  | Substances “toxic for reproduction” of category 3 with R63 (development) |  | Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

(a) | table VI is replaced by the following table:‘Table VIClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61) | Classification of the substance | Classification of the preparation | Categories 1 and 2 | Category 3 | Carcinogenic substances of category 1 or 2 with R45 or R49 | Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate |  | Carcinogenic substances of category 3 with R40 |  | Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1)) | Mutagenic substances of category 1 or 2 with R46 | Concentration ≥ 0,1 %mutagenicR46 obligatory |  | Mutagenic substances of category 3 with R68 |  | Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46) | Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility) | Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory |  | Substances “toxic for reproduction” of category 3 with R62 (fertility) |  | Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60) | Substances “toxic for reproduction” of category 1 or 2 with R61 (development) | Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory |  | Substances “toxic for reproduction” of category 3 with R63 (development) |  | Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

Classification of the substance | Classification of the preparation

Categories 1 and 2 | Category 3

Carcinogenic substances of category 1 or 2 with R45 or R49 | Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate | 

Carcinogenic substances of category 3 with R40 |  | Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*1))

Mutagenic substances of category 1 or 2 with R46 | Concentration ≥ 0,1 %mutagenicR46 obligatory | 

Mutagenic substances of category 3 with R68 |  | Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)

Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility) | Concentration ≥ 0,5 %toxic for reproduction (fertility)R60 obligatory | 

Substances “toxic for reproduction” of category 3 with R62 (fertility) |  | Concentration ≥ 5 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)

Substances “toxic for reproduction” of category 1 or 2 with R61 (development) | Concentration ≥ 0,5 %toxic for reproduction (development)R61 obligatory | 

Substances “toxic for reproduction” of category 3 with R63 (development) |  | Concentration ≥ 5 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

(b) | table VI A is replaced by the following table:‘Table VI AClassification of the substanceClassification of the preparationCategories 1 and 2Category 3Carcinogenic substances of category 1 or 2 with R45 or R49Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriateCarcinogenic substances of category 3 with R40Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))Mutagenic substances of category 1 or 2 with R46Concentration ≥ 0,1 %mutagenicR46 obligatoryMutagenic substances of category 3 with R68Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility)Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatorySubstances “toxic for reproduction” of category 3 with R62 (fertility)Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)Substances “toxic for reproduction” of category 1 or 2 with R61 (development)Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatorySubstances “toxic for reproduction” of category 3 with R63 (development)Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61) | Classification of the substance | Classification of the preparation | Categories 1 and 2 | Category 3 | Carcinogenic substances of category 1 or 2 with R45 or R49 | Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate |  | Carcinogenic substances of category 3 with R40 |  | Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2)) | Mutagenic substances of category 1 or 2 with R46 | Concentration ≥ 0,1 %mutagenicR46 obligatory |  | Mutagenic substances of category 3 with R68 |  | Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46) | Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility) | Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory |  | Substances “toxic for reproduction” of category 3 with R62 (fertility) |  | Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60) | Substances “toxic for reproduction” of category 1 or 2 with R61 (development) | Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory |  | Substances “toxic for reproduction” of category 3 with R63 (development) |  | Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

Classification of the substance | Classification of the preparation

Categories 1 and 2 | Category 3

Carcinogenic substances of category 1 or 2 with R45 or R49 | Concentration ≥ 0,1 %carcinogenicR45, R49 obligatory as appropriate | 

Carcinogenic substances of category 3 with R40 |  | Concentration ≥ 1 %carcinogenicR40 obligatory (unless already assigned R45(*2))

Mutagenic substances of category 1 or 2 with R46 | Concentration ≥ 0,1 %mutagenicR46 obligatory | 

Mutagenic substances of category 3 with R68 |  | Concentration ≥ 1 %mutagenicR68 obligatory (unless already assigned R46)

Substances “toxic for reproduction” of category 1 or 2 with R60 (fertility) | Concentration ≥ 0,2 %toxic for reproduction (fertility)R60 obligatory | 

Substances “toxic for reproduction” of category 3 with R62 (fertility) |  | Concentration ≥ 1 %toxic for reproduction (fertility)R62 obligatory (unless already assigned R60)

Substances “toxic for reproduction” of category 1 or 2 with R61 (development) | Concentration ≥ 0,2 %toxic for reproduction (development)R61 obligatory | 

Substances “toxic for reproduction” of category 3 with R63 (development) |  | Concentration ≥ 1 %toxic for reproduction (development)R63 obligatory (unless already assigned R61)

2. | Annex III is amended as follows:(a)in Part A, point 2 of section (b)(1) (I), is deleted;(b)in Part B, table 1 is replaced by the following tables:‘Table 1aAcute aquatic toxicity and long-term adverse effectsClassification of the substanceClassification of the preparationN, R50-53N, R51-53R52-53N, R50-53see Table 1bsee Table 1bsee Table 1bN, R51-53Cn≥ 25 %2,5 % ≤ Cn< 25 %R52-53Cn≥ 25 %Preparations containing a substance classified with N, R50-53, the concentration limits and the resulting classification given in table 1b are applicable.Table 1bAcute aquatic toxicity and long-term adverse effects of substances very toxic to the aquatic environmentLC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)Classification of the preparationN, R50-53N, R51-53R52-530,1 < L(E)C50≤ 1Cn≥ 25 %2,5 % ≤ Cn< 25 %0,25 % ≤ Cn< 2,5 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,25 % ≤ Cn< 2,5 %0,025 % ≤ Cn< 0,25 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,025 % ≤ Cn< 0,25 %0,0025 % ≤ Cn< 0,025 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,0025 % ≤ Cn< 0,025 %0,00025 % ≤ Cn< 0,0025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %0,00025 % ≤ Cn< 0,0025 %0,000025 % ≤ Cn< 0,00025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’(c)in part B, table 2 is replaced by the following table:‘Table 2Acute aquatic toxicityLC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)Classification of the preparation N, R500,1 < L(E)C50≤ 1Cn≥ 25 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’(d)in part B, table 5 of point II, is replaced by the following table:‘Table 5Dangerous for the ozone layerClassification of the substanceClassification of the preparation N, R59N with R59Cn≥ 0,1 %’ | (a) | in Part A, point 2 of section (b)(1) (I), is deleted; | (b) | in Part B, table 1 is replaced by the following tables:‘Table 1aAcute aquatic toxicity and long-term adverse effectsClassification of the substanceClassification of the preparationN, R50-53N, R51-53R52-53N, R50-53see Table 1bsee Table 1bsee Table 1bN, R51-53Cn≥ 25 %2,5 % ≤ Cn< 25 %R52-53Cn≥ 25 %Preparations containing a substance classified with N, R50-53, the concentration limits and the resulting classification given in table 1b are applicable.Table 1bAcute aquatic toxicity and long-term adverse effects of substances very toxic to the aquatic environmentLC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)Classification of the preparationN, R50-53N, R51-53R52-530,1 < L(E)C50≤ 1Cn≥ 25 %2,5 % ≤ Cn< 25 %0,25 % ≤ Cn< 2,5 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,25 % ≤ Cn< 2,5 %0,025 % ≤ Cn< 0,25 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,025 % ≤ Cn< 0,25 %0,0025 % ≤ Cn< 0,025 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,0025 % ≤ Cn< 0,025 %0,00025 % ≤ Cn< 0,0025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %0,00025 % ≤ Cn< 0,0025 %0,000025 % ≤ Cn< 0,00025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’ | Classification of the substance | Classification of the preparation | N, R50-53 | N, R51-53 | R52-53 | N, R50-53 | see Table 1b | see Table 1b | see Table 1b | N, R51-53 |  | Cn≥ 25 % | 2,5 % ≤ Cn< 25 % | R52-53 |  |  | Cn≥ 25 % | LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l) | Classification of the preparation | N, R50-53 | N, R51-53 | R52-53 | 0,1 < L(E)C50≤ 1 | Cn≥ 25 % | 2,5 % ≤ Cn< 25 % | 0,25 % ≤ Cn< 2,5 % | 0,01 < L(E)C50≤ 0,1 | Cn≥ 2,5 % | 0,25 % ≤ Cn< 2,5 % | 0,025 % ≤ Cn< 0,25 % | 0,001 < L(E)C50≤ 0,01 | Cn≥ 0,25 % | 0,025 % ≤ Cn< 0,25 % | 0,0025 % ≤ Cn< 0,025 % | 0,0001 < L(E)C50≤ 0,001 | Cn≥ 0,025 % | 0,0025 % ≤ Cn< 0,025 % | 0,00025 % ≤ Cn< 0,0025 % | 0,00001 < L(E)C50≤ 0,0001 | Cn≥ 0,0025 % | 0,00025 % ≤ Cn< 0,0025 % | 0,000025 % ≤ Cn< 0,00025 % | For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’ | (c) | in part B, table 2 is replaced by the following table:‘Table 2Acute aquatic toxicityLC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)Classification of the preparation N, R500,1 < L(E)C50≤ 1Cn≥ 25 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’ | LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l) | Classification of the preparation N, R50 | 0,1 < L(E)C50≤ 1 | Cn≥ 25 % | 0,01 < L(E)C50≤ 0,1 | Cn≥ 2,5 % | 0,001 < L(E)C50≤ 0,01 | Cn≥ 0,25 % | 0,0001 < L(E)C50≤ 0,001 | Cn≥ 0,025 % | 0,00001 < L(E)C50≤ 0,0001 | Cn≥ 0,0025 % | For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’ | (d) | in part B, table 5 of point II, is replaced by the following table:‘Table 5Dangerous for the ozone layerClassification of the substanceClassification of the preparation N, R59N with R59Cn≥ 0,1 %’ | Classification of the substance | Classification of the preparation N, R59 | N with R59 | Cn≥ 0,1 %’

(a) | in Part A, point 2 of section (b)(1) (I), is deleted;

(b) | in Part B, table 1 is replaced by the following tables:‘Table 1aAcute aquatic toxicity and long-term adverse effectsClassification of the substanceClassification of the preparationN, R50-53N, R51-53R52-53N, R50-53see Table 1bsee Table 1bsee Table 1bN, R51-53Cn≥ 25 %2,5 % ≤ Cn< 25 %R52-53Cn≥ 25 %Preparations containing a substance classified with N, R50-53, the concentration limits and the resulting classification given in table 1b are applicable.Table 1bAcute aquatic toxicity and long-term adverse effects of substances very toxic to the aquatic environmentLC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l)Classification of the preparationN, R50-53N, R51-53R52-530,1 < L(E)C50≤ 1Cn≥ 25 %2,5 % ≤ Cn< 25 %0,25 % ≤ Cn< 2,5 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,25 % ≤ Cn< 2,5 %0,025 % ≤ Cn< 0,25 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,025 % ≤ Cn< 0,25 %0,0025 % ≤ Cn< 0,025 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,0025 % ≤ Cn< 0,025 %0,00025 % ≤ Cn< 0,0025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %0,00025 % ≤ Cn< 0,0025 %0,000025 % ≤ Cn< 0,00025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’ | Classification of the substance | Classification of the preparation | N, R50-53 | N, R51-53 | R52-53 | N, R50-53 | see Table 1b | see Table 1b | see Table 1b | N, R51-53 |  | Cn≥ 25 % | 2,5 % ≤ Cn< 25 % | R52-53 |  |  | Cn≥ 25 % | LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l) | Classification of the preparation | N, R50-53 | N, R51-53 | R52-53 | 0,1 < L(E)C50≤ 1 | Cn≥ 25 % | 2,5 % ≤ Cn< 25 % | 0,25 % ≤ Cn< 2,5 % | 0,01 < L(E)C50≤ 0,1 | Cn≥ 2,5 % | 0,25 % ≤ Cn< 2,5 % | 0,025 % ≤ Cn< 0,25 % | 0,001 < L(E)C50≤ 0,01 | Cn≥ 0,25 % | 0,025 % ≤ Cn< 0,25 % | 0,0025 % ≤ Cn< 0,025 % | 0,0001 < L(E)C50≤ 0,001 | Cn≥ 0,025 % | 0,0025 % ≤ Cn< 0,025 % | 0,00025 % ≤ Cn< 0,0025 % | 0,00001 < L(E)C50≤ 0,0001 | Cn≥ 0,0025 % | 0,00025 % ≤ Cn< 0,0025 % | 0,000025 % ≤ Cn< 0,00025 % | For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

Classification of the substance | Classification of the preparation

N, R50-53 | N, R51-53 | R52-53

N, R50-53 | see Table 1b | see Table 1b | see Table 1b

N, R51-53 |  | Cn≥ 25 % | 2,5 % ≤ Cn< 25 %

R52-53 |  |  | Cn≥ 25 %

LC50or EC50value (“L(E)C50”) of substance classified as N, R50-53 (mg/l) | Classification of the preparation

N, R50-53 | N, R51-53 | R52-53

0,1 < L(E)C50≤ 1 | Cn≥ 25 % | 2,5 % ≤ Cn< 25 % | 0,25 % ≤ Cn< 2,5 %

0,01 < L(E)C50≤ 0,1 | Cn≥ 2,5 % | 0,25 % ≤ Cn< 2,5 % | 0,025 % ≤ Cn< 0,25 %

0,001 < L(E)C50≤ 0,01 | Cn≥ 0,25 % | 0,025 % ≤ Cn< 0,25 % | 0,0025 % ≤ Cn< 0,025 %

0,0001 < L(E)C50≤ 0,001 | Cn≥ 0,025 % | 0,0025 % ≤ Cn< 0,025 % | 0,00025 % ≤ Cn< 0,0025 %

0,00001 < L(E)C50≤ 0,0001 | Cn≥ 0,0025 % | 0,00025 % ≤ Cn< 0,0025 % | 0,000025 % ≤ Cn< 0,00025 %

For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

(c) | in part B, table 2 is replaced by the following table:‘Table 2Acute aquatic toxicityLC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l)Classification of the preparation N, R500,1 < L(E)C50≤ 1Cn≥ 25 %0,01 < L(E)C50≤ 0,1Cn≥ 2,5 %0,001 < L(E)C50≤ 0,01Cn≥ 0,25 %0,0001 < L(E)C50≤ 0,001Cn≥ 0,025 %0,00001 < L(E)C50≤ 0,0001Cn≥ 0,0025 %For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’ | LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l) | Classification of the preparation N, R50 | 0,1 < L(E)C50≤ 1 | Cn≥ 25 % | 0,01 < L(E)C50≤ 0,1 | Cn≥ 2,5 % | 0,001 < L(E)C50≤ 0,01 | Cn≥ 0,25 % | 0,0001 < L(E)C50≤ 0,001 | Cn≥ 0,025 % | 0,00001 < L(E)C50≤ 0,0001 | Cn≥ 0,0025 % | For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

LC50or EC50value (“L(E)C50”) of substance classified either as N, R50 or as N, R50-53 (mg/l) | Classification of the preparation N, R50

0,1 < L(E)C50≤ 1 | Cn≥ 25 %

0,01 < L(E)C50≤ 0,1 | Cn≥ 2,5 %

0,001 < L(E)C50≤ 0,01 | Cn≥ 0,25 %

0,0001 < L(E)C50≤ 0,001 | Cn≥ 0,025 %

0,00001 < L(E)C50≤ 0,0001 | Cn≥ 0,0025 %

For preparations containing substances with a lower LC50or EC50value than 0,00001 mg/l, the corresponding concentration limits are calculated accordingly (in factor 10 intervals).’

(d) | in part B, table 5 of point II, is replaced by the following table:‘Table 5Dangerous for the ozone layerClassification of the substanceClassification of the preparation N, R59N with R59Cn≥ 0,1 %’ | Classification of the substance | Classification of the preparation N, R59 | N with R59 | Cn≥ 0,1 %’

Classification of the substance | Classification of the preparation N, R59

N with R59 | Cn≥ 0,1 %’

3. | Annex V is replaced by the following:‘ANNEX VSPECIAL PROVISIONS CONCERNING THE LABELLING OF CERTAIN PREPARATIONSA.   For preparations classified as dangerous within the meaning of Articles 5, 6 and 71.   Preparations sold to the general public1.1.The label on the packaging containing such preparations, in addition to the specific safety advice, must bear the relevant safety advice S1, S2, S45 or S46 in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC.1.2.When such preparations are classified as very toxic (T+), toxic (T) or corrosive (C) and where it is physically impossible to give such information on the package itself, packages containing such preparations must be accompanied by precise and easily understandable instructions for use including, where appropriate, instructions for the destruction of the empty package.2.   Preparations intended for use by sprayingThe label on the packaging containing such preparations must compulsorily bear the safety advice S23 accompanied by safety advice S38 or S51 assigned to it in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC.3.   Preparations containing a substance assigned phrase R33: Danger of cumulative effectsWhen a preparation contains at least one substance assigned the phrase R33, the label on the packaging of the preparation must carry the wording of this phrase as set out in Annex III to Directive 67/548/EEC, when the concentration of this substance present in the preparation is equal to or higher than 1 %, unless different values are set in Annex I to Directive 67/548/EEC.4.   Preparations containing a substance assigned phrase R64: May cause harm to breastfed babiesWhen a preparation contains at least one substance assigned phrase R64, the label on the packaging of the preparation must carry the wording of this phrase as set out in Annex III to Directive 67/548/EEC, when the concentration of this substance present in the preparation is equal to or higher than 1 %, unless different values are set in Annex I to Directive 67/548/EEC.B.   For preparations irrespective of their classification within the meaning of Articles 5, 6 and 71.   Preparations containing lead1.1.   Paint and varnishesThe label on the packaging of paints and varnishes containing lead in quantities exceeding 0,15 % (expressed as weight of metal) of the total weight of the preparation, as determined in accordance with ISO standard 6503/1984, must show the following particulars:“Contains lead. Should not be used on surfaces liable to be chewed or sucked by children”.In the case of packages the contents of which are less than 125 millilitres, the particulars may be as follows:“Warning! Contains lead”.2.   Preparations containing cyanoacrylates2.1.   AdhesivesThe label on the immediate packaging of adhesives based on cyanoacrylate must bear the following inscriptions:“CyanoacrylateDangerBonds skin and eyes in secondsKeep out of the reach of children”.Appropriate advice on safety must accompany the package.3.   Preparations containing isocyanatesThe label on the packaging of preparations containing isocyanates (as monomers, oligomers, prepolymers, etc., or as mixtures thereof) must bear the following inscriptions:“Contains isocyanates.See information supplied by the manufacturer”.4.   Preparations containing epoxy constituents with an average molecular weight ≤ 700The label on the packaging of preparations containing epoxy constituents with an average molecular weight ≤ 700 must bear the following inscriptions:“Contains epoxy constituents.See information supplied by the manufacturer”.5.   Preparations sold to the general public which contain active chlorineThe label on the packaging of preparations containing more than 1 % of active chlorine must bear the following particular inscriptions:“Warning! Do not use together with other products. May release dangerous gases (chlorine)”.6.   Preparations containing cadmium (alloys) and intended to be used for brazing or solderingThe label on the packaging of the above mentioned preparations must bear the following inscription printed in clearly legible and indelible characters:“Warning! Contains cadmium.Dangerous fumes are formed during use.See information supplied by the manufacturer.Comply with the safety instructions”.7.   Preparations available as aerosolsWithout prejudice to the provisions of this Directive, preparations available as aerosols are also subject to the labelling provisions in accordance with points 2.2 and 2.3 of the Annex to Directive 75/324/EEC as last amended by Directive 94/1/EC.8.   Preparations containing substances not yet tested completelyWhere a preparation contains at least one substance which, in accordance with Article 13.3 of Directive 67/548/EEC, bears the inscription “Caution — substance not yet tested completely”, the label on the packaging of the preparation must bear the inscription “Warning — this preparation contains a substance not yet tested completely” if this substance is present in a concentration ≥ 1 %.9.   Preparations not classified as sensitising but containing at least one sensitising substanceThe label on the packaging of preparations containing at least one substance classified as sensitising and being present in a concentration equal to or greater than 0,1 % or in a concentration equal to or greater than that specified under a specific note for the substance in Annex I to Directive 67/548/EEC must bear the inscription:“Contains (name of sensitising substance). May produce an allergic reaction”.10.   Liquid preparations containing halogenated hydrocarbonsFor liquid preparations which show no flashpoint or a flashpoint higher than 55 °C and contain a halogenated hydrocarbon and more than 5 % flammable or highly flammable substances, the label on the packaging must bear the following inscription as appropriate:“Can become highly flammable in use” or “Can become flammable in use”.11.   Preparations containing a substance assigned phrase R67: vapours may cause drowsiness and dizzinessWhen a preparation contains one or more substances assigned the phrase R67, the label on the packaging of the preparation must carry the wording of this phrase as set out in Annex III to Directive 67/548/EEC, when the total concentration of these substances present in the preparation is equal to or higher than 15 %, unless:—the preparation is already classified with phrases R20, R23, R26, R68/20, R39/23 or R39/26,—or the preparation is in a package not exceeding 125 ml.12.   Cements and cement preparationsThe label on the packaging of cements and cement preparations containing more than 0,0002 % soluble chromium (VI) of the total dry weight of the cement must bear the inscription:“Contains chromium (VI). May produce an allergic reaction”unless the preparation is already classified and labelled as a sensitiser with phrase R43.C.   For preparations not classified within the meaning of Articles 5, 6 and 7 but containing at least one dangerous substance1.   Preparations not intended for the general publicThe label on the packaging of preparations referred to in Article 14.2.1(b) must bear the following inscription:“Safety data sheet available for professional user on request”.’ |  | 1.1. | The label on the packaging containing such preparations, in addition to the specific safety advice, must bear the relevant safety advice S1, S2, S45 or S46 in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC. |  | 1.2. | When such preparations are classified as very toxic (T+), toxic (T) or corrosive (C) and where it is physically impossible to give such information on the package itself, packages containing such preparations must be accompanied by precise and easily understandable instructions for use including, where appropriate, instructions for the destruction of the empty package. | “CyanoacrylateDangerBonds skin and eyes in secondsKeep out of the reach of children”. | “Contains isocyanates.See information supplied by the manufacturer”. | “Contains epoxy constituents.See information supplied by the manufacturer”. | “Warning! Contains cadmium.Dangerous fumes are formed during use.See information supplied by the manufacturer.Comply with the safety instructions”. | — | the preparation is already classified with phrases R20, R23, R26, R68/20, R39/23 or R39/26, | — | or the preparation is in a package not exceeding 125 ml.

 | 1.1. | The label on the packaging containing such preparations, in addition to the specific safety advice, must bear the relevant safety advice S1, S2, S45 or S46 in accordance with the criteria laid down in Annex VI to Directive 67/548/EEC.

 | 1.2. | When such preparations are classified as very toxic (T+), toxic (T) or corrosive (C) and where it is physically impossible to give such information on the package itself, packages containing such preparations must be accompanied by precise and easily understandable instructions for use including, where appropriate, instructions for the destruction of the empty package.

“CyanoacrylateDangerBonds skin and eyes in secondsKeep out of the reach of children”.

“Contains isocyanates.See information supplied by the manufacturer”.

“Contains epoxy constituents.See information supplied by the manufacturer”.

“Warning! Contains cadmium.Dangerous fumes are formed during use.See information supplied by the manufacturer.Comply with the safety instructions”.

— | the preparation is already classified with phrases R20, R23, R26, R68/20, R39/23 or R39/26,

— | or the preparation is in a package not exceeding 125 ml.

(*1)  In cases where the preparation is assigned R49 and R40, both R phrases shall be kept, because R40 does not distinguish between the exposure routes, whereas R49 is only assigned for the inhalation route.’
(*2)  In cases where the preparation is assigned R49 and R40, both R phrases shall be kept, because R40 does not distinguish between the exposure routes, whereas R49 is only assigned for the inhalation route.’
			

Pending: 32005L0094

                                January 16, 2026                            

14.1.2006
EN
Official Journal of the European Union
L 10/16

(1)
Avian influenza is a serious, highly contagious disease of poultry and other captive birds caused by different types of influenza viruses. Those viruses may also spread to mammals, in particular pigs, and humans.

(2)
Since poultry is covered by live animals listed in Annex I to the Treaty, one of the Community's tasks in the veterinary field is to improve the health status of poultry, thereby facilitating trade in poultry and poultry products and ensuring the development of this sector. Furthermore, a high level of human health protection is to be ensured when defining and implementing Community policies and activities.

(3)
Influenza viruses include a large number of different virus strains. The level of risks posed by the different strains of influenza viruses for animal and public health is very variable and to some extent unpredictable, due to rapid virus mutation and possible re-assortment of the genetic material between different strains.

(4)
The infection with certain strains of influenza viruses of avian origin may trigger outbreaks in domestic birds of epizootic proportions, causing mortality and disturbances of poultry on a scale, which can threaten in particular the profitability of poultry farming as a whole.

(5)
Community measures for the control of avian influenza were established by Council Directive 92/40/EEC of 19 May 1992 introducing Community measures for the control of avian influenza(3), in order to ensure the protection of animal health and contribute to the development of the poultry sector.

(6)
The measures laid down in Directive 92/40/EEC should be fundamentally reviewed in the light of recent scientific knowledge on the risks of avian influenza for animal and public health, development of new laboratory tests and vaccines and the lessons learnt during recent outbreaks of this disease in the Community as well as in third countries.

(7)
The new Community measures should also take account of the most recent opinions delivered by the Scientific Committee on Animal Health and Animal Welfare and by the European Food Safety Authority (EFSA) and the changes in the Terrestrial Animal Health Code and the Manual of Diagnostic Tests and Vaccines for Terrestrial Animals of the International Office of Epizootics (O.I.E.) on avian influenza.

(8)
Certain influenza viruses of avian origin may in some circumstances affect humans and may then pose a serious risk to public health. The provisions of this Directive, which aim at fighting the disease in farmed animals, could indirectly contribute to preventing public health problems. However, it is, at this stage, chiefly for the Member States to tackle such problems.

(9)
At Community level, the human health risks posed by influenza viruses are primarily dealt with by other actions and legal acts. These concern in particular the European Centre for Disease Prevention and Control (hereinafter referred to as ‘ECDC’), established by Regulation (EC) No 851/2004 of the European Parliament and of the Council(4), the recommendations issued by the Commission on Community Influenza pandemic preparedness and response planning, the European Union Early Warning and Response System and the establishment of the European Influenza Surveillance Scheme.

(10)
It is appropriate, however, for the Commission to assess together with ECDC whether further public health or workers' health and safety measures, complementing the animal health provisions of this Directive are needed at Community level to address the risks posed by certain influenza viruses of avian origin to humans and in particular for workers in contact with infected animals and to present any necessary legislative proposals.

(11)
Current knowledge indicates that the health risks posed by the so-called low pathogenic avian influenza viruses are inferior to the risks posed by highly pathogenic avian influenza viruses, which originate from a mutation of certain low pathogenic viruses.

(12)
Community legislation for the control of avian influenza should enable Member States to adopt disease control measures in a proportionate and flexible manner, taking into account the various levels of risk posed by different virus strains, the likely social and economic impact of the measures in question on the agriculture sector and other sectors involved while at the same time ensuring that the measures taken for each specific disease scenario are the most appropriate.

(13)
In view of the potential of low pathogenic avian influenza viruses to mutate into highly pathogenic avian influenza viruses, provision should be made for the early detection of infection in poultry aimed at a quick reaction and the adoption of appropriate and proportionate control and eradication measures which should include a system of active surveillance to be carried out by Member States. Such surveillance should follow general guidelines to be adapted in the light of further knowledge and developments in this field.

(14)
Any suspicion of avian influenza infection which may arise from clinical or laboratory investigations or any other reason that leads to the suspicion of the presence of infection should set in motion immediate official investigations so that prompt and effective action can be taken, as appropriate. Such action should be reinforced as soon as the presence of infection is confirmed to include depopulation of the holdings infected and of those which are at risk of infection.

(15)
In the case of detection of infection with low pathogenic avian influenza virus, control measures may differ from those which should apply in the case of detection of highly pathogenic avian influenza virus, taking into account the different levels of risk posed by these two conditions.

(16)
Disease control measures and in particular the establishment of restriction zones should also be modulated taking into account the density of the poultry population as well as other risk factors in the area in which the infection has been detected.

(17)
If an outbreak occurs, it is also necessary to prevent any further spread of infection by carefully monitoring and restricting movements of poultry and the use of products liable to be contaminated, by tightening biosecurity measures at all levels of poultry production, by cleansing and disinfecting the infected holding, by establishing protection and surveillance zones around the outbreak and, if necessary, by vaccination.

(18)
Community measures for the control of highly pathogenic avian influenza should be based first on the depopulation of the infected flocks, in accordance with Community legislation on animal welfare.

(19)
Council Directive 93/119/EC of 22 December 1993 on the protection of animals at the time of slaughter or killing(5)sets out the minimum standards for the protection of animals at the time of slaughter or killing including for the purpose of disease control. Such rules apply fully to slaughter or killing pursuant to this Directive.

(20)
Vaccination against avian influenza can be an effective tool to supplement disease control measures and to avoid massive killing and destruction of poultry or other captive birds. Current knowledge suggests that vaccination may be useful not only as a short-term measure in emergencies but also as a long-term measure to prevent disease in situations of higher risk of introduction of avian influenza viruses from wild life or other sources. Provisions should therefore be established for both emergency and preventive vaccination.

(21)
Vaccinated poultry, although protected against the clinical signs of disease, may become infected and thus contribute to the further spread of the infection. Vaccination must therefore be accompanied by appropriate surveillance and restriction measures established at Community level. Therefore, the vaccination strategy should allow differentiation between infected and vaccinated animals. Products of vaccinated poultry, such as meat and table eggs, should be then placed on the market in accordance with the relevant Community legislation, including this Directive.

(22)
It should also be made possible for the Community and the Member States to establish reserves of vaccine against avian influenza to be used in poultry or other captive birds in the case of an emergency.

(23)
Provisions should be adopted to ensure that harmonised procedures and methods are used for the diagnosis of avian influenza, including the functioning of a Community reference laboratory as well as reference laboratories in Member States.

(24)
Provisions should be adopted to ensure the necessary level of preparation by Member States effectively to tackle emergency situations caused by one or more outbreaks of avian influenza, in particular by drawing up contingency plans and setting up control centres.

(25)
If avian influenza is detected during importation in a quarantine facility or centre, as provided for in Commission Decision 2000/666/EC of 16 October 2000 laying down the animal health requirements and the veterinary certification for the import of birds, other than poultry and the conditions for quarantine(6), this should be reported to the Commission. However, reporting as provided for by Council Directive 82/894/EEC of 21 December 1982 on the notification of animal diseases within the Community(7), in cases of outbreaks in Member States would not be appropriate.

(26)
Cleansing and disinfection should be an integral part of the Community control policy for avian influenza. Disinfectants should be used in compliance with Directive 98/8/EC of the European Parliament and of the Council of 16 February 1998 concerning the placing of biocidal products on the market(8).

(27)
Regulation (EC) No 1774/2002 of the European Parliament and of the Council of 3 October 2002 laying down health rules concerning animal by-products not intended for human consumption(9)lays down the rules on the collection, transport, storage, handling, processing and use or disposal of animal by-products including animals killed to eradicate epizootic diseases, to prevent them from presenting a risk to animal and public health. That Regulation and its implementing measures provide for a general framework for the disposal of dead animals. Provision should be made for the adoption, by the committee procedure, of specific, additional or different measures where necessary to enhance further avian influenza control measures.

(28)
Regulation (EC) No 853/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific hygiene rules for food of animal origin(10)and Regulation (EC) No 852/2004 of the European Parliament and of the Council of 29 April 2004 on the hygiene of foodstuffs(11)may be applied under certain conditions to eggs originating from holdings where poultry suspected of being infected with avian influenza is kept.

(29)
Member States should lay down rules on penalties applicable to infringements of the provisions of this Directive and ensure that they are implemented. Those penalties should be effective, proportionate and dissuasive.

(30)
Provision should be made for the possibility for amendments to be made to the Annexes to this Directive when necessary without delay in order to take account of developments in scientific and technical knowledge.

(31)
Taking into account the unpredictability of influenza viruses, it is appropriate to ensure that a swift procedure is also in place for a rapid adoption at Community level of additional or more specific measures to control any infection of poultry and other animal species whenever such measures are necessary.

(32)
This Directive should set out the minimum control measures to be applied in the event of an outbreak of avian influenza in poultry or other captive birds. However, Member States are free to take more stringent administrative and sanitary action in the field covered by this Directive. In addition, this Directive should provide for Member States' authorities to apply measures proportionate to the health risk posed by different disease situations.

(33)
In accordance with the principle of proportionality, it is necessary and appropriate for the achievement of the basic objectives of ensuring the development of the poultry sector and contributing to the protection of animal health, to lay down rules on specific measures and minimum measures aimed at the prevention and control of avian influenza. This Directive does not go beyond what is necessary in order to achieve the objectives pursued, in accordance with the third paragraph of Article 5 of the Treaty.

(34)
The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(12).

(35)
In the interests of clarity and rationality of Community legislation, Directive 92/40/EEC should be repealed and replaced by this Directive.

(36)
The Council, in accordance with point 34 of the Inter-Institutional Agreement on better law making(13), encourages Member States to draw up, for themselves and in the interest of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures and to make them public,

(a)
certain preventive measures relating to the surveillance and the early detection of avian influenza and increasing the level of the competent authorities' and the farming community's awareness of, and preparation for, the risks of that disease;

(b)
the minimum control measures to be applied in the event of an outbreak of avian influenza in poultry or other captive birds and the early detection of possible spread of avian influenza viruses to mammals;

(c)
other subsidiary measures to avoid the spread of influenza viruses of avian origin to other species.

1.
‘avian influenza’ means any of the influenza infections so described in Annex I(1);

2.
‘highly pathogenic avian influenza (HPAI)’ means any of the avian influenza infections so described in Annex I(2);

3.
‘low pathogenic avian influenza (LPAI)’ means any of the avian influenza infections so described in Annex I(3);

4.
‘poultry’ means all birds that are reared or kept in captivity for the production of meat or eggs for consumption, the production of other products, for restocking supplies of game birds or for the purposes of any breeding programme for the production of these categories of birds;

5.
‘wild bird’ means a free-living bird which is not kept on any holding as defined in point 8;

6.
‘other captive bird’ means any bird other than poultry that is kept in captivity for any reason other than those referred to in point 4 including those that are kept for shows, races, exhibitions, competitions, breeding or selling;

7.
‘officially registered rare breeds of poultry or other captive birds’ means any poultry or other captive birds that the competent authority has officially recognised as a rare breed within their contingency plan provided for in Article 62;

8.
‘holding’ means any agricultural or other premises, including hatcheries, circuses, zoos, pet bird shops, bird markets, and aviaries, where poultry or other captive birds are being bred or kept . However, this definition does not include slaughterhouses, means of transport, quarantine facilities and centres, border inspection posts and laboratories authorised by the competent authority to hold avian influenza virus;

9.
‘commercial poultry holding’ means a holding where poultry are kept for commercial purposes;

10.
‘non-commercial holding’ means a holding where poultry or other captive birds are kept by their owners:(a)for their own consumption or use; or(b)as pets;
(a)
for their own consumption or use; or
(b)
as pets;

(a)
for their own consumption or use; or

(b)
as pets;

(a)
for their own consumption or use; or

(b)
as pets;

11.
‘poultry compartment’ or ‘other captive birds compartment’ means a holding or holdings under a common biosecurity management system containing a poultry or other captive birds sub-population with a distinct health status with respect to avian influenza subjected to appropriate surveillance, control and biosecurity measures;

12.
‘flock’ means all poultry or other captive birds within a single production unit;

13.
‘production unit’ means a unit on a holding which the official veterinarian is satisfied is completely independent of any other unit in the same holding in terms of its location and day-to-day management of the poultry or other captive birds kept there;

14.
‘day-old chicks’ means all poultry less than 72 hours old, not yet fed, and muscovy ducks (Cairina moschata) or their crosses, less than 72 hours old, whether or not fed;

15.
‘diagnostic manual’ means the diagnostic manual provided for in Article 50(1);

16.
‘poultry or other captive birds suspected of being infected’ means any poultry or other captive birds exhibiting clinical signs or showing post-mortem lesions or reactions to laboratory tests which are such that the presence of avian influenza cannot be excluded;

17.
‘owner’ means any person or persons, either natural or legal having ownership of poultry or other captive birds, or charged with keeping such, whether or not for commercial purposes;

18.
‘competent authority’ means the authority of a Member State competent to carry out physical checks or administrative formalities in accordance with this Directive or any authority to which such competencies are delegated;

19.
‘official veterinarian’ means the veterinarian designated by the competent authority;

20.
‘official surveillance’ means the action of careful monitoring by the competent authority of the health status of poultry or other captive birds or mammals on a holding in relation to avian influenza;

21.
‘official supervision’ means the actions taken by the competent authority to verify that the requirements of this Directive and of any instructions from that authority as to how those requirements should be met are being, or have been, complied with;

22.
‘killing’ means any process other than slaughter causing the death of a mammal, poultry or other captive birds;

23.
‘slaughter’ means any process causing the death of a mammal or poultry by bleeding, for the purpose of human consumption;

24.
‘disposing of’ means the act of collecting, transporting, storing, handling, processing and using or disposing of animal by-products in accordance with:(a)Regulation (EC) No 1774/2002; or(b)rules to be adopted under the procedure referred to in Article 64(2);
(a)
Regulation (EC) No 1774/2002; or
(b)
rules to be adopted under the procedure referred to in Article 64(2);

(a)
Regulation (EC) No 1774/2002; or

(b)
rules to be adopted under the procedure referred to in Article 64(2);

(a)
Regulation (EC) No 1774/2002; or

(b)
rules to be adopted under the procedure referred to in Article 64(2);

25.
‘Community vaccine bank’ means appropriate premises designated in accordance with Article 58(1) for the storage of Community reserves of avian influenza vaccines;

26.
‘contact holding’ means a holding where avian influenza could have come from or have been introduced to as a result of its location, the movement of persons, poultry or other captive birds, vehicles or in any other way;

27.
‘suspected outbreak’ means a holding where the competent authority suspects the presence of avian influenza;

28.
‘outbreak’ means a holding where avian influenza has been confirmed by the competent authority;

29.
‘primary outbreak’ means an outbreak not epidemiologically linked with a previous outbreak in the same region of a Member State as defined in Article 2(2), point (p), of Council Directive 64/432/EEC of 26 June 1964 on animal health problems affecting intra-Community trade in bovine animals and swine(14)or the first outbreak in a different region of the same Member State;

30.
‘Differentiating Infected from Vaccinated Animal (DIVA) strategy’ means a vaccination strategy which enables a differentiation to be made between vaccinated/infected and vaccinated/non-infected animals through the application of a diagnostic test designed to detect antibodies against the field virus and the use of non-vaccinated sentinel birds;

31.
‘mammal’ means an animal of the class Mammalia, except humans;

32.
‘carcase’ means poultry or other captive birds which have died or have been killed and are unfit for human consumption, or parts thereof.

(a)
detect the prevalence of infections with avian influenza virus subtypes H5 and H7 in different species of poultry;

(b)
contribute, on the basis of a regularly updated risk assessment, to the knowledge on the threats posed by wild birds in relation to any influenza virus of avian origin in birds.

(a)
the length of time during which avian influenza may have been present on the holding or other premises or means of transport;

(b)
the possible origin of avian influenza;

(c)
the identification of any contact holding;

(d)
the movements of poultry, other captive birds, persons, mammals, vehicles or any material or other means by which the avian influenza virus could have spread.

(a)
deciding whether additional disease control measures, as provided for in this Directive need to be applied; and

(b)
granting derogations as provided for in this Directive.

(a)
poultry, other captive birds and all mammals of domestic species are counted or, if appropriate, their numbers estimated by the type of poultry or species of other captive bird;

(b)
a list is compiled of the approximate number of poultry, other captive birds and all mammals of domestic species already sick, dead or likely to be infected in each category on the holding; that list shall be updated daily to take account of hatchings, births and deaths throughout the period of the suspected outbreak and shall be produced on request to the competent authority;

(c)
all poultry and other captive birds are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(d)
no poultry or other captive birds may enter or leave the holding;

(e)
no carcases of poultry or other captive birds, meat of poultry including offal (‘poultry meat’), poultry feed (‘feed’), utensils, materials, waste, droppings, poultry or other captive birds manure (‘manure’), slurry, used litter or anything likely to transmit avian influenza may leave the holding without an authorisation from the competent authority, observing appropriate biosecurity measures such as to minimise any risk of the spread of avian influenza;

(f)
no eggs may leave the holding;

(g)
the movement of persons, mammals of domestic species, vehicles and equipment to or from the holding is subject to the conditions and authorisation of the competent authority;

(h)
appropriate means of disinfection are used at the entrances and exits of buildings housing poultry or other captive birds and of the holding itself in accordance with the instructions of the competent authority.

(a)
directly to an establishment for the manufacture of egg products, as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004, to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; where the competent authority issues such an authorisation, the latter shall be subject to the conditions set out in Annex III to this Directive; or

(b)
for disposal.

(a)
are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)
are subjected to further surveillance and testing in accordance with the diagnostic manual and are not moved until the laboratory tests have indicated that they no longer pose a significant risk of further spread of HPAI; and

(c)
are not moved from their holding of origin, except for slaughter or to another holding:(i)located in the same Member State, in accordance with the instructions of the competent authority; or(ii)in another Member State, subject to the agreement of the Member State of destination.
(i)
located in the same Member State, in accordance with the instructions of the competent authority; or
(ii)
in another Member State, subject to the agreement of the Member State of destination.

(i)
located in the same Member State, in accordance with the instructions of the competent authority; or

(ii)
in another Member State, subject to the agreement of the Member State of destination.

(i)
located in the same Member State, in accordance with the instructions of the competent authority; or

(ii)
in another Member State, subject to the agreement of the Member State of destination.

(a)
a protection zone with a radius of at least three kilometres around the holding;

(b)
a surveillance zone with a radius of at least 10 kilometres around the holding, including the protection zone.

(a)
the epidemiological inquiry;

(b)
the geographical situation, particularly natural boundaries;

(c)
the location and proximity of holdings and the estimated number of poultry;

(d)
patterns of movements and trade in poultry, other captive birds;

(e)
the facilities and personnel available to control any movement within the protection and surveillance zones of poultry or other captive birds, their carcases, manure, bedding or used litter, in particular if the poultry or other captive birds to be killed and disposed of have to be moved from their holding of origin.

(a)
arrangements are put in place which permit the tracing of anything likely to spread the avian influenza virus including poultry, other captive birds, meat, eggs, carcases, feed, litter, people who have been in contact with the infected poultry or other captive birds or vehicles with a link to the poultry industry;

(b)
owners are to provide the competent authority, on request, with any relevant information concerning the poultry or other captive birds and eggs entering or leaving the holding.

(a)
a census of all the holdings is made as soon as possible;

(b)
all commercial holdings are visited by an official veterinarian as soon as possible for a clinical examination of the poultry and other captive birds and, if necessary, the collection of samples for laboratory tests in accordance with the diagnostic manual; a record of such visits and the findings thereof shall be kept; non-commercial holdings are visited by an official veterinarian before the lifting of the protection zone;

(c)
additional surveillance is immediately implemented in accordance with the diagnostic manual in order to identify any further spread of avian influenza in the holdings located in the protection zone.

(a)
all poultry and other captive birds are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised, they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)
carcases are disposed of as soon as possible;

(c)
vehicles and equipment used for transporting live poultry or other captive birds, meat, feed, manure, slurry and bedding and any other material or substances likely to be contaminated, undergo without delay one or more of the procedures provided for in Article 48;

(d)
all parts of vehicles used by staff or other persons which enter or leave holdings and are likely to have become contaminated undergo without delay one or more of the procedures provided for in Article 48;

(e)
no poultry, other captive birds or domestic mammals may enter or leave a holding without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:(i)have no contact with resident poultry or other captive birds, and(ii)have no access to any cages or areas where such resident poultry or other captive birds are kept;
(i)
have no contact with resident poultry or other captive birds, and
(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)
have no contact with resident poultry or other captive birds, and

(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)
have no contact with resident poultry or other captive birds, and

(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(f)
any increased morbidity or mortality or significant drop in production data in holdings is immediately reported to the competent authority, which shall carry out appropriate investigations in accordance with the diagnostic manual;

(g)
any person entering or leaving holdings observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(h)
records of all persons visiting holdings, except dwellings, are kept by the owner in order to facilitate disease surveillance and control and must be made available upon request by the competent authority. Such records do not have to be kept where the visitors are to holdings such as zoos and wildlife parks where they have no access to the areas where the birds are kept.

(a)
from poultry which has originated from outside the protection zones and has been stored and transported separately from the meat of poultry from within the protection zones; or

(b)
on a date at least 21 days before the estimated date of earliest infection on a holding in the protection zone and which since production has been stored and transported separately from such meat produced after that date.

(a)
a clinical examination of the poultry on the holding of origin is carried out by the official veterinarian within 24 hours of being sent for slaughter;

(b)
where appropriate, laboratory tests have been carried out on poultry on the holding of origin in accordance with the diagnostic manual, with favourable results;

(c)
the poultry are transported in vehicles sealed by the competent authority or under its supervision;

(d)
the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry and then confirms the slaughter to the competent authority of dispatch;

(e)
the poultry from the protection zone are kept separately from other poultry and are slaughtered separately or at different times from other poultry, preferably at the end of a working day; subsequent cleansing and disinfection shall be completed before other poultry are slaughtered;

(f)
the official veterinarian shall ensure that a detailed examination of the poultry is carried out at the designated slaughterhouse when the poultry arrive and after they are slaughtered;

(g)
the meat does not enter into intra-Community or international trade and bears the health mark for fresh meat provided for in Annex II to Council Directive 2002/99/EC of 16 December 2002 laying down the animal health rules governing the production, processing, distribution and introduction of products of animal origin for human consumption(15), unless otherwise decided in accordance with the procedure referred to in Article 64(3) of this Directive;

(h)
the meat is obtained, cut, transported and stored separately from meat intended for intra-Community and international trade and is used in such a way as to avoid it being introduced into meat products intended for intra-Community or international trade, unless:(i)it has undergone a treatment set out in Annex III to Directive 2002/99/EC; or(ii)it is otherwise decided in accordance with the procedure referred to in Article 64(3).
(i)
it has undergone a treatment set out in Annex III to Directive 2002/99/EC; or
(ii)
it is otherwise decided in accordance with the procedure referred to in Article 64(3).

(i)
it has undergone a treatment set out in Annex III to Directive 2002/99/EC; or

(ii)
it is otherwise decided in accordance with the procedure referred to in Article 64(3).

(i)
it has undergone a treatment set out in Annex III to Directive 2002/99/EC; or

(ii)
it is otherwise decided in accordance with the procedure referred to in Article 64(3).

(a)
the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry and then confirms the slaughter to the competent authority of dispatch;

(b)
the poultry are kept separate from other poultry originating within the protection zone and are slaughtered separately or at different times from other poultry;

(c)
the poultry meat produced is cut, transported and stored separately from poultry meat obtained from other poultry originating in the protection zone;

(d)
the by-products are disposed of.

(a)
they are transported in vehicles sealed by the competent authority or under its supervision;

(b)
appropriate biosecurity measures are applied during transport and at the holding of destination;

(c)
the holding of destination is placed under official surveillance following the arrival of the day-old-chicks;

(d)
if moved outside the protection or surveillance zone, the poultry shall remain on the holding of destination for at least 21 days.

(a)
a clinical examination of the poultry and other captive birds in the holding of origin and in particular of those to be moved is carried out by the official veterinarian;

(b)
where appropriate, laboratory tests have been carried out on poultry in the holding of origin in accordance with the diagnostic manual with favourable results;

(c)
the ready-to-lay poultry is transported in vehicles sealed by the competent authority or under its supervision;

(d)
the holding or shed of destination is placed under official surveillance following the arrival of the ready-to-lay poultry;

(e)
if moved outside the protection or surveillance zone, the poultry shall remain on the holding of destination for at least 21 days.

(a)
the parent flocks from which the hatching eggs are derived have been examined in accordance with the diagnostic manual and avian influenza is not suspected on these holdings;

(b)
the hatching eggs and their packaging are disinfected before dispatch and the tracing back of these eggs can be ensured;

(c)
the hatching eggs are transported in vehicles sealed by the competent authority or under its supervision;

(d)
biosecurity measures are applied in the designated hatchery in accordance with the instructions of the competent authority.

(a)
to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(b)
to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or

(c)
for disposal.

(a)
a census of all commercial poultry holdings is made as soon as possible;

(b)
the movement of poultry, ready-to-lay poultry, day-old chicks, eggs within the surveillance zone is prohibited unless authorisation is granted by the competent authority, which ensures that appropriate biosecurity measures are applied to prevent the spread of avian influenza; this prohibition shall not apply to transit thorough the surveillance zone on road or rail without unloading or stopping;

(c)
the movement of poultry, ready-to-lay poultry, day-old chicks and eggs to holdings, slaughterhouses, packing centres or an establishment for the manufacture of egg products located outside the surveillance zone is prohibited; however, the competent authority may authorise the direct transport of:(i)poultry for slaughter to a designated slaughterhouse, for the purpose of immediate slaughter subject to Article 23(1), points (a), (b) and (d);The competent authority may authorise the direct transport of poultry from outside the protection and surveillance zones for immediate slaughter to a designated slaughterhouse within the surveillance zone and the subsequent movement of the meat derived from such poultry;(ii)ready-to-lay poultry to a holding in which there is no other poultry in the same Member State; that holding shall be placed under official surveillance following the arrival of the ready-to-lay poultry and the ready-to-lay poultry shall remain on the holding of destination for at least 21 days;(iii)day-old chicks:to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, orif hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;(iv)hatching eggs to a designated hatchery located inside or outside the surveillance zone; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;(v)table eggs to a designated packing centre, provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;(vi)eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the surveillance zone;(vii)eggs for disposal;
(i)
poultry for slaughter to a designated slaughterhouse, for the purpose of immediate slaughter subject to Article 23(1), points (a), (b) and (d);The competent authority may authorise the direct transport of poultry from outside the protection and surveillance zones for immediate slaughter to a designated slaughterhouse within the surveillance zone and the subsequent movement of the meat derived from such poultry;
(ii)
ready-to-lay poultry to a holding in which there is no other poultry in the same Member State; that holding shall be placed under official surveillance following the arrival of the ready-to-lay poultry and the ready-to-lay poultry shall remain on the holding of destination for at least 21 days;
(iii)
day-old chicks:to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, orif hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, or

if hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;
(iv)
hatching eggs to a designated hatchery located inside or outside the surveillance zone; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;
(v)
table eggs to a designated packing centre, provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;
(vi)
eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the surveillance zone;
(vii)
eggs for disposal;

(i)
poultry for slaughter to a designated slaughterhouse, for the purpose of immediate slaughter subject to Article 23(1), points (a), (b) and (d);The competent authority may authorise the direct transport of poultry from outside the protection and surveillance zones for immediate slaughter to a designated slaughterhouse within the surveillance zone and the subsequent movement of the meat derived from such poultry;

(ii)
ready-to-lay poultry to a holding in which there is no other poultry in the same Member State; that holding shall be placed under official surveillance following the arrival of the ready-to-lay poultry and the ready-to-lay poultry shall remain on the holding of destination for at least 21 days;

(iii)
day-old chicks:to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, orif hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, or

if hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, or

if hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

(iv)
hatching eggs to a designated hatchery located inside or outside the surveillance zone; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;

(v)
table eggs to a designated packing centre, provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(vi)
eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the surveillance zone;

(vii)
eggs for disposal;

(i)
poultry for slaughter to a designated slaughterhouse, for the purpose of immediate slaughter subject to Article 23(1), points (a), (b) and (d);The competent authority may authorise the direct transport of poultry from outside the protection and surveillance zones for immediate slaughter to a designated slaughterhouse within the surveillance zone and the subsequent movement of the meat derived from such poultry;

(ii)
ready-to-lay poultry to a holding in which there is no other poultry in the same Member State; that holding shall be placed under official surveillance following the arrival of the ready-to-lay poultry and the ready-to-lay poultry shall remain on the holding of destination for at least 21 days;

(iii)
day-old chicks:to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, orif hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, or

if hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, or

if hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, or

if hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

(iv)
hatching eggs to a designated hatchery located inside or outside the surveillance zone; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;

(v)
table eggs to a designated packing centre, provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(vi)
eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the surveillance zone;

(vii)
eggs for disposal;

(d)
any person entering or leaving holdings in the surveillance zone observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(e)
vehicles and equipment used for transporting live poultry or other captive birds, carcases, feed, manure, slurry and bedding and any other material or substances likely to be contaminated, are cleansed and disinfected without delay after contamination by one or more of the procedures provided for in Article 48;

(f)
no poultry, other captive birds or mammals of domestic species may enter or leave a holding where poultry is kept without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:(i)have no contact with resident poultry or other captive birds, and(ii)have no access to any cages or areas where such resident poultry or other captive birds are kept;
(i)
have no contact with resident poultry or other captive birds, and
(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)
have no contact with resident poultry or other captive birds, and

(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)
have no contact with resident poultry or other captive birds, and

(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(g)
any increased morbidity or mortality or significant drop in production data in holdings is immediately reported to the competent authority, which shall carry out appropriate investigations in accordance with the diagnostic manual;

(h)
the removal or spreading of used litter, manure or slurry is prohibited unless authorised by the competent authority; the movement of manure may be authorised from a holding situated in the surveillance zone under biosecurity measures to a designated plant for treatment or for intermediate storage for subsequent treatment to destroy the possible presence of avian influenza viruses, in accordance with Regulation (EC) No 1774/2002 or with specific rules which may be adopted in accordance with the procedure referred to in Article 64(2);

(i)
fairs, markets, shows or other gatherings of poultry or other captive birds are prohibited;

(j)
poultry for restocking of game are not released.

(a)
no poultry or other captive birds are introduced into the slaughterhouse, the border inspection post or the means of transport until at least 24 hours after the cleansing and disinfection as provided for in point (b) are completed by one or more of the procedures set down in Article 48; in the case of border inspection posts, the prohibition on introduction may be extended to other animals;

(b)
the cleansing and disinfection of contaminated buildings, equipment and vehicles takes place in accordance with one or more of the procedures set down in Article 48 and under the official supervision of the official veterinarian;

(c)
an epidemiological inquiry is carried out;

(d)
the measures provided for in Article 7(2) are applied in the holding of origin of the infected poultry or carcases and in contact holdings;

(e)
unless otherwise indicated by the epidemiological inquiry and the further investigations, as provided for in Article 35, the measures provided for in Article 11 are applied in the holding of origin;

(f)
the avian influenza virus isolate is subjected to the laboratory procedure in order to identify the subtype of the virus, in accordance with the diagnostic manual.

(a)
killed as soon as possible, or

(b)
slaughtered in a designated slaughterhouse in accordance with paragraph 4.

(a)
the poultry is sent directly from the holding to the designated slaughterhouse;

(b)
each consignment is sealed before dispatch by the official veterinarian responsible for the holding or under his supervision;

(c)
each consignment remains sealed throughout transport to the designated slaughterhouse;

(d)
further biosecurity measures prescribed by the competent authority are complied with;

(e)
the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry;

(f)
vehicles and equipment used for transporting live poultry and any other material or substances likely to be contaminated are cleansed and disinfected without delay after contamination, by one or more of the procedures set down in Article 48, and

(g)
the by-products of such poultry at the slaughterhouse are disposed of.

(a)
carcases, and

(b)
hatching eggs on the holding.

(a)
hatching eggs collected from the holding during the period between the probable introduction of LPAI into the holding and the taking of the measures provided for in this Directive, are whenever possible traced and hatched under official surveillance;

(b)
poultry already hatched from eggs collected from the holding during the period between the probable introduction of LPAI into the holding and the taking of the measures provided for in this Directive, are whenever possible placed under official surveillance and investigations are carried out in accordance with the diagnostic manual;

(c)
eggs present on the holding and further produced on the holding before depopulation as provided for in paragraph 2, are transported provided that the risk of spread of LPAI is minimised:(i)to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;(ii)to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or(iii)for disposal.
(i)
to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;
(ii)
to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or
(iii)
for disposal.

(i)
to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(ii)
to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or

(iii)
for disposal.

(i)
to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(ii)
to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or

(iii)
for disposal.

(d)
any material or substance likely to be contaminated are either treated in accordance with the instructions of the official veterinarian or disposed of;

(e)
manure, slurry and bedding likely to be contaminated undergo one or more of the procedures provided for in Article 48;

(f)
after depopulation, the buildings used for housing the poultry or other captive birds, the equipment likely to be contaminated and the vehicles used for transporting carcases, feed, manure, slurry, and bedding or any other material or substance likely to be contaminated undergoes without delay one or more of the procedures provided for in Article 48;

(g)
mammals of domestic species do not enter or leave the holding without the authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:(i)have no contact with resident poultry or other captive birds, and(ii)have no access to any cages or areas where such resident poultry or other captive birds are kept.
(i)
have no contact with resident poultry or other captive birds, and
(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept.

(i)
have no contact with resident poultry or other captive birds, and

(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept.

(i)
have no contact with resident poultry or other captive birds, and

(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept.

(h)
in the case of a primary outbreak of LPAI, the virus isolate is subjected to the laboratory tests to identify the subtype of virus in accordance with the diagnostic manual; the virus isolate shall be submitted to the Community reference laboratory, as provided for in Article 51(1), as soon as possible.

(a)
are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)
are subjected to further surveillance and testing in accordance with the diagnostic manual and are not moved until the laboratory tests have indicated that they no longer pose a significant risk of further spread of LPAI; and

(c)
are not moved from their holding of origin, except for slaughter or to another holding:(i)located in the same Member State, in accordance with the instructions of the competent authority; or(ii)in another Member State, subject to the agreement of the Member State of destination.
(i)
located in the same Member State, in accordance with the instructions of the competent authority; or
(ii)
in another Member State, subject to the agreement of the Member State of destination.

(i)
located in the same Member State, in accordance with the instructions of the competent authority; or

(ii)
in another Member State, subject to the agreement of the Member State of destination.

(i)
located in the same Member State, in accordance with the instructions of the competent authority; or

(ii)
in another Member State, subject to the agreement of the Member State of destination.

(a)
a census of all commercial holdings is made as soon as possible;

(b)
laboratory tests are carried out on commercial poultry holdings within a radius of at least one kilometre around the holding in accordance with the diagnostic manual;

(c)
all movements of poultry, other captive birds, ready-to-lay poultry, day old chicks and eggs within or into the restricted zone are subject to authorisation and to other control measures deemed appropriate by the competent authority; this restriction shall not apply to the transit through the restricted zone on road or rail without unloading or stopping;

(d)
the movement of poultry, other captive birds, ready-to-lay poultry, day-old chicks and eggs from the restricted zone are prohibited unless the competent authority authorises the direct transport of:(i)poultry for slaughter to a slaughterhouse in the same Member State;(ii)live poultry to a holding or shed in the same Member State in which there is no other poultry. The live poultry shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival;(iii)day-old chicks:to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; orif hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;(iv)hatching eggs to a designated hatchery; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;(v)table eggs to a packing centre provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;(vi)eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the restricted zone;(vii)eggs for disposal;
(i)
poultry for slaughter to a slaughterhouse in the same Member State;
(ii)
live poultry to a holding or shed in the same Member State in which there is no other poultry. The live poultry shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival;
(iii)
day-old chicks:to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; orif hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; or

if hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;
(iv)
hatching eggs to a designated hatchery; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;
(v)
table eggs to a packing centre provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;
(vi)
eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the restricted zone;
(vii)
eggs for disposal;

(i)
poultry for slaughter to a slaughterhouse in the same Member State;

(ii)
live poultry to a holding or shed in the same Member State in which there is no other poultry. The live poultry shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival;

(iii)
day-old chicks:to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; orif hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; or

if hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; or

if hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

(iv)
hatching eggs to a designated hatchery; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;

(v)
table eggs to a packing centre provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(vi)
eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the restricted zone;

(vii)
eggs for disposal;

(i)
poultry for slaughter to a slaughterhouse in the same Member State;

(ii)
live poultry to a holding or shed in the same Member State in which there is no other poultry. The live poultry shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival;

(iii)
day-old chicks:to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; orif hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; or

if hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; or

if hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; or

if hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

(iv)
hatching eggs to a designated hatchery; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;

(v)
table eggs to a packing centre provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(vi)
eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the restricted zone;

(vii)
eggs for disposal;

(e)
carcases shall be disposed of;

(f)
any person entering or leaving holdings in the restricted zone observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(g)
vehicles and equipment used for transporting live poultry or other captive birds, feed, manure, slurry and bedding and any other material or substances likely to be contaminated are cleansed and disinfected without delay after contamination, by one or more of the procedures set down in Article 48;

(h)
no poultry, other captive birds or mammals of domestic species may enter or leave a holding without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:(i)have no contact with resident poultry or other captive birds, and(ii)have no access to any cages or areas where such resident poultry or other captive birds are kept;
(i)
have no contact with resident poultry or other captive birds, and
(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)
have no contact with resident poultry or other captive birds, and

(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)
have no contact with resident poultry or other captive birds, and

(ii)
have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)
the removal or spreading of used litter, manure or slurry is prohibited, unless authorised by the competent authority; the movement of manure or slurry may be authorised from a holding situated in the restricted zone under biosecurity measures to a designated plant for treatment or for intermediate storage for subsequent treatment to destroy the possible presence of avian influenza viruses in accordance with Regulation (EC) No 1774/2002 or with specific rules which may be adopted in accordance with the procedure referred to in Article 64(2);

(j)
fairs, markets, shows or other gatherings of poultry or other captive birds are prohibited, unless authorised by the competent authority;

(k)
poultry or other captive birds for restocking of game are not released.

(a)
at least 21 days following the date of completion of preliminary cleansing and disinfection of the infected holding by one or more of the procedures set down in Article 48, and until the competent authorities, based on the investigations and laboratory tests carried out in the restricted zone in accordance with the diagnostic manual and a risk assessment, consider that the risk of spread of LPAI is negligible;

(b)
at least 42 days following the date of confirmation of the outbreak and until the competent authorities, based on the investigations and laboratory tests carried out in the restricted zone in accordance with the diagnostic manual and a risk assessment, consider that the risk of spread of LPAI is negligible; or

(c)
for any other duration and under conditions to be established in accordance with the procedure referred to in Article 64(3).

(a)
the cleansing, disinfection and treatment of holdings and any materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses are carried out under official supervision in accordance with:(i)the instructions of the official veterinarian; and(ii)the principles and procedures for cleansing, disinfecting and treatment set out in Annex VI;
(i)
the instructions of the official veterinarian; and
(ii)
the principles and procedures for cleansing, disinfecting and treatment set out in Annex VI;

(i)
the instructions of the official veterinarian; and

(ii)
the principles and procedures for cleansing, disinfecting and treatment set out in Annex VI;

(i)
the instructions of the official veterinarian; and

(ii)
the principles and procedures for cleansing, disinfecting and treatment set out in Annex VI;

(b)
any land or pastures used by poultry or other captive birds on a holding where avian influenza has been confirmed are not used by poultry or other captive birds until the competent authority is satisfied that any avian influenza virus present has been eliminated or inactivated;

(c)
the cleansing, disinfection and treatment of slaughterhouses, vehicles, trailers or any other means of transport, border inspection posts and any materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses are carried out under official supervision in accordance with the instructions of the official veterinarian;

(d)
any equipment, materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses and which cannot be effectively cleansed and disinfected or treated are destroyed;

(e)
the disinfectants to be used and their concentrations are authorised by the competent authority.

(a)
the poultry undergo at least one clinical examination carried out by the official veterinarian. That clinical examination, or if more than one is carried out, the final clinical examination, is undertaken as near as possible to the end of the 21 day period referred to above;

(b)
laboratory tests are carried out in accordance with the diagnostic manual;

(c)
poultry that die during the re-population phase are tested in accordance with the diagnostic manual;

(d)
any person entering or leaving the commercial poultry holding complies with appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(e)
during the re-population phase no poultry leaves the commercial poultry holding without the authorisation of the competent authority;

(f)
the owner keeps a record on the production data, including morbidity and mortality data, which must be updated regularly;

(g)
any significant change in production data, as referred to in point (f), and other abnormalities are immediately reported to the competent authority.

(a)
minimum biosecurity requirements and quality standards to be observed by approved laboratories carrying out tests for the diagnosis of avian influenza;

(b)
criteria and procedures to be followed when clinical or post-mortem examinations are carried out to confirm or exclude the presence of avian influenza;

(c)
criteria and procedures to be followed for the collection of samples from poultry or other captive birds for laboratory tests to confirm or exclude the presence of avian influenza; including sampling methods for serological or virological screenings carried out in accordance with this Directive;

(d)
laboratory tests to be used for the diagnosis of avian influenza, including:(i)tests for the differential diagnosis;(ii)tests to distinguish HPAI and LPAI viruses;(iii)suitable tests to distinguish between birds vaccinated and those infected with the field strain of avian influenza;(iv)criteria for the evaluation of the results of the laboratory tests;
(i)
tests for the differential diagnosis;
(ii)
tests to distinguish HPAI and LPAI viruses;
(iii)
suitable tests to distinguish between birds vaccinated and those infected with the field strain of avian influenza;
(iv)
criteria for the evaluation of the results of the laboratory tests;

(i)
tests for the differential diagnosis;

(ii)
tests to distinguish HPAI and LPAI viruses;

(iii)
suitable tests to distinguish between birds vaccinated and those infected with the field strain of avian influenza;

(iv)
criteria for the evaluation of the results of the laboratory tests;

(i)
tests for the differential diagnosis;

(ii)
tests to distinguish HPAI and LPAI viruses;

(iii)
suitable tests to distinguish between birds vaccinated and those infected with the field strain of avian influenza;

(iv)
criteria for the evaluation of the results of the laboratory tests;

(e)
laboratory techniques for the typing of avian influenza virus isolates.

(a)
carry out the functions and duties set out in Annex VIII;

(b)
are responsible for co-ordinating standards and methods of diagnosis in each Member State in accordance with Annex VIII and liasing with the Community reference laboratory.

(a)
vaccination against avian influenza is prohibited on their territory, except as provided for in Sections 2 and 3;

(b)
the handling, manufacture, storage, supply, distribution and sale of avian influenza vaccines on their territory are carried out under official supervision;

(c)
only vaccines authorised in accordance with Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products(17)or Regulation No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency(18)are used.

(a)
an outbreak within that Member State;

(b)
an outbreak in a nearby Member State; or

(c)
where avian influenza has been confirmed in poultry or other captive birds in a nearby third country.

(a)
the disease situation which has led to the application for emergency vaccination;

(b)
the geographical area in which emergency vaccination is to be carried out and the number of holdings in that area and the number of holdings to be vaccinated if different;

(c)
the species and categories of poultry or other captive birds or, if appropriate, the poultry or other captive birds compartment to be vaccinated;

(d)
the approximate number of poultry or other captive birds to be vaccinated;

(e)
the summary of the vaccine characteristics;

(f)
the envisaged duration of the emergency vaccination campaign;

(g)
the specific provisions on the movements of vaccinated poultry or other captive birds which shall be without prejudice to the measures provided for in Sections 3, 4 and 5 of Chapter IV and Section 3 of Chapter V;

(h)
the criteria for deciding if emergency vaccination is to be applied in contact holdings;

(i)
the record keeping and registration of the vaccinated poultry or other captive birds;

(j)
clinical and laboratory tests to be carried out in the holdings where emergency vaccination is to be carried out and in other holdings located in the emergency vaccination area in order to monitor the epidemiological situation, the effectiveness of the emergency vaccination campaign and the control of movements of vaccinated poultry or other captive birds.

(a)
the Commission is notified of the emergency vaccination plan and the decision to apply emergency vaccination before the commencement of the emergency vaccination;

(b)
the Member State concerned prohibits the movement of poultry or other captive birds and their products except under the conditions provided for in Annex IX;

(c)
the decision to apply emergency vaccination does not endanger disease control.

(a)
a clear description of the reasons for the preventive vaccination, including the disease history;

(b)
the area, type of poultry husbandry or certain categories of poultry or other captive birds or the poultry or other captive birds compartments in which the preventive vaccination is to be carried out and the number of holdings in that area and the number and type of holdings to be vaccinated if different;

(c)
the species and categories of poultry or other captive birds or, if appropriate, the poultry or other captive birds compartment to be vaccinated;

(d)
the approximate number of poultry or other captive birds to be vaccinated;

(e)
a summary of the vaccine characteristics;

(f)
the envisaged duration of the preventive vaccination campaign;

(g)
the specific provisions on the movements of vaccinated poultry or other captive birds which shall be without prejudice to the measures provided for in Sections 3, 4 and 5 of Chapter IV and Section 3 of Chapter V;

(h)
the record keeping and registration of the vaccinated poultry or other captive birds;

(i)
the laboratory tests to be carried out in accordance with the Diagnostic Manual in the holdings where preventive vaccination is to be carried out at the same time as surveillance and testing in an appropriate number of other holdings located in the vaccination area or the poultry or other captive birds compartments in order to monitor the epidemiological situation, the effectiveness of the preventive vaccination campaign and the control of movements of vaccinated poultry or other captive birds.

(a)
the disposal of carcases, and

(b)
the movement and treatment of feed, bedding, used litter, manure and slurry contaminated or suspected to be contaminated.

1.
‘avian influenza’ means an infection of poultry or other captive birds caused by any influenza A virus:(a)of the subtypes H5 or H7; or(b)with an intravenous pathogenicity index (IVPI) in six-week old chickens greater than 1.2;
(a)
of the subtypes H5 or H7; or
(b)
with an intravenous pathogenicity index (IVPI) in six-week old chickens greater than 1.2;

(a)
of the subtypes H5 or H7; or

(b)
with an intravenous pathogenicity index (IVPI) in six-week old chickens greater than 1.2;

(a)
of the subtypes H5 or H7; or

(b)
with an intravenous pathogenicity index (IVPI) in six-week old chickens greater than 1.2;

2.
‘highly pathogenic avian influenza (HPAI)’ means an infection of poultry or other captive birds caused by:(a)avian influenza viruses of the subtypes H5 or H7 with genome sequences codifying for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease; or(b)avian influenza viruses with an intravenous pathogenicity index in six-week old chickens greater than 1.2;2;
(a)
avian influenza viruses of the subtypes H5 or H7 with genome sequences codifying for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease; or
(b)
avian influenza viruses with an intravenous pathogenicity index in six-week old chickens greater than 1.2;2;

(a)
avian influenza viruses of the subtypes H5 or H7 with genome sequences codifying for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease; or

(b)
avian influenza viruses with an intravenous pathogenicity index in six-week old chickens greater than 1.2;2;

(a)
avian influenza viruses of the subtypes H5 or H7 with genome sequences codifying for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease; or

(b)
avian influenza viruses with an intravenous pathogenicity index in six-week old chickens greater than 1.2;2;

3.
‘low pathogenic avian influenza (LPAI)’ means an infection of poultry or other captive birds caused by avian influenza viruses of subtypes H5 or H7 that do not come within the definition in paragraph 2.

1.
Within 24 hours of the confirmation of any primary outbreak or detection of avian influenza in a slaughterhouse or means of transport, the Member State concerned shall notify in accordance with the procedure referred to in Article 5 of Directive 82/894/EEC:(a)the date of notification;(b)the time of notification;(c)the name of the Member State concerned;(d)the name of the disease;(e)the number of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;(f)the date on which the disease was first suspected;(g)the date of confirmation;(h)the methods used for confirmation;(i)whether the disease has been confirmed in a holding, slaughterhouse or means of transport;(j)the geographical location of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;(k)the disease control measures applied.
(a)
the date of notification;
(b)
the time of notification;
(c)
the name of the Member State concerned;
(d)
the name of the disease;
(e)
the number of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;
(f)
the date on which the disease was first suspected;
(g)
the date of confirmation;
(h)
the methods used for confirmation;
(i)
whether the disease has been confirmed in a holding, slaughterhouse or means of transport;
(j)
the geographical location of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;
(k)
the disease control measures applied.

(a)
the date of notification;

(b)
the time of notification;

(c)
the name of the Member State concerned;

(d)
the name of the disease;

(e)
the number of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;

(f)
the date on which the disease was first suspected;

(g)
the date of confirmation;

(h)
the methods used for confirmation;

(i)
whether the disease has been confirmed in a holding, slaughterhouse or means of transport;

(j)
the geographical location of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;

(k)
the disease control measures applied.

(a)
the date of notification;

(b)
the time of notification;

(c)
the name of the Member State concerned;

(d)
the name of the disease;

(e)
the number of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;

(f)
the date on which the disease was first suspected;

(g)
the date of confirmation;

(h)
the methods used for confirmation;

(i)
whether the disease has been confirmed in a holding, slaughterhouse or means of transport;

(j)
the geographical location of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;

(k)
the disease control measures applied.

2.
In the case of positive findings for avian influenza in slaughterhouses or means of transport, the Member State concerned must forward the following information in addition to the data referred to in paragraph 1:(a)the estimated number, by category, of susceptible poultry or other captive birds in the slaughterhouse or means of transport;(b)the estimated number, by category, of dead poultry or other captive birds in the slaughterhouse or means of transport;(c)for each of the categories of poultry or other captive birds, the identified morbidity and the estimated number of poultry or other captive birds in which avian influenza has been confirmed;(d)the estimated number of poultry or other captive birds killed or slaughtered in the slaughterhouse or means of transport;(e)the estimated number of poultry or other captive birds disposed of;(f)in the case of a slaughterhouse, the distance from the nearest commercial holding containing poultry or other captive birds;(g)the location of the holding or holdings of origin of the infected poultry or carcases.
(a)
the estimated number, by category, of susceptible poultry or other captive birds in the slaughterhouse or means of transport;
(b)
the estimated number, by category, of dead poultry or other captive birds in the slaughterhouse or means of transport;
(c)
for each of the categories of poultry or other captive birds, the identified morbidity and the estimated number of poultry or other captive birds in which avian influenza has been confirmed;
(d)
the estimated number of poultry or other captive birds killed or slaughtered in the slaughterhouse or means of transport;
(e)
the estimated number of poultry or other captive birds disposed of;
(f)
in the case of a slaughterhouse, the distance from the nearest commercial holding containing poultry or other captive birds;
(g)
the location of the holding or holdings of origin of the infected poultry or carcases.

(a)
the estimated number, by category, of susceptible poultry or other captive birds in the slaughterhouse or means of transport;

(b)
the estimated number, by category, of dead poultry or other captive birds in the slaughterhouse or means of transport;

(c)
for each of the categories of poultry or other captive birds, the identified morbidity and the estimated number of poultry or other captive birds in which avian influenza has been confirmed;

(d)
the estimated number of poultry or other captive birds killed or slaughtered in the slaughterhouse or means of transport;

(e)
the estimated number of poultry or other captive birds disposed of;

(f)
in the case of a slaughterhouse, the distance from the nearest commercial holding containing poultry or other captive birds;

(g)
the location of the holding or holdings of origin of the infected poultry or carcases.

(a)
the estimated number, by category, of susceptible poultry or other captive birds in the slaughterhouse or means of transport;

(b)
the estimated number, by category, of dead poultry or other captive birds in the slaughterhouse or means of transport;

(c)
for each of the categories of poultry or other captive birds, the identified morbidity and the estimated number of poultry or other captive birds in which avian influenza has been confirmed;

(d)
the estimated number of poultry or other captive birds killed or slaughtered in the slaughterhouse or means of transport;

(e)
the estimated number of poultry or other captive birds disposed of;

(f)
in the case of a slaughterhouse, the distance from the nearest commercial holding containing poultry or other captive birds;

(g)
the location of the holding or holdings of origin of the infected poultry or carcases.

3.
In the case of secondary outbreaks, the information referred to in paragraphs 1 and 2 must be forwarded within the time-limits laid down in Article 4(1) of Directive 82/894/EEC.

4.
The Member State concerned shall ensure that the information to be provided in accordance with paragraphs 1, 2 and 3, in relation to any outbreak or positive finding of avian influenza in a slaughterhouse or means of transport is followed as soon as possible by a written report to the Commission and the other Member States including at least:(a)the date on which the poultry or other captive birds on the holding, slaughterhouse or means of transport were killed or slaughtered and their carcases disposed of;(b)any information relating to the possible origin of avian influenza or, if ascertained, its actual origin;(c)information on the control system established to ensure that the measures in place for the control of animal movements are effectively implemented;(d)in the case of detection of avian influenza in a slaughterhouse or means of transport, the genetic type of virus responsible;(e)where poultry or other captive birds have been killed or slaughtered in contact holdings or in holdings containing poultry or other captive birds suspected of being infected with avian influenza virus, information on:(i)the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;(ii)the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;(iii)where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.
(a)
the date on which the poultry or other captive birds on the holding, slaughterhouse or means of transport were killed or slaughtered and their carcases disposed of;
(b)
any information relating to the possible origin of avian influenza or, if ascertained, its actual origin;
(c)
information on the control system established to ensure that the measures in place for the control of animal movements are effectively implemented;
(d)
in the case of detection of avian influenza in a slaughterhouse or means of transport, the genetic type of virus responsible;
(e)
where poultry or other captive birds have been killed or slaughtered in contact holdings or in holdings containing poultry or other captive birds suspected of being infected with avian influenza virus, information on:(i)the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;(ii)the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;(iii)where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.
(i)
the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;
(ii)
the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;
(iii)
where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

(a)
the date on which the poultry or other captive birds on the holding, slaughterhouse or means of transport were killed or slaughtered and their carcases disposed of;

(b)
any information relating to the possible origin of avian influenza or, if ascertained, its actual origin;

(c)
information on the control system established to ensure that the measures in place for the control of animal movements are effectively implemented;

(d)
in the case of detection of avian influenza in a slaughterhouse or means of transport, the genetic type of virus responsible;

(e)
where poultry or other captive birds have been killed or slaughtered in contact holdings or in holdings containing poultry or other captive birds suspected of being infected with avian influenza virus, information on:(i)the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;(ii)the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;(iii)where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.
(i)
the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;
(ii)
the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;
(iii)
where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

(i)
the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;

(ii)
the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;

(iii)
where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

(a)
the date on which the poultry or other captive birds on the holding, slaughterhouse or means of transport were killed or slaughtered and their carcases disposed of;

(b)
any information relating to the possible origin of avian influenza or, if ascertained, its actual origin;

(c)
information on the control system established to ensure that the measures in place for the control of animal movements are effectively implemented;

(d)
in the case of detection of avian influenza in a slaughterhouse or means of transport, the genetic type of virus responsible;

(e)
where poultry or other captive birds have been killed or slaughtered in contact holdings or in holdings containing poultry or other captive birds suspected of being infected with avian influenza virus, information on:(i)the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;(ii)the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;(iii)where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.
(i)
the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;
(ii)
the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;
(iii)
where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

(i)
the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;

(ii)
the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;

(iii)
where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

(i)
the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;

(ii)
the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;

(iii)
where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

5.
In the case of confirmation of avian influenza in live poultry, other captive birds or poultry products being imported or introduced at Community borders, in border inspection posts or in quarantine facilities or centres operating in accordance with Community legislation on imports, the competent authority must notify this confirmation to the Commission without delay and report on the measures taken.

6.
The Commission and the other Member States must be notified within 24 hours where a serious threat to health is identified as a result of any surveillance.

1.
in order to be allowed to be removed from the holding of origin, the eggs must be sent directly from the suspected holding to the designated establishment; each consignment must be sealed before dispatch by the official veterinarian responsible for the suspected holding or under his supervision and must remain sealed throughout transport to the designated establishment;

2.
the official veterinarian responsible for the holding of origin of the eggs shall inform the competent authority of the designated establishment of the intention to send the eggs to it;

3.
the competent authority responsible for the designated establishment shall ensure that:(a)the eggs referred to in paragraph 1 are kept isolated from other eggs from the time they arrive until they are processed;(b)the shells of such eggs are disposed of;(c)the packaging used for the eggs is either destroyed or cleansed and disinfected in such a way as to destroy all avian influenza viruses;(d)the eggs referred to in paragraph 1 are transported in cleansed and disinfected vehicles. Biosecurity measures are applied to staff and equipment and vehicles involved in the transport of the eggs.
(a)
the eggs referred to in paragraph 1 are kept isolated from other eggs from the time they arrive until they are processed;
(b)
the shells of such eggs are disposed of;
(c)
the packaging used for the eggs is either destroyed or cleansed and disinfected in such a way as to destroy all avian influenza viruses;
(d)
the eggs referred to in paragraph 1 are transported in cleansed and disinfected vehicles. Biosecurity measures are applied to staff and equipment and vehicles involved in the transport of the eggs.

(a)
the eggs referred to in paragraph 1 are kept isolated from other eggs from the time they arrive until they are processed;

(b)
the shells of such eggs are disposed of;

(c)
the packaging used for the eggs is either destroyed or cleansed and disinfected in such a way as to destroy all avian influenza viruses;

(d)
the eggs referred to in paragraph 1 are transported in cleansed and disinfected vehicles. Biosecurity measures are applied to staff and equipment and vehicles involved in the transport of the eggs.

(a)
the eggs referred to in paragraph 1 are kept isolated from other eggs from the time they arrive until they are processed;

(b)
the shells of such eggs are disposed of;

(c)
the packaging used for the eggs is either destroyed or cleansed and disinfected in such a way as to destroy all avian influenza viruses;

(d)
the eggs referred to in paragraph 1 are transported in cleansed and disinfected vehicles. Biosecurity measures are applied to staff and equipment and vehicles involved in the transport of the eggs.

Indicative criteria

For depopulation
Against depopulation

Clinical signs suggesting avian influenza in contact holdings
No clinical signs suggesting avian influenza on the contact holdings and no epidemiological link

High susceptibility of predominant poultry species
Low susceptibility of predominant poultry species

Movement of poultry or other captive birds from holdings where avian influenza has been confirmed to contact holdings after the likely time of introduction of virus on to those infected holdings
No known movement of poultry or other captive birds from the holdings where avian influenza has been confirmed to contact holdings after the likely time of introduction of virus on to those infected holdings

Location of contact holdings in an area with a high density of poultry
Location of contact holdings in an area with a low density of poultry

Disease has been present for some time with likely spreading of virus from the holdings where avian influenza has been confirmed before application of eradication measures
Disease present but with limited spreading of virus from the holdings where avian influenza has been confirmed before application of eradication measures

Location of contact holdings within 500 metres(1)of the holdings where avian influenza has been confirmed
Location of contact holdings more than 500 metres(1)from the holdings where avian influenza has been confirmed

The contact holdings are linked to more than one holding where avian influenza has been confirmed
The contact holdings are not linked to holdings where avian influenza has been confirmed

The epidemic is not under control and the number of holdings where avian influenza has been confirmed is rising
The epidemic is under control

(a)
species in question;

(b)
number of holdings in the area around the holding of dispatch;

(c)
location of designated slaughterhouses, hatcheries and packing centres;

(d)
biosecurity measures applied in holdings, poultry or other captive bird compartments, during transport and during slaughter;

(e)
transport route;

(f)
evidence of spread;

(g)
public health risk, if any;

(h)
further treatments of the products in question;

(i)
socio-economic and other impacts.

1.
The following general principles and procedures shall be applied for the cleansing, disinfection and treatment provided for in Article 48:(a)the cleansing and disinfection and, where necessary, the measures to destroy rodents and insects must be carried out under official supervision and in accordance with the instructions given by the official veterinarian;(b)the disinfectants to be used and their concentrations must be authorised by the competent authority to ensure the destruction of avian influenza virus;(c)disinfectants should either be used in accordance with the recommendations of the manufacturer where provided or in accordance with the instructions of the official veterinarian and/or the instructions of the competent authority, if any;(d)the choice of disinfectants and of procedures for disinfection must be made taking into account the nature of the holdings, vehicles and objects which are to be treated;(e)the conditions under which degreasing agents and disinfectants are used must ensure that their efficacy is not impaired; in particular, technical parameters indicated by the manufacturer, such as pressure, minimum temperature and required contact time must be observed;(f)irrespective of the disinfectant used, the following general rules shall be applied:(i)a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;(ii)washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;(iii)then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;(g)where washing is carried out with liquids applied under pressure, re-contamination of the previously cleansed parts must be avoided;(h)washing, disinfecting or destroying of equipment, installations, articles or anything likely to be contaminated must be envisaged;(i)following disinfection procedures, re-contamination must be avoided;(j)cleansing and disinfection as required in the framework of this Directive must be documented in the holding or vehicle register and, where official approval is required, be certified by the supervising official veterinarian or person under his supervision;(k)cleansing and disinfection of vehicles used for transport and by staff.
(a)
the cleansing and disinfection and, where necessary, the measures to destroy rodents and insects must be carried out under official supervision and in accordance with the instructions given by the official veterinarian;
(b)
the disinfectants to be used and their concentrations must be authorised by the competent authority to ensure the destruction of avian influenza virus;
(c)
disinfectants should either be used in accordance with the recommendations of the manufacturer where provided or in accordance with the instructions of the official veterinarian and/or the instructions of the competent authority, if any;
(d)
the choice of disinfectants and of procedures for disinfection must be made taking into account the nature of the holdings, vehicles and objects which are to be treated;
(e)
the conditions under which degreasing agents and disinfectants are used must ensure that their efficacy is not impaired; in particular, technical parameters indicated by the manufacturer, such as pressure, minimum temperature and required contact time must be observed;
(f)
irrespective of the disinfectant used, the following general rules shall be applied:(i)a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;(ii)washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;(iii)then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;
(i)
a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;
(ii)
washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;
(iii)
then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;
(g)
where washing is carried out with liquids applied under pressure, re-contamination of the previously cleansed parts must be avoided;
(h)
washing, disinfecting or destroying of equipment, installations, articles or anything likely to be contaminated must be envisaged;
(i)
following disinfection procedures, re-contamination must be avoided;
(j)
cleansing and disinfection as required in the framework of this Directive must be documented in the holding or vehicle register and, where official approval is required, be certified by the supervising official veterinarian or person under his supervision;
(k)
cleansing and disinfection of vehicles used for transport and by staff.

(a)
the cleansing and disinfection and, where necessary, the measures to destroy rodents and insects must be carried out under official supervision and in accordance with the instructions given by the official veterinarian;

(b)
the disinfectants to be used and their concentrations must be authorised by the competent authority to ensure the destruction of avian influenza virus;

(c)
disinfectants should either be used in accordance with the recommendations of the manufacturer where provided or in accordance with the instructions of the official veterinarian and/or the instructions of the competent authority, if any;

(d)
the choice of disinfectants and of procedures for disinfection must be made taking into account the nature of the holdings, vehicles and objects which are to be treated;

(e)
the conditions under which degreasing agents and disinfectants are used must ensure that their efficacy is not impaired; in particular, technical parameters indicated by the manufacturer, such as pressure, minimum temperature and required contact time must be observed;

(f)
irrespective of the disinfectant used, the following general rules shall be applied:(i)a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;(ii)washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;(iii)then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;
(i)
a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;
(ii)
washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;
(iii)
then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;

(i)
a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;

(ii)
washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;

(iii)
then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;

(g)
where washing is carried out with liquids applied under pressure, re-contamination of the previously cleansed parts must be avoided;

(h)
washing, disinfecting or destroying of equipment, installations, articles or anything likely to be contaminated must be envisaged;

(i)
following disinfection procedures, re-contamination must be avoided;

(j)
cleansing and disinfection as required in the framework of this Directive must be documented in the holding or vehicle register and, where official approval is required, be certified by the supervising official veterinarian or person under his supervision;

(k)
cleansing and disinfection of vehicles used for transport and by staff.

(a)
the cleansing and disinfection and, where necessary, the measures to destroy rodents and insects must be carried out under official supervision and in accordance with the instructions given by the official veterinarian;

(b)
the disinfectants to be used and their concentrations must be authorised by the competent authority to ensure the destruction of avian influenza virus;

(c)
disinfectants should either be used in accordance with the recommendations of the manufacturer where provided or in accordance with the instructions of the official veterinarian and/or the instructions of the competent authority, if any;

(d)
the choice of disinfectants and of procedures for disinfection must be made taking into account the nature of the holdings, vehicles and objects which are to be treated;

(e)
the conditions under which degreasing agents and disinfectants are used must ensure that their efficacy is not impaired; in particular, technical parameters indicated by the manufacturer, such as pressure, minimum temperature and required contact time must be observed;

(f)
irrespective of the disinfectant used, the following general rules shall be applied:(i)a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;(ii)washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;(iii)then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;
(i)
a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;
(ii)
washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;
(iii)
then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;

(i)
a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;

(ii)
washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;

(iii)
then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;

(i)
a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;

(ii)
washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;

(iii)
then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;

(g)
where washing is carried out with liquids applied under pressure, re-contamination of the previously cleansed parts must be avoided;

(h)
washing, disinfecting or destroying of equipment, installations, articles or anything likely to be contaminated must be envisaged;

(i)
following disinfection procedures, re-contamination must be avoided;

(j)
cleansing and disinfection as required in the framework of this Directive must be documented in the holding or vehicle register and, where official approval is required, be certified by the supervising official veterinarian or person under his supervision;

(k)
cleansing and disinfection of vehicles used for transport and by staff.

2.
Cleansing and disinfection of infected holdings shall be carried out in accordance with the following principles and procedures:(a)preliminary cleansing and disinfection:(i)during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;(ii)carcases of killed poultry or other captive birds must be sprayed with disinfectant;(iii)any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;(iv)as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;(v)any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;(vi)the disinfectant must remain on the surface for at least 24 hours;(b)final cleansing and disinfection:(i)manure and used bedding must be removed and treated as provided in paragraph 3(a);(ii)grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;(iii)after washing with cold water, further spraying with disinfectant must be applied;(iv)after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.
(a)
preliminary cleansing and disinfection:(i)during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;(ii)carcases of killed poultry or other captive birds must be sprayed with disinfectant;(iii)any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;(iv)as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;(v)any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;(vi)the disinfectant must remain on the surface for at least 24 hours;
(i)
during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;
(ii)
carcases of killed poultry or other captive birds must be sprayed with disinfectant;
(iii)
any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;
(iv)
as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;
(v)
any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;
(vi)
the disinfectant must remain on the surface for at least 24 hours;
(b)
final cleansing and disinfection:(i)manure and used bedding must be removed and treated as provided in paragraph 3(a);(ii)grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;(iii)after washing with cold water, further spraying with disinfectant must be applied;(iv)after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.
(i)
manure and used bedding must be removed and treated as provided in paragraph 3(a);
(ii)
grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;
(iii)
after washing with cold water, further spraying with disinfectant must be applied;
(iv)
after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

(a)
preliminary cleansing and disinfection:(i)during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;(ii)carcases of killed poultry or other captive birds must be sprayed with disinfectant;(iii)any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;(iv)as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;(v)any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;(vi)the disinfectant must remain on the surface for at least 24 hours;
(i)
during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;
(ii)
carcases of killed poultry or other captive birds must be sprayed with disinfectant;
(iii)
any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;
(iv)
as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;
(v)
any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;
(vi)
the disinfectant must remain on the surface for at least 24 hours;

(i)
during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;

(ii)
carcases of killed poultry or other captive birds must be sprayed with disinfectant;

(iii)
any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;

(iv)
as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;

(v)
any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;

(vi)
the disinfectant must remain on the surface for at least 24 hours;

(b)
final cleansing and disinfection:(i)manure and used bedding must be removed and treated as provided in paragraph 3(a);(ii)grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;(iii)after washing with cold water, further spraying with disinfectant must be applied;(iv)after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.
(i)
manure and used bedding must be removed and treated as provided in paragraph 3(a);
(ii)
grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;
(iii)
after washing with cold water, further spraying with disinfectant must be applied;
(iv)
after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

(i)
manure and used bedding must be removed and treated as provided in paragraph 3(a);

(ii)
grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;

(iii)
after washing with cold water, further spraying with disinfectant must be applied;

(iv)
after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

(a)
preliminary cleansing and disinfection:(i)during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;(ii)carcases of killed poultry or other captive birds must be sprayed with disinfectant;(iii)any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;(iv)as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;(v)any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;(vi)the disinfectant must remain on the surface for at least 24 hours;
(i)
during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;
(ii)
carcases of killed poultry or other captive birds must be sprayed with disinfectant;
(iii)
any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;
(iv)
as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;
(v)
any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;
(vi)
the disinfectant must remain on the surface for at least 24 hours;

(i)
during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;

(ii)
carcases of killed poultry or other captive birds must be sprayed with disinfectant;

(iii)
any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;

(iv)
as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;

(v)
any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;

(vi)
the disinfectant must remain on the surface for at least 24 hours;

(i)
during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;

(ii)
carcases of killed poultry or other captive birds must be sprayed with disinfectant;

(iii)
any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;

(iv)
as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;

(v)
any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;

(vi)
the disinfectant must remain on the surface for at least 24 hours;

(b)
final cleansing and disinfection:(i)manure and used bedding must be removed and treated as provided in paragraph 3(a);(ii)grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;(iii)after washing with cold water, further spraying with disinfectant must be applied;(iv)after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.
(i)
manure and used bedding must be removed and treated as provided in paragraph 3(a);
(ii)
grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;
(iii)
after washing with cold water, further spraying with disinfectant must be applied;
(iv)
after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

(i)
manure and used bedding must be removed and treated as provided in paragraph 3(a);

(ii)
grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;

(iii)
after washing with cold water, further spraying with disinfectant must be applied;

(iv)
after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

(i)
manure and used bedding must be removed and treated as provided in paragraph 3(a);

(ii)
grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;

(iii)
after washing with cold water, further spraying with disinfectant must be applied;

(iv)
after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

3.
Disinfection of contaminated bedding, manure and slurry shall be carried out in accordance with the following principles and procedures:(a)manure and used bedding shall either:(i)undergo a steam treatment at a temperature of at least 70 °C;(ii)be destroyed by burning;(iii)be buried deep enough to prevent access by wild birds and other animals; or(iv)be stacked to heat, sprayed with disinfectant and left for at least 42 days;(b)slurry must be stored for at least 60 days after the last addition of infectious material, unless the competent authorities authorises a reduced storage period for slurry which has been effectively treated in accordance with the instructions of the official veterinarian so as to ensure the destruction of the virus.The competent authority may authorise the transportation of manure, litter and bedding likely to be contaminated to either an approved treatment plant where a treatment ensuring the destruction of any influenza virus is carried out, or for intermediate storage before destruction or treatment, in accordance with Regulation (EC) No 1774/2002 or with the specific rules referred to in Article 63(1) of this Directive. Such transport shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus.
(a)
manure and used bedding shall either:(i)undergo a steam treatment at a temperature of at least 70 °C;(ii)be destroyed by burning;(iii)be buried deep enough to prevent access by wild birds and other animals; or(iv)be stacked to heat, sprayed with disinfectant and left for at least 42 days;
(i)
undergo a steam treatment at a temperature of at least 70 °C;
(ii)
be destroyed by burning;
(iii)
be buried deep enough to prevent access by wild birds and other animals; or
(iv)
be stacked to heat, sprayed with disinfectant and left for at least 42 days;
(b)
slurry must be stored for at least 60 days after the last addition of infectious material, unless the competent authorities authorises a reduced storage period for slurry which has been effectively treated in accordance with the instructions of the official veterinarian so as to ensure the destruction of the virus.

(a)
manure and used bedding shall either:(i)undergo a steam treatment at a temperature of at least 70 °C;(ii)be destroyed by burning;(iii)be buried deep enough to prevent access by wild birds and other animals; or(iv)be stacked to heat, sprayed with disinfectant and left for at least 42 days;
(i)
undergo a steam treatment at a temperature of at least 70 °C;
(ii)
be destroyed by burning;
(iii)
be buried deep enough to prevent access by wild birds and other animals; or
(iv)
be stacked to heat, sprayed with disinfectant and left for at least 42 days;

(i)
undergo a steam treatment at a temperature of at least 70 °C;

(ii)
be destroyed by burning;

(iii)
be buried deep enough to prevent access by wild birds and other animals; or

(iv)
be stacked to heat, sprayed with disinfectant and left for at least 42 days;

(b)
slurry must be stored for at least 60 days after the last addition of infectious material, unless the competent authorities authorises a reduced storage period for slurry which has been effectively treated in accordance with the instructions of the official veterinarian so as to ensure the destruction of the virus.

(a)
manure and used bedding shall either:(i)undergo a steam treatment at a temperature of at least 70 °C;(ii)be destroyed by burning;(iii)be buried deep enough to prevent access by wild birds and other animals; or(iv)be stacked to heat, sprayed with disinfectant and left for at least 42 days;
(i)
undergo a steam treatment at a temperature of at least 70 °C;
(ii)
be destroyed by burning;
(iii)
be buried deep enough to prevent access by wild birds and other animals; or
(iv)
be stacked to heat, sprayed with disinfectant and left for at least 42 days;

(i)
undergo a steam treatment at a temperature of at least 70 °C;

(ii)
be destroyed by burning;

(iii)
be buried deep enough to prevent access by wild birds and other animals; or

(iv)
be stacked to heat, sprayed with disinfectant and left for at least 42 days;

(i)
undergo a steam treatment at a temperature of at least 70 °C;

(ii)
be destroyed by burning;

(iii)
be buried deep enough to prevent access by wild birds and other animals; or

(iv)
be stacked to heat, sprayed with disinfectant and left for at least 42 days;

(b)
slurry must be stored for at least 60 days after the last addition of infectious material, unless the competent authorities authorises a reduced storage period for slurry which has been effectively treated in accordance with the instructions of the official veterinarian so as to ensure the destruction of the virus.

4.
However, by way of derogation from paragraphs 1 and 2, the competent authority may establish specific procedures for cleansing and disinfection, taking into account the type of holding and the climatic conditions. The competent authority shall notify the Commission when this derogation is applied and provide them with details of the specific procedures.

5.
Without prejudice to Article 48(b), if the competent authority is satisfied that any holding or part of any holding cannot, for any reason, be cleansed and disinfected, it may prohibit the entry of any person, vehicle, poultry, other captive bird or mammal of domestic species or any thing on to those holdings, or part of those holdings, and such prohibition shall remain in force for a minimum of 12 months.

1.
The Community reference laboratory for avian influenza is:Veterinary Laboratories Agency (VLA), New Haw, Weybridge, Surrey KT 15 3NB, United Kingdom.

2.
The functions and duties of the Community reference laboratory shall be:(a)to coordinate, in consultation with the Commission, the methods employed in the Member States for diagnosing avian influenza, specifically by;(i)typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;(ii)supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;(iii)building up and retaining a collection of avian influenza virus strains and isolates;(iv)organising periodical comparative tests of diagnostic procedures at Community level;(v)collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;(vi)characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;(vii)keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;(viii)retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;(ix)acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;(b)to assist actively in the diagnosis of outbreaks in the Community by receiving isolates of influenza viruses of avian origin for confirmatory diagnosis, characterisation and epidemiological studies and to obtain virus isolates from primary outbreaks to be submitted from third countries authorised for the importation of live poultry and meat into the Community pursuant to the relevant Community legislation; on the virus isolates received, the Community reference laboratory shall in particular carry out the following:(i)nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;(ii)determination of the intravenous pathogenicity index (IVPI);(iii)antigenic typing;(iv)phylogenetic analysis to assist in epidemiological investigations;(c)to facilitate the training or retraining of experts in laboratory diagnosis with a view to the harmonisation of techniques throughout the Community;(d)to prepare the programme and working documents for the Annual Meeting of National Reference Laboratories;(e)to assist in the conduct of avian influenza surveys in poultry and wild birds to be carried out in the Member States by supplying antigens in the framework of the programme and the approved testing procedures and prepare a summary report on the results of the surveys;(f)to keep under review the possible zoonotic impact arising from avian influenza viruses and collaborate with internationally recognised human influenza laboratories;(g)to develop, in consultation with the Commission, a crisis and contingency plan which shall include provision for the cooperation with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community.
(a)
to coordinate, in consultation with the Commission, the methods employed in the Member States for diagnosing avian influenza, specifically by;(i)typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;(ii)supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;(iii)building up and retaining a collection of avian influenza virus strains and isolates;(iv)organising periodical comparative tests of diagnostic procedures at Community level;(v)collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;(vi)characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;(vii)keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;(viii)retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;(ix)acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;
(i)
typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;
(ii)
supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;
(iii)
building up and retaining a collection of avian influenza virus strains and isolates;
(iv)
organising periodical comparative tests of diagnostic procedures at Community level;
(v)
collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;
(vi)
characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;
(vii)
keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;
(viii)
retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;
(ix)
acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;
(b)
to assist actively in the diagnosis of outbreaks in the Community by receiving isolates of influenza viruses of avian origin for confirmatory diagnosis, characterisation and epidemiological studies and to obtain virus isolates from primary outbreaks to be submitted from third countries authorised for the importation of live poultry and meat into the Community pursuant to the relevant Community legislation; on the virus isolates received, the Community reference laboratory shall in particular carry out the following:(i)nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;(ii)determination of the intravenous pathogenicity index (IVPI);(iii)antigenic typing;(iv)phylogenetic analysis to assist in epidemiological investigations;
(i)
nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;
(ii)
determination of the intravenous pathogenicity index (IVPI);
(iii)
antigenic typing;
(iv)
phylogenetic analysis to assist in epidemiological investigations;
(c)
to facilitate the training or retraining of experts in laboratory diagnosis with a view to the harmonisation of techniques throughout the Community;
(d)
to prepare the programme and working documents for the Annual Meeting of National Reference Laboratories;
(e)
to assist in the conduct of avian influenza surveys in poultry and wild birds to be carried out in the Member States by supplying antigens in the framework of the programme and the approved testing procedures and prepare a summary report on the results of the surveys;
(f)
to keep under review the possible zoonotic impact arising from avian influenza viruses and collaborate with internationally recognised human influenza laboratories;
(g)
to develop, in consultation with the Commission, a crisis and contingency plan which shall include provision for the cooperation with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community.

(a)
to coordinate, in consultation with the Commission, the methods employed in the Member States for diagnosing avian influenza, specifically by;(i)typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;(ii)supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;(iii)building up and retaining a collection of avian influenza virus strains and isolates;(iv)organising periodical comparative tests of diagnostic procedures at Community level;(v)collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;(vi)characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;(vii)keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;(viii)retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;(ix)acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;
(i)
typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;
(ii)
supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;
(iii)
building up and retaining a collection of avian influenza virus strains and isolates;
(iv)
organising periodical comparative tests of diagnostic procedures at Community level;
(v)
collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;
(vi)
characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;
(vii)
keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;
(viii)
retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;
(ix)
acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;

(i)
typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;

(ii)
supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;

(iii)
building up and retaining a collection of avian influenza virus strains and isolates;

(iv)
organising periodical comparative tests of diagnostic procedures at Community level;

(v)
collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;

(vi)
characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;

(vii)
keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;

(viii)
retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;

(ix)
acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;

(b)
to assist actively in the diagnosis of outbreaks in the Community by receiving isolates of influenza viruses of avian origin for confirmatory diagnosis, characterisation and epidemiological studies and to obtain virus isolates from primary outbreaks to be submitted from third countries authorised for the importation of live poultry and meat into the Community pursuant to the relevant Community legislation; on the virus isolates received, the Community reference laboratory shall in particular carry out the following:(i)nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;(ii)determination of the intravenous pathogenicity index (IVPI);(iii)antigenic typing;(iv)phylogenetic analysis to assist in epidemiological investigations;
(i)
nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;
(ii)
determination of the intravenous pathogenicity index (IVPI);
(iii)
antigenic typing;
(iv)
phylogenetic analysis to assist in epidemiological investigations;

(i)
nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;

(ii)
determination of the intravenous pathogenicity index (IVPI);

(iii)
antigenic typing;

(iv)
phylogenetic analysis to assist in epidemiological investigations;

(c)
to facilitate the training or retraining of experts in laboratory diagnosis with a view to the harmonisation of techniques throughout the Community;

(d)
to prepare the programme and working documents for the Annual Meeting of National Reference Laboratories;

(e)
to assist in the conduct of avian influenza surveys in poultry and wild birds to be carried out in the Member States by supplying antigens in the framework of the programme and the approved testing procedures and prepare a summary report on the results of the surveys;

(f)
to keep under review the possible zoonotic impact arising from avian influenza viruses and collaborate with internationally recognised human influenza laboratories;

(g)
to develop, in consultation with the Commission, a crisis and contingency plan which shall include provision for the cooperation with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community.

(a)
to coordinate, in consultation with the Commission, the methods employed in the Member States for diagnosing avian influenza, specifically by;(i)typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;(ii)supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;(iii)building up and retaining a collection of avian influenza virus strains and isolates;(iv)organising periodical comparative tests of diagnostic procedures at Community level;(v)collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;(vi)characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;(vii)keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;(viii)retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;(ix)acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;
(i)
typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;
(ii)
supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;
(iii)
building up and retaining a collection of avian influenza virus strains and isolates;
(iv)
organising periodical comparative tests of diagnostic procedures at Community level;
(v)
collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;
(vi)
characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;
(vii)
keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;
(viii)
retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;
(ix)
acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;

(i)
typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;

(ii)
supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;

(iii)
building up and retaining a collection of avian influenza virus strains and isolates;

(iv)
organising periodical comparative tests of diagnostic procedures at Community level;

(v)
collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;

(vi)
characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;

(vii)
keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;

(viii)
retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;

(ix)
acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;

(i)
typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;

(ii)
supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;

(iii)
building up and retaining a collection of avian influenza virus strains and isolates;

(iv)
organising periodical comparative tests of diagnostic procedures at Community level;

(v)
collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;

(vi)
characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;

(vii)
keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;

(viii)
retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;

(ix)
acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;

(b)
to assist actively in the diagnosis of outbreaks in the Community by receiving isolates of influenza viruses of avian origin for confirmatory diagnosis, characterisation and epidemiological studies and to obtain virus isolates from primary outbreaks to be submitted from third countries authorised for the importation of live poultry and meat into the Community pursuant to the relevant Community legislation; on the virus isolates received, the Community reference laboratory shall in particular carry out the following:(i)nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;(ii)determination of the intravenous pathogenicity index (IVPI);(iii)antigenic typing;(iv)phylogenetic analysis to assist in epidemiological investigations;
(i)
nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;
(ii)
determination of the intravenous pathogenicity index (IVPI);
(iii)
antigenic typing;
(iv)
phylogenetic analysis to assist in epidemiological investigations;

(i)
nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;

(ii)
determination of the intravenous pathogenicity index (IVPI);

(iii)
antigenic typing;

(iv)
phylogenetic analysis to assist in epidemiological investigations;

(i)
nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;

(ii)
determination of the intravenous pathogenicity index (IVPI);

(iii)
antigenic typing;

(iv)
phylogenetic analysis to assist in epidemiological investigations;

(c)
to facilitate the training or retraining of experts in laboratory diagnosis with a view to the harmonisation of techniques throughout the Community;

(d)
to prepare the programme and working documents for the Annual Meeting of National Reference Laboratories;

(e)
to assist in the conduct of avian influenza surveys in poultry and wild birds to be carried out in the Member States by supplying antigens in the framework of the programme and the approved testing procedures and prepare a summary report on the results of the surveys;

(f)
to keep under review the possible zoonotic impact arising from avian influenza viruses and collaborate with internationally recognised human influenza laboratories;

(g)
to develop, in consultation with the Commission, a crisis and contingency plan which shall include provision for the cooperation with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community.

1.
The national reference laboratories shall be responsible for ensuring that in each Member State the laboratory testing to detect the presence of avian influenza and the identification of the genetic type of virus isolates are carried out in accordance with the diagnostic manual. For that purpose, they may make special agreements with the Community reference laboratory or with other national laboratories.

2.
The national reference laboratories shall submit isolates of influenza virus of avian origin to the Community reference laboratory without delay for full characterisation:(a)from all primary outbreaks of avian influenza;(b)in case of secondary outbreaks, from representative number of outbreaks;(c)in case of detection of influenza viruses other than those referred to in Annex I(1) in poultry, other captive birds or mammals posing a serious threat to health.
(a)
from all primary outbreaks of avian influenza;
(b)
in case of secondary outbreaks, from representative number of outbreaks;
(c)
in case of detection of influenza viruses other than those referred to in Annex I(1) in poultry, other captive birds or mammals posing a serious threat to health.

(a)
from all primary outbreaks of avian influenza;

(b)
in case of secondary outbreaks, from representative number of outbreaks;

(c)
in case of detection of influenza viruses other than those referred to in Annex I(1) in poultry, other captive birds or mammals posing a serious threat to health.

(a)
from all primary outbreaks of avian influenza;

(b)
in case of secondary outbreaks, from representative number of outbreaks;

(c)
in case of detection of influenza viruses other than those referred to in Annex I(1) in poultry, other captive birds or mammals posing a serious threat to health.

3.
The national reference laboratory in each Member State shall be responsible for coordinating the standards and diagnostic methods in each avian influenza diagnostic laboratory within that Member State. For that purpose:(a)it may provide individual laboratories with diagnostic reagents;(b)it shall control the quality of all diagnostic reagents used in that Member State;(c)it shall arrange comparative tests periodically;(d)it shall hold isolates of avian influenza virus from outbreaks and of any other influenza viruses of avian origin detected in that Member State;(e)it shall collaborate with the national human influenza laboratories.
(a)
it may provide individual laboratories with diagnostic reagents;
(b)
it shall control the quality of all diagnostic reagents used in that Member State;
(c)
it shall arrange comparative tests periodically;
(d)
it shall hold isolates of avian influenza virus from outbreaks and of any other influenza viruses of avian origin detected in that Member State;
(e)
it shall collaborate with the national human influenza laboratories.

(a)
it may provide individual laboratories with diagnostic reagents;

(b)
it shall control the quality of all diagnostic reagents used in that Member State;

(c)
it shall arrange comparative tests periodically;

(d)
it shall hold isolates of avian influenza virus from outbreaks and of any other influenza viruses of avian origin detected in that Member State;

(e)
it shall collaborate with the national human influenza laboratories.

(a)
it may provide individual laboratories with diagnostic reagents;

(b)
it shall control the quality of all diagnostic reagents used in that Member State;

(c)
it shall arrange comparative tests periodically;

(d)
it shall hold isolates of avian influenza virus from outbreaks and of any other influenza viruses of avian origin detected in that Member State;

(e)
it shall collaborate with the national human influenza laboratories.

1.
Member States shall ensure that movement controls on poultry or other captive birds vaccinated in accordance with Article 55 and on their products are applied as set out in paragraphs 3 to 8 in accordance with the diagnostic manual.

2.
Any vehicles or means of transport and equipment used for transporting live poultry or other captive birds, eggs or poultry meat within the context of this Annex shall undergo one or more of the cleansing, disinfection or treatment procedures provided for in Article 48 without delay after it has been used.

3.
The following provisions shall apply to the movements of live poultry or other captive birds and eggs within the vaccination area:(a)hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;(b)eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;(c)day-old chicks shall:(i)originate from hatching eggs satisfying the conditions set out in (a);(ii)be placed in a poultry house or shed where there is no resident poultry;(d)live poultry or other captive birds shall:(i)have been vaccinated against avian influenza, if provided for in the vaccination programme;(ii)have been examined, with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry house or shed where there is no resident poultry;(e)poultry for slaughter shall:(i)be examined with favourable results before loading in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter.
(a)
hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;
(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;
(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;
(iii)
be transported directly to the hatchery of destination;
(iv)
be traceable within the hatchery;
(b)
eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(c)
day-old chicks shall:(i)originate from hatching eggs satisfying the conditions set out in (a);(ii)be placed in a poultry house or shed where there is no resident poultry;
(i)
originate from hatching eggs satisfying the conditions set out in (a);
(ii)
be placed in a poultry house or shed where there is no resident poultry;
(d)
live poultry or other captive birds shall:(i)have been vaccinated against avian influenza, if provided for in the vaccination programme;(ii)have been examined, with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry house or shed where there is no resident poultry;
(i)
have been vaccinated against avian influenza, if provided for in the vaccination programme;
(ii)
have been examined, with favourable results, in accordance with the diagnostic manual;
(iii)
be placed in a poultry house or shed where there is no resident poultry;
(e)
poultry for slaughter shall:(i)be examined with favourable results before loading in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter.
(i)
be examined with favourable results before loading in accordance with the diagnostic manual;
(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(a)
hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;
(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;
(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;
(iii)
be transported directly to the hatchery of destination;
(iv)
be traceable within the hatchery;

(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;

(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;

(iii)
be transported directly to the hatchery of destination;

(iv)
be traceable within the hatchery;

(b)
eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c)
day-old chicks shall:(i)originate from hatching eggs satisfying the conditions set out in (a);(ii)be placed in a poultry house or shed where there is no resident poultry;
(i)
originate from hatching eggs satisfying the conditions set out in (a);
(ii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
originate from hatching eggs satisfying the conditions set out in (a);

(ii)
be placed in a poultry house or shed where there is no resident poultry;

(d)
live poultry or other captive birds shall:(i)have been vaccinated against avian influenza, if provided for in the vaccination programme;(ii)have been examined, with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry house or shed where there is no resident poultry;
(i)
have been vaccinated against avian influenza, if provided for in the vaccination programme;
(ii)
have been examined, with favourable results, in accordance with the diagnostic manual;
(iii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
have been vaccinated against avian influenza, if provided for in the vaccination programme;

(ii)
have been examined, with favourable results, in accordance with the diagnostic manual;

(iii)
be placed in a poultry house or shed where there is no resident poultry;

(e)
poultry for slaughter shall:(i)be examined with favourable results before loading in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter.
(i)
be examined with favourable results before loading in accordance with the diagnostic manual;
(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(i)
be examined with favourable results before loading in accordance with the diagnostic manual;

(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(a)
hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;
(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;
(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;
(iii)
be transported directly to the hatchery of destination;
(iv)
be traceable within the hatchery;

(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;

(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;

(iii)
be transported directly to the hatchery of destination;

(iv)
be traceable within the hatchery;

(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;

(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;

(iii)
be transported directly to the hatchery of destination;

(iv)
be traceable within the hatchery;

(b)
eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c)
day-old chicks shall:(i)originate from hatching eggs satisfying the conditions set out in (a);(ii)be placed in a poultry house or shed where there is no resident poultry;
(i)
originate from hatching eggs satisfying the conditions set out in (a);
(ii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
originate from hatching eggs satisfying the conditions set out in (a);

(ii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
originate from hatching eggs satisfying the conditions set out in (a);

(ii)
be placed in a poultry house or shed where there is no resident poultry;

(d)
live poultry or other captive birds shall:(i)have been vaccinated against avian influenza, if provided for in the vaccination programme;(ii)have been examined, with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry house or shed where there is no resident poultry;
(i)
have been vaccinated against avian influenza, if provided for in the vaccination programme;
(ii)
have been examined, with favourable results, in accordance with the diagnostic manual;
(iii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
have been vaccinated against avian influenza, if provided for in the vaccination programme;

(ii)
have been examined, with favourable results, in accordance with the diagnostic manual;

(iii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
have been vaccinated against avian influenza, if provided for in the vaccination programme;

(ii)
have been examined, with favourable results, in accordance with the diagnostic manual;

(iii)
be placed in a poultry house or shed where there is no resident poultry;

(e)
poultry for slaughter shall:(i)be examined with favourable results before loading in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter.
(i)
be examined with favourable results before loading in accordance with the diagnostic manual;
(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(i)
be examined with favourable results before loading in accordance with the diagnostic manual;

(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(i)
be examined with favourable results before loading in accordance with the diagnostic manual;

(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

4.
The following provisions shall apply to the movements of live poultry or other captive birds and eggs from holdings outside the vaccination area to holdings within the vaccination area:(a)hatching eggs shall:(i)be transported directly to the hatchery of destination;(ii)be traceable within the hatchery;(b)eggs shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;(c)day-old chicks shall be placed in a poultry house or shed where there is no resident poultry;(d)live poultry or other captive birds shall:(i)be placed in a poultry house or shed where there is no resident poultry;(ii)be vaccinated at the farm of destination, if provided for in the vaccination programme;(e)poultry for slaughter shall be sent directly to a designated slaughterhouse for immediate slaughter.
(a)
hatching eggs shall:(i)be transported directly to the hatchery of destination;(ii)be traceable within the hatchery;
(i)
be transported directly to the hatchery of destination;
(ii)
be traceable within the hatchery;
(b)
eggs shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(c)
day-old chicks shall be placed in a poultry house or shed where there is no resident poultry;
(d)
live poultry or other captive birds shall:(i)be placed in a poultry house or shed where there is no resident poultry;(ii)be vaccinated at the farm of destination, if provided for in the vaccination programme;
(i)
be placed in a poultry house or shed where there is no resident poultry;
(ii)
be vaccinated at the farm of destination, if provided for in the vaccination programme;
(e)
poultry for slaughter shall be sent directly to a designated slaughterhouse for immediate slaughter.

(a)
hatching eggs shall:(i)be transported directly to the hatchery of destination;(ii)be traceable within the hatchery;
(i)
be transported directly to the hatchery of destination;
(ii)
be traceable within the hatchery;

(i)
be transported directly to the hatchery of destination;

(ii)
be traceable within the hatchery;

(b)
eggs shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c)
day-old chicks shall be placed in a poultry house or shed where there is no resident poultry;

(d)
live poultry or other captive birds shall:(i)be placed in a poultry house or shed where there is no resident poultry;(ii)be vaccinated at the farm of destination, if provided for in the vaccination programme;
(i)
be placed in a poultry house or shed where there is no resident poultry;
(ii)
be vaccinated at the farm of destination, if provided for in the vaccination programme;

(i)
be placed in a poultry house or shed where there is no resident poultry;

(ii)
be vaccinated at the farm of destination, if provided for in the vaccination programme;

(e)
poultry for slaughter shall be sent directly to a designated slaughterhouse for immediate slaughter.

(a)
hatching eggs shall:(i)be transported directly to the hatchery of destination;(ii)be traceable within the hatchery;
(i)
be transported directly to the hatchery of destination;
(ii)
be traceable within the hatchery;

(i)
be transported directly to the hatchery of destination;

(ii)
be traceable within the hatchery;

(i)
be transported directly to the hatchery of destination;

(ii)
be traceable within the hatchery;

(b)
eggs shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c)
day-old chicks shall be placed in a poultry house or shed where there is no resident poultry;

(d)
live poultry or other captive birds shall:(i)be placed in a poultry house or shed where there is no resident poultry;(ii)be vaccinated at the farm of destination, if provided for in the vaccination programme;
(i)
be placed in a poultry house or shed where there is no resident poultry;
(ii)
be vaccinated at the farm of destination, if provided for in the vaccination programme;

(i)
be placed in a poultry house or shed where there is no resident poultry;

(ii)
be vaccinated at the farm of destination, if provided for in the vaccination programme;

(i)
be placed in a poultry house or shed where there is no resident poultry;

(ii)
be vaccinated at the farm of destination, if provided for in the vaccination programme;

(e)
poultry for slaughter shall be sent directly to a designated slaughterhouse for immediate slaughter.

5.
The following provisions shall apply to movements of live poultry or other captive birds, and eggs from holdings within the vaccination area to a holding outside the vaccination area:(a)hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;(b)eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the monitoring diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;(c)day-old chicks shall:(i)not have been vaccinated;(ii)originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;(iii)be placed in a poultry house or shed where there is no resident poultry;(d)live poultry or other captive birds shall:(i)not have been vaccinated;(ii)have been examined with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry-house or shed where there is no resident poultry;(e)poultry for slaughter shall:(i)be examined before loading with favourable results, in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter.
(a)
hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;
(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;
(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;
(iii)
be transported directly to the hatchery of destination;
(iv)
be traceable within the hatchery;
(b)
eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the monitoring diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(c)
day-old chicks shall:(i)not have been vaccinated;(ii)originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;(iii)be placed in a poultry house or shed where there is no resident poultry;
(i)
not have been vaccinated;
(ii)
originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;
(iii)
be placed in a poultry house or shed where there is no resident poultry;
(d)
live poultry or other captive birds shall:(i)not have been vaccinated;(ii)have been examined with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry-house or shed where there is no resident poultry;
(i)
not have been vaccinated;
(ii)
have been examined with favourable results, in accordance with the diagnostic manual;
(iii)
be placed in a poultry-house or shed where there is no resident poultry;
(e)
poultry for slaughter shall:(i)be examined before loading with favourable results, in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter.
(i)
be examined before loading with favourable results, in accordance with the diagnostic manual;
(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(a)
hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;
(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;
(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;
(iii)
be transported directly to the hatchery of destination;
(iv)
be traceable within the hatchery;

(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;

(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;

(iii)
be transported directly to the hatchery of destination;

(iv)
be traceable within the hatchery;

(b)
eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the monitoring diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c)
day-old chicks shall:(i)not have been vaccinated;(ii)originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;(iii)be placed in a poultry house or shed where there is no resident poultry;
(i)
not have been vaccinated;
(ii)
originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;
(iii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
not have been vaccinated;

(ii)
originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;

(iii)
be placed in a poultry house or shed where there is no resident poultry;

(d)
live poultry or other captive birds shall:(i)not have been vaccinated;(ii)have been examined with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry-house or shed where there is no resident poultry;
(i)
not have been vaccinated;
(ii)
have been examined with favourable results, in accordance with the diagnostic manual;
(iii)
be placed in a poultry-house or shed where there is no resident poultry;

(i)
not have been vaccinated;

(ii)
have been examined with favourable results, in accordance with the diagnostic manual;

(iii)
be placed in a poultry-house or shed where there is no resident poultry;

(e)
poultry for slaughter shall:(i)be examined before loading with favourable results, in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter.
(i)
be examined before loading with favourable results, in accordance with the diagnostic manual;
(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(i)
be examined before loading with favourable results, in accordance with the diagnostic manual;

(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(a)
hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;
(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;
(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;
(iii)
be transported directly to the hatchery of destination;
(iv)
be traceable within the hatchery;

(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;

(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;

(iii)
be transported directly to the hatchery of destination;

(iv)
be traceable within the hatchery;

(i)
originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;

(ii)
have been disinfected before dispatch in accordance with a method approved by the competent authority;

(iii)
be transported directly to the hatchery of destination;

(iv)
be traceable within the hatchery;

(b)
eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the monitoring diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;
(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or
(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i)
a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii)
an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c)
day-old chicks shall:(i)not have been vaccinated;(ii)originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;(iii)be placed in a poultry house or shed where there is no resident poultry;
(i)
not have been vaccinated;
(ii)
originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;
(iii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
not have been vaccinated;

(ii)
originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;

(iii)
be placed in a poultry house or shed where there is no resident poultry;

(i)
not have been vaccinated;

(ii)
originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;

(iii)
be placed in a poultry house or shed where there is no resident poultry;

(d)
live poultry or other captive birds shall:(i)not have been vaccinated;(ii)have been examined with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry-house or shed where there is no resident poultry;
(i)
not have been vaccinated;
(ii)
have been examined with favourable results, in accordance with the diagnostic manual;
(iii)
be placed in a poultry-house or shed where there is no resident poultry;

(i)
not have been vaccinated;

(ii)
have been examined with favourable results, in accordance with the diagnostic manual;

(iii)
be placed in a poultry-house or shed where there is no resident poultry;

(i)
not have been vaccinated;

(ii)
have been examined with favourable results, in accordance with the diagnostic manual;

(iii)
be placed in a poultry-house or shed where there is no resident poultry;

(e)
poultry for slaughter shall:(i)be examined before loading with favourable results, in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter.
(i)
be examined before loading with favourable results, in accordance with the diagnostic manual;
(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(i)
be examined before loading with favourable results, in accordance with the diagnostic manual;

(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

(i)
be examined before loading with favourable results, in accordance with the diagnostic manual;

(ii)
be sent directly to a designated slaughterhouse for immediate slaughter.

6.
For meat obtained from poultry kept within the vaccination area the following provisions shall apply:(a)for meat obtained from vaccinated poultry, the poultry shall:(i)have been vaccinated with a vaccine that complies with a DIVA strategy;(ii)have been inspected and tested with negative results in accordance with the diagnostic manual;(iii)have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;(iv)have been sent directly to a designated slaughterhouse for immediate slaughter;(b)for any meat obtained from non-vaccinated poultry being sent for slaughter, the poultry shall undergo monitoring in accordance with the diagnostic manual.
(a)
for meat obtained from vaccinated poultry, the poultry shall:(i)have been vaccinated with a vaccine that complies with a DIVA strategy;(ii)have been inspected and tested with negative results in accordance with the diagnostic manual;(iii)have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;(iv)have been sent directly to a designated slaughterhouse for immediate slaughter;
(i)
have been vaccinated with a vaccine that complies with a DIVA strategy;
(ii)
have been inspected and tested with negative results in accordance with the diagnostic manual;
(iii)
have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;
(iv)
have been sent directly to a designated slaughterhouse for immediate slaughter;
(b)
for any meat obtained from non-vaccinated poultry being sent for slaughter, the poultry shall undergo monitoring in accordance with the diagnostic manual.

(a)
for meat obtained from vaccinated poultry, the poultry shall:(i)have been vaccinated with a vaccine that complies with a DIVA strategy;(ii)have been inspected and tested with negative results in accordance with the diagnostic manual;(iii)have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;(iv)have been sent directly to a designated slaughterhouse for immediate slaughter;
(i)
have been vaccinated with a vaccine that complies with a DIVA strategy;
(ii)
have been inspected and tested with negative results in accordance with the diagnostic manual;
(iii)
have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;
(iv)
have been sent directly to a designated slaughterhouse for immediate slaughter;

(i)
have been vaccinated with a vaccine that complies with a DIVA strategy;

(ii)
have been inspected and tested with negative results in accordance with the diagnostic manual;

(iii)
have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;

(iv)
have been sent directly to a designated slaughterhouse for immediate slaughter;

(b)
for any meat obtained from non-vaccinated poultry being sent for slaughter, the poultry shall undergo monitoring in accordance with the diagnostic manual.

(a)
for meat obtained from vaccinated poultry, the poultry shall:(i)have been vaccinated with a vaccine that complies with a DIVA strategy;(ii)have been inspected and tested with negative results in accordance with the diagnostic manual;(iii)have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;(iv)have been sent directly to a designated slaughterhouse for immediate slaughter;
(i)
have been vaccinated with a vaccine that complies with a DIVA strategy;
(ii)
have been inspected and tested with negative results in accordance with the diagnostic manual;
(iii)
have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;
(iv)
have been sent directly to a designated slaughterhouse for immediate slaughter;

(i)
have been vaccinated with a vaccine that complies with a DIVA strategy;

(ii)
have been inspected and tested with negative results in accordance with the diagnostic manual;

(iii)
have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;

(iv)
have been sent directly to a designated slaughterhouse for immediate slaughter;

(i)
have been vaccinated with a vaccine that complies with a DIVA strategy;

(ii)
have been inspected and tested with negative results in accordance with the diagnostic manual;

(iii)
have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;

(iv)
have been sent directly to a designated slaughterhouse for immediate slaughter;

(b)
for any meat obtained from non-vaccinated poultry being sent for slaughter, the poultry shall undergo monitoring in accordance with the diagnostic manual.

7.
The competent authority may authorise the movement of carcases or eggs for disposal from holdings.

8.
No further restrictions shall apply to movements of eggs packed and meat from poultry slaughtered in accordance with this Annex.

9.
The movement of poultry (including day-old chicks) or other captive birds from the territory of the Member State is prohibited from the start of the emergency vaccination campaign until the emergency plan is approved under Article 54 and without prejudice to any further Community measures, unless it is authorised by the competent authority of the receiving Member State.

1.
The establishment of a crisis centre on a national level, which shall coordinate all control measures in the Member State.

2.
A list shall be provided of local disease control centres with adequate facilities to coordinate disease control measures at local level.

3.
Detailed information shall be given about the staff involved in control measures, their skills, their responsibilities and the instructions for staff, taking account of the need for personal protection and the potential risk to human health posed by avian influenza.

4.
Each local disease control centre must be able to contact rapidly persons and organisations directly or indirectly involved in an outbreak.

5.
Equipment and materials shall be available to carry out effectively the disease control measures.

6.
Detailed instructions shall be provided on action to be taken on suspicion and confirmation of infection or contamination, including proposed means of disposal of carcases.

7.
Training programmes shall be established to maintain and develop skills in field and administrative procedures.

8.
Diagnostic laboratories must have facilities for post-mortem examination, the necessary capacity for serology, histology etc. and must maintain the skills for rapid diagnosis. Arrangements must be made for rapid transportation of samples. The contingency plan shall also outline the testing capacity for the laboratory and the resources available to deal with an outbreak of disease.

9.
A vaccination plan dealing with a number of scenarios shall be produced which shall give an indication of which populations of poultry or other captive birds may be vaccinated, an estimate of the amount of vaccine required and its availability.

10.
Provision shall be made for the availability of data on registration of commercial poultry holdings on their territory, without prejudice to other relevant provisions established by Community legislation in this field.

11.
Provision shall be made for the recognition of officially registered rare breeds of poultry or other captive birds.

12.
Provision shall be made for the identification of areas with a high density of poultry.

13.
Provision shall be made to ensure the legal powers necessary for the implementation of the contingency plans.

This Directive
Directive 92/40/EEC

Article 1(1)(a), (c)
—

Article 1(1)(b)
Article 1, first subparagraph

Article 1(2)
—

Article 2 point (1)
Annex III

Article 2 point (2)
Annex III, third subparagraph

Article 2 point (3)

Article 2 points (4), to (15), (17), (20), (21) and (22) to (32)
—

Article 2, point (16)
Article 2(b)

Article 2, point (18)
Article 2(d)

Article 2, point (19)
Article 2(e)

Article 3
—

Article 4
—

Article 5(1)
Article 3

Article 5(2)
—

Article 5(3)
—

Article 6(1)
Article 4(2)(g)

Article 6(2)
Article 7(1)

Article 6(3) and (4)
—

Article 7(1)
Article 4(1)

Article 7(2)(a) and (b)
Article 4(2)(a)

Article 7(2)(c)
Article 4(2)(b)

Article 7(2)(d)
Article 4(2)(c)

Article 7(2)(e) and (g)
Article 4(2)(d)

Article 7(2)(f)
Article 4(2)(e)

Article 7(2)(h)
Article 4(2)(f)

Article 7(3)
Article 4(2)(g)

Article 7(4)
—

Article 8
—

Article 9
Article 4(5)

Article 10
—

Article 11(1)
Article 5(1), introductory wording

Article 11(2), first subparagraph
Article 5(1)(a)

Article 11(2), second and third subparagraphs
—

Article 11(3)
Article 5(1)(a)

Article 11(4)
Article 5(1)(d)

Article 11(5)
Article 5(1)(c) and (d)

Article 11(6) and (7)
Article 5(1)(b)

Article 11(8)
Article 5(1)(e)

Article 11(9)
—

Article 11(10)
Annex III Chapter 3(3)

Article 12
—

Article 13
—

Article 14
Article 6

Article 15
Article 8

Article 16(1)
Article 9(1)

Article 16(2), (3) and (4)
—

Article 16(5)
Article 9(6)

Article 17(1)
Article 10

Article 17(2)
Article 13

Article 17(3), (4)
—

Article 18(a)
Article 9(2)(a)

Article 18(b)
Article 9(2)(b)

Article 18(c)
—

Article 19(a)
Article 9(2)(c)

Article 19(b), (c) and (d)
—

Article 19(e) first sentence
Article 9(2)(f), introductory wording

Article 19(e) second sentence, (f), (g) and (h)
—

Article 20
Article 9(2)(g)

Article 21
Article 9(2)(h)

Article 22(1) and (3)
Article 9(2)(e)

Article 22(2)
—

Article 23(1)
Article 9(2)(f)(i)

Article 23(2)
—

Article 24(1)
Article 9(2)(f)(ii)

Article 24(2)
—

Article 25
—

Article 26(1)
Article 9(2)(f)(iii)

Article 26(2)
—

Article 27
Article 9(2)(e)

Article 28
—

Article 29
Article 9(3)

Article 30(a)
Article 9(4)(a)

Article 30(b), (c)
Article 9(4)(b), (c) and (d)

Article 30(d), (e), (g) and (j)
—

Article 30(f)
Article 9(4)(b)

Article 30(h)
Article 9(4)(e)

Article 30(i)
Article 9(4)(f)

Article 31
Article 9(5)

Article 32
—

Article 33
—

Article 34
—

Article 35
—

Article 36
—

Article 37
—

Article 38
—

Article 39
—

Article 40
—

Article 41
—

Article 42
—

Article 43
—

Article 44
—

Article 45
—

Article 46
—

Article 47
—

Article 48
Article 11

Article 49
Article 5(1)(f)

Article 50
—

Article 51(1)
Annex V

Article 51(2) and (3)
Article 14

Article 51(4)
—

Article 52
—

Article 53(1)
Article 16 introductory wording

Article 53(2)
Article 16, first subparagraph

Article 53(3)
Article 16(b)

Article 54
Article 16(b)

Article 55
Article 16(a), second subparagraph

Article 56
—

Article 57
—

Article 58
—

Article 59
—

Article 60
Article 18

Article 61
—

Article 62
Article 17

Article 63(1) and (3)
—

Article 63(2)
Article 20

Article 64
Article 21

Article 65
—

Article 66
—

Article 67
Article 22

Article 68
—

Article 69
Article 23

Annex I(1)
Annex III

Annex I(2)
Annex III, third subparagraph

Annex I(3)
—

Annex II
—

Annex III
Annex I

Annex IV
—

Annex V
—

Annex VI
Annex II

Annex VII
Annex V

Annex VIII
—

Annex IX
—

Annex X
Annex VI

Annex XI
—

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 37 thereof,

Having regard to the proposal from the Commission,

Having regard to the Opinion of the European Parliament(1),

Having regard to the Opinion of the European Economic and Social Committee(2),

After consulting the Committee of the Regions,

(1) Avian influenza is a serious, highly contagious disease of poultry and other captive birds caused by different types of influenza viruses. Those viruses may also spread to mammals, in particular pigs, and humans.

(2) Since poultry is covered by live animals listed in Annex I to the Treaty, one of the Community’s tasks in the veterinary field is to improve the health status of poultry, thereby facilitating trade in poultry and poultry products and ensuring the development of this sector. Furthermore, a high level of human health protection is to be ensured when defining and implementing Community policies and activities.

(3) Influenza viruses include a large number of different virus strains. The level of risks posed by the different strains of influenza viruses for animal and public health is very variable and to some extent unpredictable, due to rapid virus mutation and possible re-assortment of the genetic material between different strains.

(4) The infection with certain strains of influenza viruses of avian origin may trigger outbreaks in domestic birds of epizootic proportions, causing mortality and disturbances of poultry on a scale, which can threaten in particular the profitability of poultry farming as a whole.

(5) Community measures for the control of avian influenza were established by Council Directive 92/40/EEC of 19 May 1992 introducing Community measures for the control of avian influenza(3), in order to ensure the protection of animal health and contribute to the development of the poultry sector.

(6) The measures laid down in Directive 92/40/EEC should be fundamentally reviewed in the light of recent scientific knowledge on the risks of avian influenza for animal and public health, development of new laboratory tests and vaccines and the lessons learnt during recent outbreaks of this disease in the Community as well as in third countries.

(7) The new Community measures should also take account of the most recent opinions delivered by the Scientific Committee on Animal Health and Animal Welfare and by the European Food Safety Authority (EFSA) and the changes in the Terrestrial Animal Health Code and the Manual of Diagnostic Tests and Vaccines for Terrestrial Animals of the International Office of Epizootics (O.I.E.) on avian influenza.

(8) Certain influenza viruses of avian origin may in some circumstances affect humans and may then pose a serious risk to public health. The provisions of this Directive, which aim at fighting the disease in farmed animals, could indirectly contribute to preventing public health problems. However, it is, at this stage, chiefly for the Member States to tackle such problems.

(9) At Community level, the human health risks posed by influenza viruses are primarily dealt with by other actions and legal acts. These concern in particular the European Centre for Disease Prevention and Control (hereinafter referred to as ‘ECDC’), established by Regulation (EC) No 851/2004 of the European Parliament and of the Council(4), the recommendations issued by the Commission on Community Influenza pandemic preparedness and response planning, the European Union Early Warning and Response System and the establishment of the European Influenza Surveillance Scheme.

(10) It is appropriate, however, for the Commission to assess together with ECDC whether further public health or workers’ health and safety measures, complementing the animal health provisions of this Directive are needed at Community level to address the risks posed by certain influenza viruses of avian origin to humans and in particular for workers in contact with infected animals and to present any necessary legislative proposals.

(11) Current knowledge indicates that the health risks posed by the so-called low pathogenic avian influenza viruses are inferior to the risks posed by highly pathogenic avian influenza viruses, which originate from a mutation of certain low pathogenic viruses.

(12) Community legislation for the control of avian influenza should enable Member States to adopt disease control measures in a proportionate and flexible manner, taking into account the various levels of risk posed by different virus strains, the likely social and economic impact of the measures in question on the agriculture sector and other sectors involved while at the same time ensuring that the measures taken for each specific disease scenario are the most appropriate.

(13) In view of the potential of low pathogenic avian influenza viruses to mutate into highly pathogenic avian influenza viruses, provision should be made for the early detection of infection in poultry aimed at a quick reaction and the adoption of appropriate and proportionate control and eradication measures which should include a system of active surveillance to be carried out by Member States. Such surveillance should follow general guidelines to be adapted in the light of further knowledge and developments in this field.

(14) Any suspicion of avian influenza infection which may arise from clinical or laboratory investigations or any other reason that leads to the suspicion of the presence of infection should set in motion immediate official investigations so that prompt and effective action can be taken, as appropriate. Such action should be reinforced as soon as the presence of infection is confirmed to include depopulation of the holdings infected and of those which are at risk of infection.

(15) In the case of detection of infection with low pathogenic avian influenza virus, control measures may differ from those which should apply in the case of detection of highly pathogenic avian influenza virus, taking into account the different levels of risk posed by these two conditions.

(16) Disease control measures and in particular the establishment of restriction zones should also be modulated taking into account the density of the poultry population as well as other risk factors in the area in which the infection has been detected.

(17) If an outbreak occurs, it is also necessary to prevent any further spread of infection by carefully monitoring and restricting movements of poultry and the use of products liable to be contaminated, by tightening biosecurity measures at all levels of poultry production, by cleansing and disinfecting the infected holding, by establishing protection and surveillance zones around the outbreak and, if necessary, by vaccination.

(18) Community measures for the control of highly pathogenic avian influenza should be based first on the depopulation of the infected flocks, in accordance with Community legislation on animal welfare.

(19) Council Directive 93/119/EC of 22 December 1993 on the protection of animals at the time of slaughter or killing(5)sets out the minimum standards for the protection of animals at the time of slaughter or killing including for the purpose of disease control. Such rules apply fully to slaughter or killing pursuant to this Directive.

(20) Vaccination against avian influenza can be an effective tool to supplement disease control measures and to avoid massive killing and destruction of poultry or other captive birds. Current knowledge suggests that vaccination may be useful not only as a short-term measure in emergencies but also as a long-term measure to prevent disease in situations of higher risk of introduction of avian influenza viruses from wild life or other sources. Provisions should therefore be established for both emergency and preventive vaccination.

(21) Vaccinated poultry, although protected against the clinical signs of disease, may become infected and thus contribute to the further spread of the infection. Vaccination must therefore be accompanied by appropriate surveillance and restriction measures established at Community level. Therefore, the vaccination strategy should allow differentiation between infected and vaccinated animals. Products of vaccinated poultry, such as meat and table eggs, should be then placed on the market in accordance with the relevant Community legislation, including this Directive.

(22) It should also be made possible for the Community and the Member States to establish reserves of vaccine against avian influenza to be used in poultry or other captive birds in the case of an emergency.

(23) Provisions should be adopted to ensure that harmonised procedures and methods are used for the diagnosis of avian influenza, including the functioning of a Community reference laboratory as well as reference laboratories in Member States.

(24) Provisions should be adopted to ensure the necessary level of preparation by Member States effectively to tackle emergency situations caused by one or more outbreaks of avian influenza, in particular by drawing up contingency plans and setting up control centres.

(25) If avian influenza is detected during importation in a quarantine facility or centre, as provided for in Commission Decision 2000/666/EC of 16 October 2000 laying down the animal health requirements and the veterinary certification for the import of birds, other than poultry and the conditions for quarantine(6), this should be reported to the Commission. However, reporting as provided for by Council Directive 82/894/EEC of 21 December 1982 on the notification of animal diseases within the Community(7), in cases of outbreaks in Member States would not be appropriate.

(26) Cleansing and disinfection should be an integral part of the Community control policy for avian influenza. Disinfectants should be used in compliance with Directive 98/8/EC of the European Parliament and of the Council of 16 February 1998 concerning the placing of biocidal products on the market(8).

(27) Regulation (EC) No 1774/2002 of the European Parliament and of the Council of 3 October 2002 laying down health rules concerning animal by-products not intended for human consumption(9)lays down the rules on the collection, transport, storage, handling, processing and use or disposal of animal by-products including animals killed to eradicate epizootic diseases, to prevent them from presenting a risk to animal and public health. That Regulation and its implementing measures provide for a general framework for the disposal of dead animals. Provision should be made for the adoption, by the committee procedure, of specific, additional or different measures where necessary to enhance further avian influenza control measures.

(28) Regulation (EC) No 853/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific hygiene rules for food of animal origin(10)and Regulation (EC) No 852/2004 of the European Parliament and of the Council of 29 April 2004 on the hygiene of foodstuffs(11)may be applied under certain conditions to eggs originating from holdings where poultry suspected of being infected with avian influenza is kept.

(29) Member States should lay down rules on penalties applicable to infringements of the provisions of this Directive and ensure that they are implemented. Those penalties should be effective, proportionate and dissuasive.

(30) Provision should be made for the possibility for amendments to be made to the Annexes to this Directive when necessary without delay in order to take account of developments in scientific and technical knowledge.

(31) Taking into account the unpredictability of influenza viruses, it is appropriate to ensure that a swift procedure is also in place for a rapid adoption at Community level of additional or more specific measures to control any infection of poultry and other animal species whenever such measures are necessary.

(32) This Directive should set out the minimum control measures to be applied in the event of an outbreak of avian influenza in poultry or other captive birds. However, Member States are free to take more stringent administrative and sanitary action in the field covered by this Directive. In addition, this Directive should provide for Member States’ authorities to apply measures proportionate to the health risk posed by different disease situations.

(33) In accordance with the principle of proportionality, it is necessary and appropriate for the achievement of the basic objectives of ensuring the development of the poultry sector and contributing to the protection of animal health, to lay down rules on specific measures and minimum measures aimed at the prevention and control of avian influenza. This Directive does not go beyond what is necessary in order to achieve the objectives pursued, in accordance with the third paragraph of Article 5 of the Treaty.

(34) The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(12).

(35) In the interests of clarity and rationality of Community legislation, Directive 92/40/EEC should be repealed and replaced by this Directive.

(36) The Council, in accordance with point 34 of the Inter-Institutional Agreement on better law making(13), encourages Member States to draw up, for themselves and in the interest of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures and to make them public,

HAS ADOPTED THIS DIRECTIVE:
Subject matter and scope

Article 1

1.   This Directive sets out:

(a)

certain preventive measures relating to the surveillance and the early detection of avian influenza and increasing the level of the competent authorities’ and the farming community’s awareness of, and preparation for, the risks of that disease;

(b)

the minimum control measures to be applied in the event of an outbreak of avian influenza in poultry or other captive birds and the early detection of possible spread of avian influenza viruses to mammals;

(c)

other subsidiary measures to avoid the spread of influenza viruses of avian origin to other species.

2.   Member States shall remain free to take more stringent measures in the field covered by this Directive.
Definitions

Article 2

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

1.

‘avian influenza’ means any of the influenza infections so described in Annex I(1);

2.

‘highly pathogenic avian influenza (HPAI)’ means any of the avian influenza infections so described in Annex I(2);

3.

‘low pathogenic avian influenza (LPAI)’ means any of the avian influenza infections so described in Annex I(3);

4.

‘poultry’ means all birds that are reared or kept in captivity for the production of meat or eggs for consumption, the production of other products, for restocking supplies of game birds or for the purposes of any breeding programme for the production of these categories of birds;

5.

‘wild bird’ means a free-living bird which is not kept on any holding as defined in point 8;

6.

‘other captive bird’ means any bird other than poultry that is kept in captivity for any reason other than those referred to in point 4 including those that are kept for shows, races, exhibitions, competitions, breeding or selling;

7.

‘officially registered rare breeds of poultry or other captive birds’ means any poultry or other captive birds that the competent authority has officially recognised as a rare breed within their contingency plan provided for in Article 62;

8.

‘holding’ means any agricultural or other premises, including hatcheries, circuses, zoos, pet bird shops, bird markets, and aviaries, where poultry or other captive birds are being bred or kept . However, this definition does not include slaughterhouses, means of transport, quarantine facilities and centres, border inspection posts and laboratories authorised by the competent authority to hold avian influenza virus;

9.

‘commercial poultry holding’ means a holding where poultry are kept for commercial purposes;

10.

‘non-commercial holding’ means a holding where poultry or other captive birds are kept by their owners:

(a)

for their own consumption or use; or

(b)

as pets;

11.

‘poultry compartment’ or ‘other captive birds compartment’ means a holding or holdings under a common biosecurity management system containing a poultry or other captive birds sub-population with a distinct health status with respect to avian influenza subjected to appropriate surveillance, control and biosecurity measures;

12.

‘flock’ means all poultry or other captive birds within a single production unit;

13.

‘production unit’ means a unit on a holding which the official veterinarian is satisfied is completely independent of any other unit in the same holding in terms of its location and day-to-day management of the poultry or other captive birds kept there;

14.

‘day-old chicks’ means all poultry less than 72 hours old, not yet fed, and muscovy ducks (Cairina moschata) or their crosses, less than 72 hours old, whether or not fed;

15.

‘diagnostic manual’ means the diagnostic manual provided for in Article 50(1);

16.

‘poultry or other captive birds suspected of being infected’ means any poultry or other captive birds exhibiting clinical signs or showing post-mortem lesions or reactions to laboratory tests which are such that the presence of avian influenza cannot be excluded;

17.

‘owner’ means any person or persons, either natural or legal having ownership of poultry or other captive birds, or charged with keeping such, whether or not for commercial purposes;

18.

‘competent authority’ means the authority of a Member State competent to carry out physical checks or administrative formalities in accordance with this Directive or any authority to which such competencies are delegated;

19.

‘official veterinarian’ means the veterinarian designated by the competent authority;

20.

‘official surveillance’ means the action of careful monitoring by the competent authority of the health status of poultry or other captive birds or mammals on a holding in relation to avian influenza;

21.

‘official supervision’ means the actions taken by the competent authority to verify that the requirements of this Directive and of any instructions from that authority as to how those requirements should be met are being, or have been, complied with;

22.

‘killing’ means any process other than slaughter causing the death of a mammal, poultry or other captive birds;

23.

‘slaughter’ means any process causing the death of a mammal or poultry by bleeding, for the purpose of human consumption;

24.

‘disposing of’ means the act of collecting, transporting, storing, handling, processing and using or disposing of animal by-products in accordance with:

(a)

Regulation (EC) No 1774/2002; or

(b)

rules to be adopted under the procedure referred to in Article 64(2);

25.

‘Community vaccine bank’ means appropriate premises designated in accordance with Article 58(1) for the storage of Community reserves of avian influenza vaccines;

26.

‘contact holding’ means a holding where avian influenza could have come from or have been introduced to as a result of its location, the movement of persons, poultry or other captive birds, vehicles or in any other way;

27.

‘suspected outbreak’ means a holding where the competent authority suspects the presence of avian influenza;

28.

‘outbreak’ means a holding where avian influenza has been confirmed by the competent authority;

29.

‘primary outbreak’ means an outbreak not epidemiologically linked with a previous outbreak in the same region of a Member State as defined in Article 2(2), point (p), of Council Directive 64/432/EEC of 26 June 1964 on animal health problems affecting intra-Community trade in bovine animals and swine(14)or the first outbreak in a different region of the same Member State;

30.

‘Differentiating Infected from Vaccinated Animal (DIVA) strategy’ means a vaccination strategy which enables a differentiation to be made between vaccinated/infected and vaccinated/non-infected animals through the application of a diagnostic test designed to detect antibodies against the field virus and the use of non-vaccinated sentinel birds;

31.

‘mammal’ means an animal of the class Mammalia, except humans;

32.

‘carcase’ means poultry or other captive birds which have died or have been killed and are unfit for human consumption, or parts thereof.
Preventive biosecurity measures

Article 3

Specific provisions concerning preventive biosecurity measures may be established in accordance with the procedure referred to in Article 64(2).
Surveillance programmes

Article 4

1.   Member States shall carry out surveillance programmes in order to:

(a)

detect the prevalence of infections with avian influenza virus subtypes H5 and H7 in different species of poultry;

(b)

contribute, on the basis of a regularly updated risk assessment, to the knowledge on the threats posed by wild birds in relation to any influenza virus of avian origin in birds.

2.   The surveillance programmes referred to in paragraph 1(a) shall comply with guidelines to be drawn up by the Commission in accordance with the procedure referred to in Article 64(2).
Notification

Article 5

1.   Member States shall ensure that the suspected presence and presence of avian influenza are compulsorily and immediately notified to the competent authority.

2.   In addition to the requirements provided for in Community legislation on notification of outbreaks of animal diseases, Member States shall notify the Commission in accordance with Annex II of any avian influenza confirmed by the competent authority in slaughterhouses, means of transport, border inspection posts and other places at Community borders and quarantine facilities or centres operating in accordance with Community legislation on imports of poultry or other captive birds.

3.   Member States shall notify the results of any surveillance for avian influenza virus carried out in mammals.
Epidemiological inquiry

Article 6

1.   Member States shall ensure that epidemiological inquiries are started on the basis of questionnaires, established within the framework of the contingency plans provided for in Article 62.

2.   The epidemiological inquiry shall include the following at least:

(a)

the length of time during which avian influenza may have been present on the holding or other premises or means of transport;

(b)

the possible origin of avian influenza;

(c)

the identification of any contact holding;

(d)

the movements of poultry, other captive birds, persons, mammals, vehicles or any material or other means by which the avian influenza virus could have spread.

3.   The competent authority shall take account of the epidemiological inquiry when:

(a)

deciding whether additional disease control measures, as provided for in this Directive need to be applied; and

(b)

granting derogations as provided for in this Directive.

4.   If the epidemiological inquiry suggests that avian influenza may have spread from or to other Member States, the Commission and the other Member States concerned shall be immediately informed of the results of all findings of the inquiry.
Measures to be applied on holdings where outbreaks are suspected

Article 7

1.   In the case of a suspected outbreak, the competent authority shall immediately set in motion an investigation to confirm or exclude the presence of avian influenza in accordance with the diagnostic manual and place the holding under official surveillance. The competent authority shall also ensure that the measures provided for in paragraphs 2 and 3 are complied with.

2.   The competent authority shall ensure that the following measures are applied on the holding:

(a)

poultry, other captive birds and all mammals of domestic species are counted or, if appropriate, their numbers estimated by the type of poultry or species of other captive bird;

(b)

a list is compiled of the approximate number of poultry, other captive birds and all mammals of domestic species already sick, dead or likely to be infected in each category on the holding; that list shall be updated daily to take account of hatchings, births and deaths throughout the period of the suspected outbreak and shall be produced on request to the competent authority;

(c)

all poultry and other captive birds are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(d)

no poultry or other captive birds may enter or leave the holding;

(e)

no carcases of poultry or other captive birds, meat of poultry including offal (‘poultry meat’), poultry feed (‘feed’), utensils, materials, waste, droppings, poultry or other captive birds manure (‘manure’), slurry, used litter or anything likely to transmit avian influenza may leave the holding without an authorisation from the competent authority, observing appropriate biosecurity measures such as to minimise any risk of the spread of avian influenza;

(f)

no eggs may leave the holding;

(g)

the movement of persons, mammals of domestic species, vehicles and equipment to or from the holding is subject to the conditions and authorisation of the competent authority;

(h)

appropriate means of disinfection are used at the entrances and exits of buildings housing poultry or other captive birds and of the holding itself in accordance with the instructions of the competent authority.

3.   The competent authority shall ensure that an epidemiological inquiry is carried out in accordance with Article 6 (‘the epidemiological inquiry’).

4.   Notwithstanding paragraph 1, the competent authority may provide for the submission of samples in other cases. In such circumstances the competent authority may proceed without adopting some or all of the measures referred in paragraph 2.
Derogations from certain measures to be applied on holdings where outbreaks are suspected

Article 8

1.   The competent authority may grant derogations from the measures provided for in Article 7(2) points (c) to (e) on the basis of a risk assessment and taking into account the precautions taken and the destination of the birds and products to be moved.

2.   The competent authority may also grant derogations from the measures provided for in Article 7(2), point (h) in the case of other captive birds kept on non-commercial holdings.

3.   With reference to Article 7(2) point (f), the competent authority may authorise the sending of eggs:

(a)

directly to an establishment for the manufacture of egg products, as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004, to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; where the competent authority issues such an authorisation, the latter shall be subject to the conditions set out in Annex III to this Directive; or

(b)

for disposal.
Duration of the measures to be applied on holdings where outbreaks are suspected

Article 9

The measures to be applied on holdings in cases of suspected outbreaks, as provided for in Article 7, shall continue to be applied until the competent authority is satisfied that the suspicion of avian influenza on the holding has been ruled out.
Additional measures based on an epidemiological inquiry

Article 10

1.   Based on the preliminary results of an epidemiological inquiry, the competent authority may apply the measures provided for in paragraphs 2, 3 and 4 in particular if the holding is located in an area with a high density of poultry.

2.   Temporary restrictions may be introduced on the movements of poultry, other captive birds and eggs and the movement of vehicles used by the poultry sector in a defined area or in the whole of the Member State.

Such restrictions may be extended to movements of mammals of domestic species, but in that case shall not exceed 72 hours, unless justified.

3.   The measures provided for in Article 11 may be applied to the holding.

However, if conditions permit, application of those measures may be limited to the poultry or other captive birds suspected of being infected and their production units.

Samples shall be taken from the poultry or other captive birds if they are killed in order for the risk of a suspected outbreak to be confirmed or excluded, in accordance with the diagnostic manual.

4.   A temporary control zone around the holding may be established and some or all of the measures provided for in Article 7(2) shall be applied as necessary to the holdings within that zone.
Measures to be applied on holdings where outbreaks are confirmed

Article 11

1.   In case of an outbreak of HPAI, the competent authority shall ensure that the measures provided for in Article 7(2) and (3) and paragraphs 2 to 10 of this Article are applied.

2.   All poultry and other captive birds on the holding shall be killed without delay under official supervision. The killing shall be carried out in such a way as to avoid the risk of spread of avian influenza, in particular during transport.

However, Member States may grant derogations for certain species of poultry or other captive birds not to be killed, on the basis of an assessment of the risk of further spread of avian influenza.

The competent authority may take appropriate measures to limit any possible spread of avian influenza to any wild birds on the holding.

3.   All carcases and eggs on the holding shall be disposed of under official supervision.

4.   Poultry already hatched from eggs collected from the holding during the period between the probable date of introduction of HPAI on the holding and the application of the measures provided for in Article 7(2), shall be placed under official supervision and investigations shall be carried out in accordance with the diagnostic manual.

5.   Meat of poultry slaughtered and eggs collected from the holding during the period between the probable date of introduction of HPAI on the holding and the application of the measures provided for in Article 7(2) shall, wherever possible, be traced and disposed of under official supervision.

6.   All substances and waste likely to be contaminated, such as feed, shall be destroyed or undergo a treatment ensuring the destruction of the avian influenza virus, in accordance with the instructions of the official veterinarian.

7.   However, manure, slurry and bedding likely to be contaminated shall undergo one or more of the procedures provided for in Article 48.

8.   Following the disposal of carcases, the buildings used for housing them, pastures or land, the equipment likely to be contaminated and the vehicles used for transporting the poultry or other captive birds, carcases, meat, feed, manure, slurry, bedding and any other material or substance likely to be contaminated shall undergo one or more of the procedures provided for in Article 48.

9.   Other captive birds or mammals of domestic species shall not enter or leave the holding without the authorisation of the competent authority. That restriction shall not apply to mammals of domestic species which have access only to the living areas for humans.

10.   In the case of a primary outbreak, the virus isolate shall be subjected to the laboratory procedure in accordance with the diagnostic manual to identify the genetic subtype.

That virus isolate shall be submitted to the Community reference laboratory, as provided for in Article 51(1) as soon as possible.
Derogations

Article 12

1.   Member States shall draw up detailed rules for granting derogations, as provided for in Articles 11(2), 13 and 14, including alternative appropriate measures and conditions. Such derogations shall be based on a risk assessment carried out by the competent authority.

2.   Member States shall immediately notify the Commission of any derogation granted in accordance with Article 13(1) and Article 14.

3.   Where a derogation has been granted, as provided for in Article 13(1) and Article 14, the Commission shall immediately review the situation with the Member State concerned and in the Standing Committee on the Food Chain and Animal Health (‘the Committee’) as soon as possible.

4.   Taking account of any derogation granted, as provided for in Article 13(1) and Article 14, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Derogations concerning certain holdings

Article 13

1.   The competent authority may grant derogations from the measures provided for in the first subparagraph of Article 11(2) in cases of an outbreak of HPAI in a non-commercial holding, a circus, a zoo, a pet bird shop, a wild life park, a fenced area where poultry or other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of poultry or other captive birds, provided that such derogations do not endanger disease control.

2.   The competent authority shall ensure that where a derogation is granted, as provided for in paragraph 1, the poultry and other captive birds concerned by the derogation:

(a)

are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)

are subjected to further surveillance and testing in accordance with the diagnostic manual and are not moved until the laboratory tests have indicated that they no longer pose a significant risk of further spread of HPAI; and

(c)

are not moved from their holding of origin, except for slaughter or to another holding:

(i)

located in the same Member State, in accordance with the instructions of the competent authority; or

(ii)

in another Member State, subject to the agreement of the Member State of destination.

3.   The competent authority may grant derogations from the measures provided for in Article 11(5), for eggs to be sent directly to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004.

Any such authorisations shall be subject to the conditions set out in Annex III to this Directive.
Measures to be applied in cases of outbreaks of HPAI in separate production units

Article 14

In cases of an outbreak of HPAI in a holding which consists of two or more separate production units, the competent authority may grant derogations from the measures provided for in the first subparagraph of Article 11(2) for production units containing poultry or other captive birds where no HPAI is suspected, provided that such derogations do not endanger disease control.

Such derogations shall only be granted in respect of two or more separate production units where the official veterinarian, taking account of the structure, size, operation, type of housing, feeding, water source, equipment, staff and visitors to the holding, is satisfied that they are completely independent of other production units in terms of location and day-to-day management of the poultry or other captive birds kept there.
Measures to be applied in contact holdings

Article 15

1.   Based on the epidemiological inquiry, the competent authority shall decide if a holding is to be considered as a contact holding.

The competent authority shall ensure that the measures provided for in Article 7(2) are applied to contact holdings until the presence of HPAI has been excluded in accordance with the diagnostic manual.

2.   Based on the epidemiological inquiry, the competent authority may apply the measures provided for in Article 11 to contact holdings and in particular if the contact holding is located in an area with a high density of poultry.

The main criteria to be considered for the application of the measures provided for in Article 11 in contact holdings are set out in Annex IV.

3.   The competent authority shall ensure that samples are taken from poultry and other captive birds when they are killed in order to confirm or exclude the presence of HPAI virus in those contact holdings in accordance with the diagnostic manual.

4.   The competent authority shall ensure that, on any holding where poultry or other captive birds are killed and disposed of and avian influenza is subsequently confirmed, the buildings and any equipment likely to be contaminated and the vehicles used for transporting the poultry, other captive birds, carcases, meat, feed, manure, slurry, bedding and any other material or substance likely to be contaminated undergo one or more of the procedures provided for in Article 48.
Establishment of protection, surveillance and further restricted zones in cases of outbreaks of HPAI

Article 16

1.   Immediately following an outbreak of HPAI, the competent authority shall establish:

(a)

a protection zone with a radius of at least three kilometres around the holding;

(b)

a surveillance zone with a radius of at least 10 kilometres around the holding, including the protection zone.

2.   If the outbreak of HPAI is confirmed in other captive birds in a non-commercial holding, circus, zoo, pet bird shop, wildlife park, a fenced area where other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of other captive birds that do not contain poultry, the competent authority may, following a risk assessment, derogate to the extent necessary from the provisions of Sections 2 to 4 concerning the establishment of the protection and surveillance zones and the measures to be applied therein, provided that such derogations do not endanger disease control.

3.   When establishing protection and surveillance zones, as provided for in paragraph 1, the competent authority shall take account of the following criteria at least:

(a)

the epidemiological inquiry;

(b)

the geographical situation, particularly natural boundaries;

(c)

the location and proximity of holdings and the estimated number of poultry;

(d)

patterns of movements and trade in poultry, other captive birds;

(e)

the facilities and personnel available to control any movement within the protection and surveillance zones of poultry or other captive birds, their carcases, manure, bedding or used litter, in particular if the poultry or other captive birds to be killed and disposed of have to be moved from their holding of origin.

4.   The competent authority may establish further restricted zones around or adjacent to the protection and surveillance zones, taking account of the criteria provided for in paragraph 3.

5.   If a protection, surveillance or further restricted zone covers the territories of different Member States, the competent authorities of the Member States concerned shall collaborate to establish the zone.
Measures to be applied both in the protection and in the surveillance zones

Article 17

1.   The competent authority shall ensure that the following measures are applied within the protection and surveillance zones:

(a)

arrangements are put in place which permit the tracing of anything likely to spread the avian influenza virus including poultry, other captive birds, meat, eggs, carcases, feed, litter, people who have been in contact with the infected poultry or other captive birds or vehicles with a link to the poultry industry;

(b)

owners are to provide the competent authority, on request, with any relevant information concerning the poultry or other captive birds and eggs entering or leaving the holding.

2.   The competent authority shall take all reasonable steps to ensure that all persons in the protection and surveillance zones affected by the restrictions concerned are fully aware of the restrictions in place.

That information may be conveyed through warning notices, media resources such as the press and television or any other appropriate means.

3.   The competent authority may, where epidemiological information or other evidence indicates, implement a preventive eradication programme, including preventive slaughtering or killing of poultry or other captive birds, in holdings and areas at risk.

4.   Member States applying the measures provided for in paragraph 3 shall immediately inform the Commission thereof, and the Commission shall review the situation with the Member States concerned and in the Committee as soon as possible.
Census and visits by the official veterinarian and surveillance

Article 18

The competent authority shall ensure that the following measures are applied in protection zones:

(a)

a census of all the holdings is made as soon as possible;

(b)

all commercial holdings are visited by an official veterinarian as soon as possible for a clinical examination of the poultry and other captive birds and, if necessary, the collection of samples for laboratory tests in accordance with the diagnostic manual; a record of such visits and the findings thereof shall be kept; non-commercial holdings are visited by an official veterinarian before the lifting of the protection zone;

(c)

additional surveillance is immediately implemented in accordance with the diagnostic manual in order to identify any further spread of avian influenza in the holdings located in the protection zone.
Measures to be applied on holdings in protection zones

Article 19

The competent authority shall ensure that the following measures are applied on holdings in protection zones:

(a)

all poultry and other captive birds are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised, they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)

carcases are disposed of as soon as possible;

(c)

vehicles and equipment used for transporting live poultry or other captive birds, meat, feed, manure, slurry and bedding and any other material or substances likely to be contaminated, undergo without delay one or more of the procedures provided for in Article 48;

(d)

all parts of vehicles used by staff or other persons which enter or leave holdings and are likely to have become contaminated undergo without delay one or more of the procedures provided for in Article 48;

(e)

no poultry, other captive birds or domestic mammals may enter or leave a holding without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:

(i)

have no contact with resident poultry or other captive birds, and

(ii)

have no access to any cages or areas where such resident poultry or other captive birds are kept;

(f)

any increased morbidity or mortality or significant drop in production data in holdings is immediately reported to the competent authority, which shall carry out appropriate investigations in accordance with the diagnostic manual;

(g)

any person entering or leaving holdings observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(h)

records of all persons visiting holdings, except dwellings, are kept by the owner in order to facilitate disease surveillance and control and must be made available upon request by the competent authority. Such records do not have to be kept where the visitors are to holdings such as zoos and wildlife parks where they have no access to the areas where the birds are kept.
Prohibition on the removal or spreading of used litter, manure or slurry from holdings

Article 20

The competent authority shall ensure that the removal or spreading of used litter, manure or slurry from holdings in protection zones are prohibited, unless authorised by it. However, the movement of manure or slurry may be authorised from holdings under biosecurity measures to a designated plant for treatment or for intermediate storage for subsequent treatment to destroy the possible presence of avian influenza viruses in accordance with Regulation (EC) No 1774/2002 or with specific rules which may be adopted in accordance with the procedure referred to in Article 64(2).
Fairs, markets or other gatherings and restocking of game

Article 21

The competent authority shall ensure that fairs, markets, shows or other gatherings of poultry or other captive birds are prohibited in protection zones.

The competent authority shall ensure that poultry or other captive birds for restocking of game are not released in protection zones.
Prohibition on the movement and transport of birds, eggs, poultry meat and carcases

Article 22

1.   The competent authority shall ensure that within protection zones, the movement and transport from holdings on to roads, excluding private service roads of holdings, or by rail, of poultry, other captive birds, ready-to-lay poultry, day-old chicks, eggs and carcases are prohibited.

2.   The competent authority shall ensure that the transport of poultry meat from slaughterhouses, cutting plants and cold stores is prohibited unless it has been produced:

(a)

from poultry which has originated from outside the protection zones and has been stored and transported separately from the meat of poultry from within the protection zones; or

(b)

on a date at least 21 days before the estimated date of earliest infection on a holding in the protection zone and which since production has been stored and transported separately from such meat produced after that date.

3.   However, the prohibitions in paragraphs 1 and 2 shall not apply to transit through the protection zone on roads or rail without unloading or stopping.
Derogations for the direct transport of poultry for immediate slaughter and the movement or treatment of poultry meat

Article 23

1.   By way of derogation from Article 22, the competent authority may authorise the direct transport of poultry originating from a holding in the protection zone for immediate slaughter to a designated slaughterhouse subject to the following conditions:

(a)

a clinical examination of the poultry on the holding of origin is carried out by the official veterinarian within 24 hours of being sent for slaughter;

(b)

where appropriate, laboratory tests have been carried out on poultry on the holding of origin in accordance with the diagnostic manual, with favourable results;

(c)

the poultry are transported in vehicles sealed by the competent authority or under its supervision;

(d)

the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry and then confirms the slaughter to the competent authority of dispatch;

(e)

the poultry from the protection zone are kept separately from other poultry and are slaughtered separately or at different times from other poultry, preferably at the end of a working day; subsequent cleansing and disinfection shall be completed before other poultry are slaughtered;

(f)

the official veterinarian shall ensure that a detailed examination of the poultry is carried out at the designated slaughterhouse when the poultry arrive and after they are slaughtered;

(g)

the meat does not enter into intra-Community or international trade and bears the health mark for fresh meat provided for in Annex II to Council Directive 2002/99/EC of 16 December 2002 laying down the animal health rules governing the production, processing, distribution and introduction of products of animal origin for human consumption(15), unless otherwise decided in accordance with the procedure referred to in Article 64(3) of this Directive;

(h)

the meat is obtained, cut, transported and stored separately from meat intended for intra-Community and international trade and is used in such a way as to avoid it being introduced into meat products intended for intra-Community or international trade, unless:

(i)

it has undergone a treatment set out in Annex III to Directive 2002/99/EC; or

(ii)

it is otherwise decided in accordance with the procedure referred to in Article 64(3).

2.   By way of derogation from Article 22, the competent authority may authorise the direct transport of poultry from outside the protection zone for immediate slaughter to a designated slaughterhouse within the protection zone and subsequent movement of the meat derived from such poultry providing that:

(a)

the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry and then confirms the slaughter to the competent authority of dispatch;

(b)

the poultry are kept separate from other poultry originating within the protection zone and are slaughtered separately or at different times from other poultry;

(c)

the poultry meat produced is cut, transported and stored separately from poultry meat obtained from other poultry originating in the protection zone;

(d)

the by-products are disposed of.
Derogations for the direct transport of day-old chicks

Article 24

1.   By way of derogation from Article 22, the competent authority may authorise the direct transport of day-old chicks, originating from holdings within the protection zone to a holding or shed of that holding in the same Member State, preferably located outside the protection and the surveillance zones, subject to the following conditions:

(a)

they are transported in vehicles sealed by the competent authority or under its supervision;

(b)

appropriate biosecurity measures are applied during transport and at the holding of destination;

(c)

the holding of destination is placed under official surveillance following the arrival of the day-old-chicks;

(d)

if moved outside the protection or surveillance zone, the poultry shall remain on the holding of destination for at least 21 days.

2.   By way of derogation from Article 22, the competent authority may authorise the direct transport of day-old chicks, hatched from eggs originating from holdings located outside the protection and surveillance zones, to any other holding in the same Member State, preferably located outside the protection and the surveillance zones, provided that the hatchery of dispatch can ensure by its logistics and by its hygienic working conditions that no contact has occurred between those eggs and any other hatching eggs or day-old chicks originating from poultry flocks within such zones and which are therefore of a different health status.
Derogations for the direct transport of ready to lay poultry

Article 25

By way of derogation from Article 22, the competent authority may authorise the direct transport of ready-to-lay poultry to a holding or shed of that holding preferably within the protection or the surveillance zone in which there is no other poultry, subject to the following conditions:

(a)

a clinical examination of the poultry and other captive birds in the holding of origin and in particular of those to be moved is carried out by the official veterinarian;

(b)

where appropriate, laboratory tests have been carried out on poultry in the holding of origin in accordance with the diagnostic manual with favourable results;

(c)

the ready-to-lay poultry is transported in vehicles sealed by the competent authority or under its supervision;

(d)

the holding or shed of destination is placed under official surveillance following the arrival of the ready-to-lay poultry;

(e)

if moved outside the protection or surveillance zone, the poultry shall remain on the holding of destination for at least 21 days.
Derogation for the direct transport of hatching and table eggs

Article 26

1.   By way of derogation from Article 22, the competent authority may authorise the direct transport of hatching eggs either from any holding to a hatchery located, in the protection zone and designated by the competent authority (‘the designated hatchery’) or, subject to the following conditions, from a holding located in the protection zone to any designated hatchery:

(a)

the parent flocks from which the hatching eggs are derived have been examined in accordance with the diagnostic manual and avian influenza is not suspected on these holdings;

(b)

the hatching eggs and their packaging are disinfected before dispatch and the tracing back of these eggs can be ensured;

(c)

the hatching eggs are transported in vehicles sealed by the competent authority or under its supervision;

(d)

biosecurity measures are applied in the designated hatchery in accordance with the instructions of the competent authority.

2.   By way of derogation from Article 22, the competent authority may authorise the direct transport of eggs:

(a)

to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(b)

to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or

(c)

for disposal.
Derogation for the direct transport of carcases

Article 27

By way of derogation from Article 22, the competent authority may authorise the direct transport of carcases provided that they are transported to be disposed of.
Cleansing and disinfecting of means of transport

Article 28

The competent authority shall ensure that the vehicles and equipment used for the transport as provided for in Articles 23 to 27 are cleansed and disinfected without delay by one or more of the procedures set down in Article 48 following the transport.
Duration of measures

Article 29

1.   The measures provided for in this Section shall be maintained for at least 21 days following the date of completion of preliminary cleansing and disinfection on the infected holding by one or more of the procedures set down in Article 48 and until holdings located in the protection zone have been tested in accordance with the diagnostic manual.

2.   When the measures referred to in this Section are no longer to be maintained, as provided for in paragraph 1 of this Article, the measures laid down in Article 30 shall apply in the former protection zone, until they are no longer to be applied as provided for in Article 31.
Measures to be applied in the surveillance zones

Article 30

The competent authority shall ensure that the following measures are applied in surveillance zones:

(a)

a census of all commercial poultry holdings is made as soon as possible;

(b)

the movement of poultry, ready-to-lay poultry, day-old chicks, eggs within the surveillance zone is prohibited unless authorisation is granted by the competent authority, which ensures that appropriate biosecurity measures are applied to prevent the spread of avian influenza; this prohibition shall not apply to transit thorough the surveillance zone on road or rail without unloading or stopping;

(c)

the movement of poultry, ready-to-lay poultry, day-old chicks and eggs to holdings, slaughterhouses, packing centres or an establishment for the manufacture of egg products located outside the surveillance zone is prohibited; however, the competent authority may authorise the direct transport of:

(i)

poultry for slaughter to a designated slaughterhouse, for the purpose of immediate slaughter subject to Article 23(1), points (a), (b) and (d);

The competent authority may authorise the direct transport of poultry from outside the protection and surveillance zones for immediate slaughter to a designated slaughterhouse within the surveillance zone and the subsequent movement of the meat derived from such poultry;

(ii)

ready-to-lay poultry to a holding in which there is no other poultry in the same Member State; that holding shall be placed under official surveillance following the arrival of the ready-to-lay poultry and the ready-to-lay poultry shall remain on the holding of destination for at least 21 days;

(iii)

day-old chicks:

to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, or

if hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

(iv)

hatching eggs to a designated hatchery located inside or outside the surveillance zone; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;

(v)

table eggs to a designated packing centre, provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(vi)

eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the surveillance zone;

(vii)

eggs for disposal;

(d)

any person entering or leaving holdings in the surveillance zone observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(e)

vehicles and equipment used for transporting live poultry or other captive birds, carcases, feed, manure, slurry and bedding and any other material or substances likely to be contaminated, are cleansed and disinfected without delay after contamination by one or more of the procedures provided for in Article 48;

(f)

no poultry, other captive birds or mammals of domestic species may enter or leave a holding where poultry is kept without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:

(i)

have no contact with resident poultry or other captive birds, and

(ii)

have no access to any cages or areas where such resident poultry or other captive birds are kept;

(g)

any increased morbidity or mortality or significant drop in production data in holdings is immediately reported to the competent authority, which shall carry out appropriate investigations in accordance with the diagnostic manual;

(h)

the removal or spreading of used litter, manure or slurry is prohibited unless authorised by the competent authority; the movement of manure may be authorised from a holding situated in the surveillance zone under biosecurity measures to a designated plant for treatment or for intermediate storage for subsequent treatment to destroy the possible presence of avian influenza viruses, in accordance with Regulation (EC) No 1774/2002 or with specific rules which may be adopted in accordance with the procedure referred to in Article 64(2);

(i)

fairs, markets, shows or other gatherings of poultry or other captive birds are prohibited;

(j)

poultry for restocking of game are not released.
Duration of measures

Article 31

The measures provided for in this Section shall be maintained for at least 30 days following the date of completion of preliminary cleansing and disinfection on the infected holding in accordance with Article 48.
Measures to be applied in further restricted zones

Article 32

1.   The competent authority may provide that some or all the measures provided for in Sections 3 and 4 shall apply inside the further restricted zones provided for in Article 16(4) (‘the further restricted zones’).

2.   The competent authority may, where epidemiological information or other evidence indicates, implement a preventive eradication programme, including preventive slaughtering or killing of poultry or other captive birds, in holdings and areas at risk, according to the criteria of Annex IV, located in further restricted zones.

The restocking of those holdings shall take place in accordance with the instructions of the competent authority.

3.   Member States applying the measures provided for in paragraphs 1 and 2 shall immediately inform the Commission thereof.

4.   The Commission shall review the situation with the Member States concerned and in the Committee as soon as possible.

5.   Without prejudice to decisions to be adopted pursuant to Council Decision 90/424/EEC of 26 June 1990 on expenditure in the veterinary field(16), further surveillance, biosecurity and control measures to prevent the spreading of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Derogations

Article 33

1.   Member States shall define the detailed arrangements under which they may grant derogations provided for in Articles 16 and 23 to 27, including alternative appropriate measures and conditions. Such derogations shall be based on a risk assessment carried out by the competent authority.

2.   The competent authority may, based on a risk assessment, grant derogations from the measures provided in Sections 3 and 4 in cases of confirmation of HPAI in a hatchery.

3.   The competent authority may grant derogations from the measures provided for in Article 18, points (b) and (c), Article 22, and in Article 30, points (b), (c) and (f), in cases of an outbreak of HPAI in a non-commercial holding, a circus, a zoo, a wild life park, a fenced area where poultry or other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of poultry or other captive birds.

4.   By way of derogation from Sections 3 and 4, in cases of outbreaks of HPAI Member States may, based on a risk assessment, introduce specific measures on movements of racing pigeons into, from and within the protection and surveillance zones.

5.   The derogations provided for in paragraphs 1 to 4 shall only be granted provided that such derogations do not endanger disease control.

6.   Member States granting derogations provided for in paragraphs 1 to 4 shall immediately inform the Commission thereof.

7.   The Commission shall in all cases review the situation with the Member State concerned and in the Committee as soon as possible.

Taking account of any derogation granted, as provided for in paragraphs 1 to 4, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).

8.   Any poultry (including day-old-chicks), other captive birds, hatching eggs, used litter, manure or slurry which come from a holding that has been granted a derogation under this Article, cannot be marketed outside the Member State concerned unless otherwise decided in accordance with the procedure referred in Article 64(3).
Additional biosecurity measures

Article 34

1.   In order to prevent the spread of avian influenza, the competent authority may, in addition to the measures provided for in Sections 3, 4 and 5, order the implementation of additional biosecurity measures in holdings in the protection and surveillance zones and in the further restricted zones, as well as in poultry compartments and other captive birds compartments in the Member State concerned.

Those measures may include restrictions on movements of vehicles or persons for feed supply, egg collection, the transport to slaughterhouses of poultry, the collection for disposal of carcases and other movements of personnel, veterinarians or persons supplying farm equipment.

2.   Member States which adopt measures, as provided for in paragraph 1, shall immediately inform the Commission thereof.

3.   The Commission shall review the situation with the Member State concerned and in the Committee as soon as possible.

4.   Without prejudice to decisions to be adopted pursuant to Decision 90/424/EEC, further surveillance, biosecurity and control measures to prevent the spread of avian influenza maybe adopted in accordance with the procedure referred to in Article 64(3).
Investigation of suspected presence of HPAI in slaughterhouses and in means of transport

Article 35

Where there is suspicion or confirmation of the presence of HPAI in slaughterhouses or means of transport, the competent authority shall immediately set in motion an investigation in the holding of origin of the poultry or other captive birds to confirm or exclude its presence in accordance with the diagnostic manual.
Measures to be applied in slaughterhouses

Article 36

1.   Where HPAI is suspected or confirmed in a slaughterhouse, the competent authority shall ensure that, on the basis of a risk assessment, all poultry present in the slaughterhouse is either killed or slaughtered as soon as possible under official supervision.

Where such poultry is slaughtered, the poultry meat and any by-products derived from the poultry and poultry meat and by-products of any other poultry which may have been contaminated during the slaughter and production process, shall be kept separate and under official supervision until investigations in accordance with the diagnostic manual have been completed.

2.   If HPAI is confirmed, the poultry meat and any by-products derived from the poultry and poultry meat and by-products of any other poultry which may have been contaminated during the slaughter and production process shall be disposed of as soon as possible under official supervision.
Measures to be applied in border inspection posts or means of transport

Article 37

1.   Where HPAI is suspected or confirmed in border inspection posts or means of transport, the competent authority shall ensure that, on the basis of a risk assessment, all poultry and other captive birds present in the border inspection post or in the means of transport are killed, slaughtered or placed in isolation away from poultry or other captive birds and kept under official supervision until the investigation is completed in accordance with the diagnostic manual. The competent authority shall apply the measures provided for in Article 7 as appropriate.

The competent authority may authorise the movement of the poultry or other captive birds to another place where they are killed, slaughtered or placed into isolation.

The competent authority may decide not to kill or slaughter those poultry or other captive birds present in the border inspection post that have not been in contact with the poultry or other captive birds suspected of being infected.

2.   Where poultry referred to in paragraph 1 is slaughtered, the poultry meat and any by products derived from those poultry and poultry meat and by-products of any other poultry which may have been contaminated during the slaughter and production process, shall be kept separate and under official supervision until investigations in accordance with the diagnostic manual have been completed.

3.   If HPAI is confirmed, the poultry meat and any by-products derived from those poultry and poultry meat and by-products of any other poultry which may have been contaminated during the slaughter and production process shall be disposed of as soon as possible under official supervision.
Additional measures to be applied to slaughterhouses, border inspection posts or means of transport

Article 38

The competent authority shall ensure that the following additional measures are applied where HPAI is suspected or confirmed in a slaughterhouse, border inspection post or means of transport:

(a)

no poultry or other captive birds are introduced into the slaughterhouse, the border inspection post or the means of transport until at least 24 hours after the cleansing and disinfection as provided for in point (b) are completed by one or more of the procedures set down in Article 48; in the case of border inspection posts, the prohibition on introduction may be extended to other animals;

(b)

the cleansing and disinfection of contaminated buildings, equipment and vehicles takes place in accordance with one or more of the procedures set down in Article 48 and under the official supervision of the official veterinarian;

(c)

an epidemiological inquiry is carried out;

(d)

the measures provided for in Article 7(2) are applied in the holding of origin of the infected poultry or carcases and in contact holdings;

(e)

unless otherwise indicated by the epidemiological inquiry and the further investigations, as provided for in Article 35, the measures provided for in Article 11 are applied in the holding of origin;

(f)

the avian influenza virus isolate is subjected to the laboratory procedure in order to identify the subtype of the virus, in accordance with the diagnostic manual.
Measures to be applied

Article 39

1.   In case of an outbreak of LPAI, the competent authority shall ensure that the measures provided for in points (a), (b), (c), (e), (g) and (h) of Article 7(2), Article 7(3) and paragraphs 2 to 5 of this Article are applied on the basis of a risk assessment and taking account of at least the criteria set out in Annex V.

2.   The competent authority shall ensure that all poultry on the holding and all other captive birds of the species in which LPAI has been confirmed are depopulated under official supervision in such a way as to prevent the spread of avian influenza.

The depopulation may be extended to other captive birds on the holding based on the assessment of the risk that they pose as regards further spread of avian influenza and to other holdings that may be considered as contact holdings, based on the epidemiological inquiry.

Before depopulation, no poultry or other captive birds shall enter or leave the holding, unless authorised by the competent authority.

3.   For the purpose of paragraph 2, the depopulation shall be carried out in accordance with Directive 93/119/EC and the competent authority shall decide that the poultry or other captive birds are:

(a)

killed as soon as possible, or

(b)

slaughtered in a designated slaughterhouse in accordance with paragraph 4.

When depopulation is by slaughter in a designated slaughterhouse, the poultry shall be subjected to further surveillance and testing.

The poultry shall not be moved from the holding to the designated slaughterhouse until the competent authority, taking account, in particular, of the investigations and the laboratory tests directed at determining the extent of any excretion of the virus by the poultry carried out in accordance with the diagnostic manual and a risk assessment, is satisfied that the risk of further spread of LPAI is minimal.

4.   Slaughter in a designated slaughterhouse in accordance with paragraph 3 may take place only provided that:

(a)

the poultry is sent directly from the holding to the designated slaughterhouse;

(b)

each consignment is sealed before dispatch by the official veterinarian responsible for the holding or under his supervision;

(c)

each consignment remains sealed throughout transport to the designated slaughterhouse;

(d)

further biosecurity measures prescribed by the competent authority are complied with;

(e)

the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry;

(f)

vehicles and equipment used for transporting live poultry and any other material or substances likely to be contaminated are cleansed and disinfected without delay after contamination, by one or more of the procedures set down in Article 48, and

(g)

the by-products of such poultry at the slaughterhouse are disposed of.

5.   The competent authority shall ensure that the following are disposed of under official supervision:

(a)

carcases, and

(b)

hatching eggs on the holding.

6.   The competent authority shall ensure that the following measures are taken:

(a)

hatching eggs collected from the holding during the period between the probable introduction of LPAI into the holding and the taking of the measures provided for in this Directive, are whenever possible traced and hatched under official surveillance;

(b)

poultry already hatched from eggs collected from the holding during the period between the probable introduction of LPAI into the holding and the taking of the measures provided for in this Directive, are whenever possible placed under official surveillance and investigations are carried out in accordance with the diagnostic manual;

(c)

eggs present on the holding and further produced on the holding before depopulation as provided for in paragraph 2, are transported provided that the risk of spread of LPAI is minimised:

(i)

to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(ii)

to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or

(iii)

for disposal.

(d)

any material or substance likely to be contaminated are either treated in accordance with the instructions of the official veterinarian or disposed of;

(e)

manure, slurry and bedding likely to be contaminated undergo one or more of the procedures provided for in Article 48;

(f)

after depopulation, the buildings used for housing the poultry or other captive birds, the equipment likely to be contaminated and the vehicles used for transporting carcases, feed, manure, slurry, and bedding or any other material or substance likely to be contaminated undergoes without delay one or more of the procedures provided for in Article 48;

(g)

mammals of domestic species do not enter or leave the holding without the authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:

(i)

have no contact with resident poultry or other captive birds, and

(ii)

have no access to any cages or areas where such resident poultry or other captive birds are kept.

(h)

in the case of a primary outbreak of LPAI, the virus isolate is subjected to the laboratory tests to identify the subtype of virus in accordance with the diagnostic manual; the virus isolate shall be submitted to the Community reference laboratory, as provided for in Article 51(1), as soon as possible.

7.   Member States applying the measures provided for in paragraphs 2, 4 and 5 shall inform the Commission thereof.
Derogations for certain holdings

Article 40

1.   The competent authority may grant derogations from the measures provided for in Article 39(2) and point (b) of Article 39(5) in cases of an outbreak of LPAI in a non commercial holding, a circus, a zoo, a pet bird shop, a wild life park, a fenced area where poultry or other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of poultry or other captive birds, provided that such derogations do not endanger disease control.

2.   The competent authority shall ensure that where a derogation is granted, as provided for in paragraph 1, the poultry or other captive birds concerned by the derogation:

(a)

are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)

are subjected to further surveillance and testing in accordance with the diagnostic manual and are not moved until the laboratory tests have indicated that they no longer pose a significant risk of further spread of LPAI; and

(c)

are not moved from their holding of origin, except for slaughter or to another holding:

(i)

located in the same Member State, in accordance with the instructions of the competent authority; or

(ii)

in another Member State, subject to the agreement of the Member State of destination.

3.   The competent authority may in cases of outbreaks of LPAI in hatcheries, based on a risk assessment, grant derogations from some or all of the measures provided for in Article 39.

4.   Member States shall draw up detailed rules for applying the derogations provided for in paragraphs 1 and 3.

5.   Member States shall immediately inform the Commission of any derogation granted in accordance with paragraphs 1 and 3.

6.   The Commission shall review the situation with the Member State concerned and in the Committee as soon as possible.

7.   Taking account of any derogation granted, as provided for in paragraph 1, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Measures to be applied in cases of outbreaks of LPAI in separate production units

Article 41

1.   In cases of an outbreak of LPAI in a holding which consists of two or more separate production units, the competent authority may grant derogations from the measures provided for in Article 39(2), for production units containing healthy poultry provided that such derogations do not endanger disease control.

2.   Member States shall draw up detailed rules for applying the derogations provided for in paragraph 1, taking account of the animal health guarantees which may be obtained and shall provide for alternative appropriate measures.

3.   Member States shall immediately inform the Commission of any derogations granted in accordance with paragraph 1.

4.   The Commission shall review the situation with the Member State concerned and in the Committee as soon as possible.

5.   Taking account of any derogation granted, as provided for in paragraph 1, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Measures to be applied in contact holdings

Article 42

1.   Based on the epidemiological inquiry, the competent authority shall decide if a holding is to be considered as a contact holding.

The competent authority shall ensure that the measures provided for in Article 7(2) are applied to contact holdings until the presence of LPAI has been excluded in accordance with the diagnostic manual.

2.   Based on the epidemiological inquiry, the competent authority may apply the measures provided for in Article 39 to contact holdings and in particular if the contact holding is located in an area with a high density of poultry.

The main criteria to be considered for the application of the measures provided for in Article 39 in contact holdings are set out in Annex IV.

3.   The competent authority shall ensure that samples are taken from the poultry when they are killed in order to confirm or exclude the presence of the LPAI virus in those contact holdings in accordance with the diagnostic manual.

4.   The competent authority shall ensure that, on any holding where poultry or other captive birds are slaughtered or killed and disposed of, and LPAI is subsequently confirmed, the buildings and any pastures used for housing them, farm yards and any equipment likely to be contaminated and the vehicles used for transporting the poultry, other captive birds, carcases, meat, feed, manure, slurry, bedding and any other material or substance likely to be contaminated undergo one or more of the procedures provided for in Article 48.
Establishment of restricted zones in cases of outbreaks of LPAI

Article 43

Immediately following an outbreak of LPAI, the competent authority shall establish a restricted zone with a radius of at least one kilometre around the holding.
Measures to be applied in the restricted zone

Article 44

1.   The competent authority shall ensure that the following measures are applied in the restricted zone:

(a)

a census of all commercial holdings is made as soon as possible;

(b)

laboratory tests are carried out on commercial poultry holdings within a radius of at least one kilometre around the holding in accordance with the diagnostic manual;

(c)

all movements of poultry, other captive birds, ready-to-lay poultry, day old chicks and eggs within or into the restricted zone are subject to authorisation and to other control measures deemed appropriate by the competent authority; this restriction shall not apply to the transit through the restricted zone on road or rail without unloading or stopping;

(d)

the movement of poultry, other captive birds, ready-to-lay poultry, day-old chicks and eggs from the restricted zone are prohibited unless the competent authority authorises the direct transport of:

(i)

poultry for slaughter to a slaughterhouse in the same Member State;

(ii)

live poultry to a holding or shed in the same Member State in which there is no other poultry. The live poultry shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival;

(iii)

day-old chicks:

to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; or

if hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

(iv)

hatching eggs to a designated hatchery; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;

(v)

table eggs to a packing centre provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(vi)

eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the restricted zone;

(vii)

eggs for disposal;

(e)

carcases shall be disposed of;

(f)

any person entering or leaving holdings in the restricted zone observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(g)

vehicles and equipment used for transporting live poultry or other captive birds, feed, manure, slurry and bedding and any other material or substances likely to be contaminated are cleansed and disinfected without delay after contamination, by one or more of the procedures set down in Article 48;

(h)

no poultry, other captive birds or mammals of domestic species may enter or leave a holding without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:

(i)

have no contact with resident poultry or other captive birds, and

(ii)

have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)

the removal or spreading of used litter, manure or slurry is prohibited, unless authorised by the competent authority; the movement of manure or slurry may be authorised from a holding situated in the restricted zone under biosecurity measures to a designated plant for treatment or for intermediate storage for subsequent treatment to destroy the possible presence of avian influenza viruses in accordance with Regulation (EC) No 1774/2002 or with specific rules which may be adopted in accordance with the procedure referred to in Article 64(2);

(j)

fairs, markets, shows or other gatherings of poultry or other captive birds are prohibited, unless authorised by the competent authority;

(k)

poultry or other captive birds for restocking of game are not released.

2.   The competent authority may, based on a risk assessment, introduce further measures in addition to the measures provided for in this Section and shall inform the Commission thereof.

3.   Further measures may be adopted to prevent the spread of avian influenza in accordance with the procedure referred to in Article 64(3).
Duration of measures

Article 45

The measures provided for in this Section shall be maintained:

(a)

at least 21 days following the date of completion of preliminary cleansing and disinfection of the infected holding by one or more of the procedures set down in Article 48, and until the competent authorities, based on the investigations and laboratory tests carried out in the restricted zone in accordance with the diagnostic manual and a risk assessment, consider that the risk of spread of LPAI is negligible;

(b)

at least 42 days following the date of confirmation of the outbreak and until the competent authorities, based on the investigations and laboratory tests carried out in the restricted zone in accordance with the diagnostic manual and a risk assessment, consider that the risk of spread of LPAI is negligible; or

(c)

for any other duration and under conditions to be established in accordance with the procedure referred to in Article 64(3).
Derogations

Article 46

1.   Where LPAI is confirmed in a hatchery, the competent authority may, based on a risk assessment, derogate from some or all of the measures provided for in Articles 43 and 44.

2.   The competent authority may grant derogations from the measures provided for in this Section in cases of an outbreak of LPAI in a non-commercial holding, a circus, a zoo, a pet bird shop, a wild life park, a fenced area where poultry or other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of poultry or other captive birds, provided that such derogations do not endanger disease control.

3.   Member States granting the derogation provided for in paragraphs 1 and 2 shall immediately inform the Commission thereof.

4.   The Commission shall review the situation with the Member State concerned and in the Committee as soon as possible.

5.   Taking account of any derogation granted, as provided for in paragraphs 1 and 2, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Laboratory tests and other measures concerning pigs and other species

Article 47

1.   The competent authority shall ensure that following confirmation of avian influenza on any holding, appropriate laboratory tests, in accordance with the diagnostic manual, are carried out on any pigs present on the holding to confirm or exclude that those pigs are, or have been, infected with the avian influenza virus.

No pigs shall be moved from the holding pending the results of those tests.

2.   Where laboratory tests provided for in paragraph 1 confirm positive findings for avian influenza viruses in pigs, the competent authority may authorise the movement of those pigs to other pig holdings or to designated slaughterhouses, provided that subsequent appropriate tests have shown that the risk of spread of avian influenza is negligible.

3.   The competent authority shall ensure that where laboratory tests provided for in paragraph 1 confirm a serious health threat, the pigs are killed as soon as possible under official supervision and in such a way as to prevent the spread of avian influenza virus, in particular during transport, and in accordance with Directive 93/119/EC.

4.   The competent authority may, following confirmation of avian influenza on any holding, and based on a risk assessment, apply the measures provided for in paragraphs 1, 2 and 3 to any other mammals present on the holding and may extend those measures to contact holdings.

5.   Member States shall inform the Commission within the framework of the Committee of the results of the tests and measures applied pursuant to paragraphs 1 to 4.

6.   The competent authority may, following confirmation of avian influenza virus in pigs or any other mammals on any holding, undertake surveillance in accordance with the diagnostic manual to identify any further spread of avian influenza virus.

7.   Additional measures to prevent the spread of influenza viruses of avian origin to other species, may be adopted in accordance with the procedure referred to in Article 64(3).
Cleansing, disinfection and procedures for eliminating avian influenza virus

Article 48

Member States shall ensure that:

(a)

the cleansing, disinfection and treatment of holdings and any materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses are carried out under official supervision in accordance with:

(i)

the instructions of the official veterinarian; and

(ii)

the principles and procedures for cleansing, disinfecting and treatment set out in Annex VI;

(b)

any land or pastures used by poultry or other captive birds on a holding where avian influenza has been confirmed are not used by poultry or other captive birds until the competent authority is satisfied that any avian influenza virus present has been eliminated or inactivated;

(c)

the cleansing, disinfection and treatment of slaughterhouses, vehicles, trailers or any other means of transport, border inspection posts and any materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses are carried out under official supervision in accordance with the instructions of the official veterinarian;

(d)

any equipment, materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses and which cannot be effectively cleansed and disinfected or treated are destroyed;

(e)

the disinfectants to be used and their concentrations are authorised by the competent authority.
Re-population of holdings

Article 49

1.   Member States shall ensure that paragraphs 2 to 6 of this Article are complied with, following the application of the measures provided for in Articles 11 and 39.

2.   The re-population of commercial poultry holdings shall not take place for a period of 21 days following the date of completion of the final cleansing and disinfection as provided for in Article 48.

3.   The following measures shall be performed during a period of 21 days following the date of the re-population of the commercial poultry holdings:

(a)

the poultry undergo at least one clinical examination carried out by the official veterinarian. That clinical examination, or if more than one is carried out, the final clinical examination, is undertaken as near as possible to the end of the 21 day period referred to above;

(b)

laboratory tests are carried out in accordance with the diagnostic manual;

(c)

poultry that die during the re-population phase are tested in accordance with the diagnostic manual;

(d)

any person entering or leaving the commercial poultry holding complies with appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(e)

during the re-population phase no poultry leaves the commercial poultry holding without the authorisation of the competent authority;

(f)

the owner keeps a record on the production data, including morbidity and mortality data, which must be updated regularly;

(g)

any significant change in production data, as referred to in point (f), and other abnormalities are immediately reported to the competent authority.

4.   Based on a risk assessment, the competent authority may order that the procedures provided for in paragraph 3 be applied to holdings other than commercial poultry holdings or other species on a commercial poultry holding.

5.   The re-repopulation of poultry in contact holdings shall take place in accordance with the instructions of the competent authority based on a risk assessment.
Diagnostic procedures and diagnostic manual

Article 50

1.   The Member States shall ensure that diagnostic procedures, sampling and laboratory testing to detect the presence of avian influenza in poultry or other captive birds or avian influenza virus in mammals are carried out in accordance with the diagnostic manual in order to ensure uniform procedures for its diagnosis.

That manual shall be adopted in accordance with the procedure referred to in Article 64(2) by 3 August 2006. Any subsequent amendment to the manual shall be adopted in accordance with the same procedure.

2.   The diagnostic manual provided for in paragraph 1 shall establish at least the following:

(a)

minimum biosecurity requirements and quality standards to be observed by approved laboratories carrying out tests for the diagnosis of avian influenza;

(b)

criteria and procedures to be followed when clinical or post-mortem examinations are carried out to confirm or exclude the presence of avian influenza;

(c)

criteria and procedures to be followed for the collection of samples from poultry or other captive birds for laboratory tests to confirm or exclude the presence of avian influenza; including sampling methods for serological or virological screenings carried out in accordance with this Directive;

(d)

laboratory tests to be used for the diagnosis of avian influenza, including:

(i)

tests for the differential diagnosis;

(ii)

tests to distinguish HPAI and LPAI viruses;

(iii)

suitable tests to distinguish between birds vaccinated and those infected with the field strain of avian influenza;

(iv)

criteria for the evaluation of the results of the laboratory tests;

(e)

laboratory techniques for the typing of avian influenza virus isolates.

3.   Member States shall ensure that avian influenza viruses, their genome and antigens, and vaccines for research, diagnosis or manufacture of vaccine shall be manipulated or used only in places, establishments or laboratories approved by the competent authority where the appropriate biosecurity requirements are guaranteed.

The list of approved places, establishments or laboratories shall be transmitted to the Commission by 30 September 2007 and kept up-to-date.
Reference laboratories

Article 51

1.   The laboratory named in Annex VII(1) shall be the Community reference laboratory for avian influenza (hereinafter referred to as ‘the Community reference laboratory’).

Without prejudice to Decision 90/424/EEC, the Community reference laboratory shall carry out the functions and duties listed in Annex VII(2).

2.   Member States shall designate national reference laboratories and communicate to the Commission and other Member States the details thereof and any subsequent changes. The Commission shall publish and update the list of such national reference laboratories.

3.   Member States shall ensure that the national reference laboratories:

(a)

carry out the functions and duties set out in Annex VIII;

(b)

are responsible for co-ordinating standards and methods of diagnosis in each Member State in accordance with Annex VIII and liasing with the Community reference laboratory.

4.   The Community reference laboratory shall maintain close cooperation and contact with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community in order to ensure training, excellence and support to national reference laboratories in Member States and Third Countries.
Manufacture, sale and use of avian influenza vaccines

Article 52

1.   Member States shall ensure that:

(a)

vaccination against avian influenza is prohibited on their territory, except as provided for in Sections 2 and 3;

(b)

the handling, manufacture, storage, supply, distribution and sale of avian influenza vaccines on their territory are carried out under official supervision;

(c)

only vaccines authorised in accordance with Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products(17)or Regulation No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency(18)are used.

2.   Rules relating to the conditions of supply and storage of stocks of avian influenza vaccines in the Community may be adopted in accordance with the procedure referred to in Article 64(2).
Emergency vaccination in poultry or other captive birds

Article 53

1.   A Member state may introduce emergency vaccination in poultry or other captive birds as a short term measure to contain an outbreak when a risk assessment indicates there is a significant and immediate threat of avian influenza spreading within or into the Member State concerned in accordance with this Section where there is one or more of the following:

(a)

an outbreak within that Member State;

(b)

an outbreak in a nearby Member State; or

(c)

where avian influenza has been confirmed in poultry or other captive birds in a nearby third country.

2.   Where a Member State intends to introduce emergency vaccination, as provided for in paragraph 1, it shall submit an emergency vaccination plan to the Commission for its approval.

That plan shall be in accordance with a DIVA strategy and contain at least the following information:

(a)

the disease situation which has led to the application for emergency vaccination;

(b)

the geographical area in which emergency vaccination is to be carried out and the number of holdings in that area and the number of holdings to be vaccinated if different;

(c)

the species and categories of poultry or other captive birds or, if appropriate, the poultry or other captive birds compartment to be vaccinated;

(d)

the approximate number of poultry or other captive birds to be vaccinated;

(e)

the summary of the vaccine characteristics;

(f)

the envisaged duration of the emergency vaccination campaign;

(g)

the specific provisions on the movements of vaccinated poultry or other captive birds which shall be without prejudice to the measures provided for in Sections 3, 4 and 5 of Chapter IV and Section 3 of Chapter V;

(h)

the criteria for deciding if emergency vaccination is to be applied in contact holdings;

(i)

the record keeping and registration of the vaccinated poultry or other captive birds;

(j)

clinical and laboratory tests to be carried out in the holdings where emergency vaccination is to be carried out and in other holdings located in the emergency vaccination area in order to monitor the epidemiological situation, the effectiveness of the emergency vaccination campaign and the control of movements of vaccinated poultry or other captive birds.

3.   Detailed rules for emergency vaccination may be established in accordance with the procedure referred to in Article 64(2).
Approval of emergency vaccination plans

Article 54

1.   The Commission shall immediately examine the emergency vaccination plan, as provided for in Article 53(2), together with the Member State concerned and shall review the situation in the Committee as soon as possible.

2.   The emergency vaccination plan shall be approved in accordance with the procedure referred to in Article 64(3).

The approval of the emergency vaccination plan may include measures restricting the movements of poultry or other captive birds and their products. Those measures may include restrictions concerning specific poultry compartments and other captive birds compartments and the establishment of restricted zones.
Derogations

Article 55

1.   By way of derogation from Article 54, Member States may apply emergency vaccination before approval of the emergency vaccination plan, subject to the following conditions:

(a)

the Commission is notified of the emergency vaccination plan and the decision to apply emergency vaccination before the commencement of the emergency vaccination;

(b)

the Member State concerned prohibits the movement of poultry or other captive birds and their products except under the conditions provided for in Annex IX;

(c)

the decision to apply emergency vaccination does not endanger disease control.

2.   When a Member State applies the derogation provided for in paragraph 1, the disease situation and the emergency vaccination plan shall be reviewed in the Committee as soon as possible.

3.   The measures applied may be approved or changed in accordance with the procedure referred to in Article 64(3).
Preventive vaccination in poultry or other captive birds

Article 56

1.   Member States may introduce preventive vaccination in poultry or other captive birds as a long term measure in accordance with this Section where they deem that on the basis of a risk assessment certain areas of their territory, type of poultry husbandry or certain categories of poultry or other captive birds or the poultry or other captive birds compartments are exposed to the risk of avian influenza.

2.   Where a Member State intends to introduce preventive vaccination, as provided for in paragraph 1, it shall submit a preventive vaccination plan to the Commission for its approval.

That plan shall be in accordance with a DIVA strategy and contain at least the following information:

(a)

a clear description of the reasons for the preventive vaccination, including the disease history;

(b)

the area, type of poultry husbandry or certain categories of poultry or other captive birds or the poultry or other captive birds compartments in which the preventive vaccination is to be carried out and the number of holdings in that area and the number and type of holdings to be vaccinated if different;

(c)

the species and categories of poultry or other captive birds or, if appropriate, the poultry or other captive birds compartment to be vaccinated;

(d)

the approximate number of poultry or other captive birds to be vaccinated;

(e)

a summary of the vaccine characteristics;

(f)

the envisaged duration of the preventive vaccination campaign;

(g)

the specific provisions on the movements of vaccinated poultry or other captive birds which shall be without prejudice to the measures provided for in Sections 3, 4 and 5 of Chapter IV and Section 3 of Chapter V;

(h)

the record keeping and registration of the vaccinated poultry or other captive birds;

(i)

the laboratory tests to be carried out in accordance with the Diagnostic Manual in the holdings where preventive vaccination is to be carried out at the same time as surveillance and testing in an appropriate number of other holdings located in the vaccination area or the poultry or other captive birds compartments in order to monitor the epidemiological situation, the effectiveness of the preventive vaccination campaign and the control of movements of vaccinated poultry or other captive birds.

3.   Detailed rules for preventive vaccination may be established in accordance with the procedure referred to in Article 64(2).
Approval of preventive vaccination plan

Article 57

1.   The Commission shall immediately examine the preventive vaccination plan provided for in Article 56(2), together with the Member State concerned and shall review the situation in the Committee as soon as possible.

2.   The preventive vaccination plan shall be approved in accordance with the procedure referred to in Article 64(3).

The approval of the preventive vaccination plan may include measures restricting the movements of poultry or other captive birds and their products. Those measures may include restrictions concerning specific poultry compartments and other captive birds compartments and the establishment of restricted zones.
Community vaccine bank

Article 58

1.   A Community vaccine bank for the storage of Community reserves of avian influenza vaccines authorised in accordance with Directive 2001/82/EC or Regulation (EC) No 726/2004 may be established in accordance with the procedure referred to in Article 64(2).

2.   Member States shall have access to the Community vaccine bank on request to the Commission.

3.   Where it is in the interest of the Community, the Commission may supply vaccines to third countries.

Without prejudice to agreements concluded between the Community and third countries, the access of third countries to the Community vaccine bank shall be authorised in accordance with the procedure referred to in Article 64(3), subject to detailed arrangements between the Commission and the third country concerned on the financial and technical cooperation to be adopted in accordance with that procedure.
National vaccine banks

Article 59

1.   Member States may, within the framework of the contingency plan provided for in Article 62, establish or maintain a national vaccine bank for storage of reserves of avian influenza vaccines authorised in accordance with Article 5 to Article 15 of Directive 2001/82/EC, to be used for emergency or preventive vaccination.

2.   Member States maintaining a national vaccine bank shall inform the Commission of the quantities and types of the stored vaccines.
Community controls

Article 60

Commission experts may make on-the-spot checks in cooperation with the competent authority, in so far as it is necessary to ensure uniform application of this Directive in accordance with Commission Decision 98/139/EC of 4 February 1998 laying down certain detailed rules concerning on-the-spot checks carried out in the veterinary field by Commission experts in the Member States(19)and Article 45 of Regulation (EC) No 882/2004 of the European Parliament and of the Council of 29 April 2004 on official controls performed to ensure the verification of compliance with feed and food law, animal health and animal welfare rules(20).
Penalties

Article 61

Member States shall lay down the rules on penalties applicable to infringements of national provisions adopted pursuant to this Directive and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive. Member States shall notify the Commission of those provisions by the date specified in the first subparagraph of Article 67(1) and shall notify it without delay of any subsequent amendment affecting them.
Contingency plan

Article 62

1.   Member States shall draw up a contingency plan in accordance with Annex X specifying the national measures to be implemented in the event of an outbreak and submit that plan to the Commission for approval.

2.   The contingency plan shall allow access to facilities, equipment, personnel and all other appropriate materials necessary for the rapid and efficient eradication of the outbreak. It shall give an indication of the number and location of all commercial poultry holdings. The contingency plan should give an indication of the maximum number of poultry, by species, that could be present on these commercial holdings. Member States should also estimate the amount of vaccine that would be needed in the event of emergency vaccination.

3.   Provisions shall be in place for close cooperation between the competent authorities responsible for the different sectors, particularly those in charge of animal health, public health, environmental matters and health and safety of workers, in particular to ensure proper risk communication to farmers, workers in the poultry sector and the public.

4.   The Commission shall examine the contingency plans in order to determine whether they permit the desired objective to be attained and shall suggest to the Member State concerned any amendments required, in particular to ensure that they are compatible with those of the other Member States.

The contingency plans shall be approved in accordance with the procedure referred to in Article 64(2). Any subsequent amendments to that plan shall be adopted in accordance with the same procedure.

5.   Member State shall update the contingency plan at least every five years and submit it to the Commission for approval in accordance with the procedure referred to in Article 64(2).

6.   In addition to the measures provided for paragraphs 1 to 4, further rules to ensure a rapid and efficient eradication of avian influenza, including provisions on disease control centres, expert groups and real-time alert exercises, may be adopted in accordance with the procedure referred to in Article 64(2).
Implementing powers

Article 63

1.   Detailed rules necessary for the implementation of this Directive shall be adopted in accordance with the procedure referred to in Article 64(2) and may include in particular specific rules concerning:

(a)

the disposal of carcases, and

(b)

the movement and treatment of feed, bedding, used litter, manure and slurry contaminated or suspected to be contaminated.

2.   Any amendments to the annexes to take account of scientific and technical progress shall be decided in accordance with the procedure referred to in Article 64(2).

3.   Detailed rules required by the epidemiological situation to supplement the minimum control measures provided for in this Directive shall be adopted in accordance with the procedure referred to in Article 64(3).

4.   Without prejudice to the safeguard measures provided for in Article 9 of Council Directive 89/662/EEC of 11 December 1989 concerning veterinary checks in intra-Community trade with a view to the completion of the internal market(21)or Article 10 of Council Directive 90/425/EEC of 26 June 1990 concerning veterinary and zootechnical checks applicable in intra-Community trade in certain live animals and products with a view to the completion of the internal market(22), temporary emergency measures required due to a serious health threat caused by influenza viruses of avian origin other than those referred to in point 1 of Article 2, shall be adopted in accordance with the procedure referred to in Article 64(3).
Committee procedure

Article 64

1.   The Commission shall be assisted by the Standing Committee on the Food Chain and Animal Health established by Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety(23).

2.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply.

The period laid down in Article 5(6) of that Decision shall be set at 15 days.

4.   The Committee shall adopt its Rules of Procedure.
Repeal

Article 65

Directive 92/40/EEC shall be repealed as from 1 July 2007. References to Directive 92/40/EEC shall be construed as references to this Directive and shall be read in accordance with the correlation table set out in Annex XI.
Transitional provisions

Article 66

1.   Contingency plans for the control of avian influenza approved in accordance with Article 17(4) of Directive 92/40/EEC and in force at 1 July 2007 shall continue to apply for the purpose of this Directive.

However, by 30 September 2007 Member States shall submit to the Commission amendments to those contingency plans, to bring them in line with this Directive.

Those amended plans shall be approved in accordance with the procedure referred to in Article 64(2).

2.   Pending the transposition of this Directive, further transitional provisions on the control of avian influenza may be adopted in accordance with the procedure referred to in Article 64(2).
Transposition

Article 67

1.   Member States shall bring into force by 1 July 2007 at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith inform the Commission thereof.

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

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

Article 68

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

Article 69

This Directive is addressed to the Member States.
THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 37 thereof,

Having regard to the proposal from the Commission,

Having regard to the Opinion of the European Parliament(1),

Having regard to the Opinion of the European Economic and Social Committee(2),

After consulting the Committee of the Regions,

(1) Avian influenza is a serious, highly contagious disease of poultry and other captive birds caused by different types of influenza viruses. Those viruses may also spread to mammals, in particular pigs, and humans.

(2) Since poultry is covered by live animals listed in Annex I to the Treaty, one of the Community’s tasks in the veterinary field is to improve the health status of poultry, thereby facilitating trade in poultry and poultry products and ensuring the development of this sector. Furthermore, a high level of human health protection is to be ensured when defining and implementing Community policies and activities.

(3) Influenza viruses include a large number of different virus strains. The level of risks posed by the different strains of influenza viruses for animal and public health is very variable and to some extent unpredictable, due to rapid virus mutation and possible re-assortment of the genetic material between different strains.

(4) The infection with certain strains of influenza viruses of avian origin may trigger outbreaks in domestic birds of epizootic proportions, causing mortality and disturbances of poultry on a scale, which can threaten in particular the profitability of poultry farming as a whole.

(5) Community measures for the control of avian influenza were established by Council Directive 92/40/EEC of 19 May 1992 introducing Community measures for the control of avian influenza(3), in order to ensure the protection of animal health and contribute to the development of the poultry sector.

(6) The measures laid down in Directive 92/40/EEC should be fundamentally reviewed in the light of recent scientific knowledge on the risks of avian influenza for animal and public health, development of new laboratory tests and vaccines and the lessons learnt during recent outbreaks of this disease in the Community as well as in third countries.

(7) The new Community measures should also take account of the most recent opinions delivered by the Scientific Committee on Animal Health and Animal Welfare and by the European Food Safety Authority (EFSA) and the changes in the Terrestrial Animal Health Code and the Manual of Diagnostic Tests and Vaccines for Terrestrial Animals of the International Office of Epizootics (O.I.E.) on avian influenza.

(8) Certain influenza viruses of avian origin may in some circumstances affect humans and may then pose a serious risk to public health. The provisions of this Directive, which aim at fighting the disease in farmed animals, could indirectly contribute to preventing public health problems. However, it is, at this stage, chiefly for the Member States to tackle such problems.

(9) At Community level, the human health risks posed by influenza viruses are primarily dealt with by other actions and legal acts. These concern in particular the European Centre for Disease Prevention and Control (hereinafter referred to as ‘ECDC’), established by Regulation (EC) No 851/2004 of the European Parliament and of the Council(4), the recommendations issued by the Commission on Community Influenza pandemic preparedness and response planning, the European Union Early Warning and Response System and the establishment of the European Influenza Surveillance Scheme.

(10) It is appropriate, however, for the Commission to assess together with ECDC whether further public health or workers’ health and safety measures, complementing the animal health provisions of this Directive are needed at Community level to address the risks posed by certain influenza viruses of avian origin to humans and in particular for workers in contact with infected animals and to present any necessary legislative proposals.

(11) Current knowledge indicates that the health risks posed by the so-called low pathogenic avian influenza viruses are inferior to the risks posed by highly pathogenic avian influenza viruses, which originate from a mutation of certain low pathogenic viruses.

(12) Community legislation for the control of avian influenza should enable Member States to adopt disease control measures in a proportionate and flexible manner, taking into account the various levels of risk posed by different virus strains, the likely social and economic impact of the measures in question on the agriculture sector and other sectors involved while at the same time ensuring that the measures taken for each specific disease scenario are the most appropriate.

(13) In view of the potential of low pathogenic avian influenza viruses to mutate into highly pathogenic avian influenza viruses, provision should be made for the early detection of infection in poultry aimed at a quick reaction and the adoption of appropriate and proportionate control and eradication measures which should include a system of active surveillance to be carried out by Member States. Such surveillance should follow general guidelines to be adapted in the light of further knowledge and developments in this field.

(14) Any suspicion of avian influenza infection which may arise from clinical or laboratory investigations or any other reason that leads to the suspicion of the presence of infection should set in motion immediate official investigations so that prompt and effective action can be taken, as appropriate. Such action should be reinforced as soon as the presence of infection is confirmed to include depopulation of the holdings infected and of those which are at risk of infection.

(15) In the case of detection of infection with low pathogenic avian influenza virus, control measures may differ from those which should apply in the case of detection of highly pathogenic avian influenza virus, taking into account the different levels of risk posed by these two conditions.

(16) Disease control measures and in particular the establishment of restriction zones should also be modulated taking into account the density of the poultry population as well as other risk factors in the area in which the infection has been detected.

(17) If an outbreak occurs, it is also necessary to prevent any further spread of infection by carefully monitoring and restricting movements of poultry and the use of products liable to be contaminated, by tightening biosecurity measures at all levels of poultry production, by cleansing and disinfecting the infected holding, by establishing protection and surveillance zones around the outbreak and, if necessary, by vaccination.

(18) Community measures for the control of highly pathogenic avian influenza should be based first on the depopulation of the infected flocks, in accordance with Community legislation on animal welfare.

(19) Council Directive 93/119/EC of 22 December 1993 on the protection of animals at the time of slaughter or killing(5)sets out the minimum standards for the protection of animals at the time of slaughter or killing including for the purpose of disease control. Such rules apply fully to slaughter or killing pursuant to this Directive.

(20) Vaccination against avian influenza can be an effective tool to supplement disease control measures and to avoid massive killing and destruction of poultry or other captive birds. Current knowledge suggests that vaccination may be useful not only as a short-term measure in emergencies but also as a long-term measure to prevent disease in situations of higher risk of introduction of avian influenza viruses from wild life or other sources. Provisions should therefore be established for both emergency and preventive vaccination.

(21) Vaccinated poultry, although protected against the clinical signs of disease, may become infected and thus contribute to the further spread of the infection. Vaccination must therefore be accompanied by appropriate surveillance and restriction measures established at Community level. Therefore, the vaccination strategy should allow differentiation between infected and vaccinated animals. Products of vaccinated poultry, such as meat and table eggs, should be then placed on the market in accordance with the relevant Community legislation, including this Directive.

(22) It should also be made possible for the Community and the Member States to establish reserves of vaccine against avian influenza to be used in poultry or other captive birds in the case of an emergency.

(23) Provisions should be adopted to ensure that harmonised procedures and methods are used for the diagnosis of avian influenza, including the functioning of a Community reference laboratory as well as reference laboratories in Member States.

(24) Provisions should be adopted to ensure the necessary level of preparation by Member States effectively to tackle emergency situations caused by one or more outbreaks of avian influenza, in particular by drawing up contingency plans and setting up control centres.

(25) If avian influenza is detected during importation in a quarantine facility or centre, as provided for in Commission Decision 2000/666/EC of 16 October 2000 laying down the animal health requirements and the veterinary certification for the import of birds, other than poultry and the conditions for quarantine(6), this should be reported to the Commission. However, reporting as provided for by Council Directive 82/894/EEC of 21 December 1982 on the notification of animal diseases within the Community(7), in cases of outbreaks in Member States would not be appropriate.

(26) Cleansing and disinfection should be an integral part of the Community control policy for avian influenza. Disinfectants should be used in compliance with Directive 98/8/EC of the European Parliament and of the Council of 16 February 1998 concerning the placing of biocidal products on the market(8).

(27) Regulation (EC) No 1774/2002 of the European Parliament and of the Council of 3 October 2002 laying down health rules concerning animal by-products not intended for human consumption(9)lays down the rules on the collection, transport, storage, handling, processing and use or disposal of animal by-products including animals killed to eradicate epizootic diseases, to prevent them from presenting a risk to animal and public health. That Regulation and its implementing measures provide for a general framework for the disposal of dead animals. Provision should be made for the adoption, by the committee procedure, of specific, additional or different measures where necessary to enhance further avian influenza control measures.

(28) Regulation (EC) No 853/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific hygiene rules for food of animal origin(10)and Regulation (EC) No 852/2004 of the European Parliament and of the Council of 29 April 2004 on the hygiene of foodstuffs(11)may be applied under certain conditions to eggs originating from holdings where poultry suspected of being infected with avian influenza is kept.

(29) Member States should lay down rules on penalties applicable to infringements of the provisions of this Directive and ensure that they are implemented. Those penalties should be effective, proportionate and dissuasive.

(30) Provision should be made for the possibility for amendments to be made to the Annexes to this Directive when necessary without delay in order to take account of developments in scientific and technical knowledge.

(31) Taking into account the unpredictability of influenza viruses, it is appropriate to ensure that a swift procedure is also in place for a rapid adoption at Community level of additional or more specific measures to control any infection of poultry and other animal species whenever such measures are necessary.

(32) This Directive should set out the minimum control measures to be applied in the event of an outbreak of avian influenza in poultry or other captive birds. However, Member States are free to take more stringent administrative and sanitary action in the field covered by this Directive. In addition, this Directive should provide for Member States’ authorities to apply measures proportionate to the health risk posed by different disease situations.

(33) In accordance with the principle of proportionality, it is necessary and appropriate for the achievement of the basic objectives of ensuring the development of the poultry sector and contributing to the protection of animal health, to lay down rules on specific measures and minimum measures aimed at the prevention and control of avian influenza. This Directive does not go beyond what is necessary in order to achieve the objectives pursued, in accordance with the third paragraph of Article 5 of the Treaty.

(34) The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(12).

(35) In the interests of clarity and rationality of Community legislation, Directive 92/40/EEC should be repealed and replaced by this Directive.

(36) The Council, in accordance with point 34 of the Inter-Institutional Agreement on better law making(13), encourages Member States to draw up, for themselves and in the interest of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures and to make them public,

HAS ADOPTED THIS DIRECTIVE:
Subject matter and scope1.   This Directive sets out:

(a)

certain preventive measures relating to the surveillance and the early detection of avian influenza and increasing the level of the competent authorities’ and the farming community’s awareness of, and preparation for, the risks of that disease;

(b)

the minimum control measures to be applied in the event of an outbreak of avian influenza in poultry or other captive birds and the early detection of possible spread of avian influenza viruses to mammals;

(c)

other subsidiary measures to avoid the spread of influenza viruses of avian origin to other species.

2.   Member States shall remain free to take more stringent measures in the field covered by this Directive.
DefinitionsFor the purposes of this Directive, the following definitions shall apply:

1.

‘avian influenza’ means any of the influenza infections so described in Annex I(1);

2.

‘highly pathogenic avian influenza (HPAI)’ means any of the avian influenza infections so described in Annex I(2);

3.

‘low pathogenic avian influenza (LPAI)’ means any of the avian influenza infections so described in Annex I(3);

4.

‘poultry’ means all birds that are reared or kept in captivity for the production of meat or eggs for consumption, the production of other products, for restocking supplies of game birds or for the purposes of any breeding programme for the production of these categories of birds;

5.

‘wild bird’ means a free-living bird which is not kept on any holding as defined in point 8;

6.

‘other captive bird’ means any bird other than poultry that is kept in captivity for any reason other than those referred to in point 4 including those that are kept for shows, races, exhibitions, competitions, breeding or selling;

7.

‘officially registered rare breeds of poultry or other captive birds’ means any poultry or other captive birds that the competent authority has officially recognised as a rare breed within their contingency plan provided for in Article 62;

8.

‘holding’ means any agricultural or other premises, including hatcheries, circuses, zoos, pet bird shops, bird markets, and aviaries, where poultry or other captive birds are being bred or kept . However, this definition does not include slaughterhouses, means of transport, quarantine facilities and centres, border inspection posts and laboratories authorised by the competent authority to hold avian influenza virus;

9.

‘commercial poultry holding’ means a holding where poultry are kept for commercial purposes;

10.

‘non-commercial holding’ means a holding where poultry or other captive birds are kept by their owners:

(a)

for their own consumption or use; or

(b)

as pets;

11.

‘poultry compartment’ or ‘other captive birds compartment’ means a holding or holdings under a common biosecurity management system containing a poultry or other captive birds sub-population with a distinct health status with respect to avian influenza subjected to appropriate surveillance, control and biosecurity measures;

12.

‘flock’ means all poultry or other captive birds within a single production unit;

13.

‘production unit’ means a unit on a holding which the official veterinarian is satisfied is completely independent of any other unit in the same holding in terms of its location and day-to-day management of the poultry or other captive birds kept there;

14.

‘day-old chicks’ means all poultry less than 72 hours old, not yet fed, and muscovy ducks (Cairina moschata) or their crosses, less than 72 hours old, whether or not fed;

15.

‘diagnostic manual’ means the diagnostic manual provided for in Article 50(1);

16.

‘poultry or other captive birds suspected of being infected’ means any poultry or other captive birds exhibiting clinical signs or showing post-mortem lesions or reactions to laboratory tests which are such that the presence of avian influenza cannot be excluded;

17.

‘owner’ means any person or persons, either natural or legal having ownership of poultry or other captive birds, or charged with keeping such, whether or not for commercial purposes;

18.

‘competent authority’ means the authority of a Member State competent to carry out physical checks or administrative formalities in accordance with this Directive or any authority to which such competencies are delegated;

19.

‘official veterinarian’ means the veterinarian designated by the competent authority;

20.

‘official surveillance’ means the action of careful monitoring by the competent authority of the health status of poultry or other captive birds or mammals on a holding in relation to avian influenza;

21.

‘official supervision’ means the actions taken by the competent authority to verify that the requirements of this Directive and of any instructions from that authority as to how those requirements should be met are being, or have been, complied with;

22.

‘killing’ means any process other than slaughter causing the death of a mammal, poultry or other captive birds;

23.

‘slaughter’ means any process causing the death of a mammal or poultry by bleeding, for the purpose of human consumption;

24.

‘disposing of’ means the act of collecting, transporting, storing, handling, processing and using or disposing of animal by-products in accordance with:

(a)

Regulation (EC) No 1774/2002; or

(b)

rules to be adopted under the procedure referred to in Article 64(2);

25.

‘Community vaccine bank’ means appropriate premises designated in accordance with Article 58(1) for the storage of Community reserves of avian influenza vaccines;

26.

‘contact holding’ means a holding where avian influenza could have come from or have been introduced to as a result of its location, the movement of persons, poultry or other captive birds, vehicles or in any other way;

27.

‘suspected outbreak’ means a holding where the competent authority suspects the presence of avian influenza;

28.

‘outbreak’ means a holding where avian influenza has been confirmed by the competent authority;

29.

‘primary outbreak’ means an outbreak not epidemiologically linked with a previous outbreak in the same region of a Member State as defined in Article 2(2), point (p), of Council Directive 64/432/EEC of 26 June 1964 on animal health problems affecting intra-Community trade in bovine animals and swine(14)or the first outbreak in a different region of the same Member State;

30.

‘Differentiating Infected from Vaccinated Animal (DIVA) strategy’ means a vaccination strategy which enables a differentiation to be made between vaccinated/infected and vaccinated/non-infected animals through the application of a diagnostic test designed to detect antibodies against the field virus and the use of non-vaccinated sentinel birds;

31.

‘mammal’ means an animal of the class Mammalia, except humans;

32.

‘carcase’ means poultry or other captive birds which have died or have been killed and are unfit for human consumption, or parts thereof.
Preventive biosecurity measuresSpecific provisions concerning preventive biosecurity measures may be established in accordance with the procedure referred to in Article 64(2).
Surveillance programmes1.   Member States shall carry out surveillance programmes in order to:

(a)

detect the prevalence of infections with avian influenza virus subtypes H5 and H7 in different species of poultry;

(b)

contribute, on the basis of a regularly updated risk assessment, to the knowledge on the threats posed by wild birds in relation to any influenza virus of avian origin in birds.

2.   The surveillance programmes referred to in paragraph 1(a) shall comply with guidelines to be drawn up by the Commission in accordance with the procedure referred to in Article 64(2).
Notification1.   Member States shall ensure that the suspected presence and presence of avian influenza are compulsorily and immediately notified to the competent authority.

2.   In addition to the requirements provided for in Community legislation on notification of outbreaks of animal diseases, Member States shall notify the Commission in accordance with Annex II of any avian influenza confirmed by the competent authority in slaughterhouses, means of transport, border inspection posts and other places at Community borders and quarantine facilities or centres operating in accordance with Community legislation on imports of poultry or other captive birds.

3.   Member States shall notify the results of any surveillance for avian influenza virus carried out in mammals.
Epidemiological inquiry1.   Member States shall ensure that epidemiological inquiries are started on the basis of questionnaires, established within the framework of the contingency plans provided for in Article 62.

2.   The epidemiological inquiry shall include the following at least:

(a)

the length of time during which avian influenza may have been present on the holding or other premises or means of transport;

(b)

the possible origin of avian influenza;

(c)

the identification of any contact holding;

(d)

the movements of poultry, other captive birds, persons, mammals, vehicles or any material or other means by which the avian influenza virus could have spread.

3.   The competent authority shall take account of the epidemiological inquiry when:

(a)

deciding whether additional disease control measures, as provided for in this Directive need to be applied; and

(b)

granting derogations as provided for in this Directive.

4.   If the epidemiological inquiry suggests that avian influenza may have spread from or to other Member States, the Commission and the other Member States concerned shall be immediately informed of the results of all findings of the inquiry.
Measures to be applied on holdings where outbreaks are suspected1.   In the case of a suspected outbreak, the competent authority shall immediately set in motion an investigation to confirm or exclude the presence of avian influenza in accordance with the diagnostic manual and place the holding under official surveillance. The competent authority shall also ensure that the measures provided for in paragraphs 2 and 3 are complied with.

2.   The competent authority shall ensure that the following measures are applied on the holding:

(a)

poultry, other captive birds and all mammals of domestic species are counted or, if appropriate, their numbers estimated by the type of poultry or species of other captive bird;

(b)

a list is compiled of the approximate number of poultry, other captive birds and all mammals of domestic species already sick, dead or likely to be infected in each category on the holding; that list shall be updated daily to take account of hatchings, births and deaths throughout the period of the suspected outbreak and shall be produced on request to the competent authority;

(c)

all poultry and other captive birds are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(d)

no poultry or other captive birds may enter or leave the holding;

(e)

no carcases of poultry or other captive birds, meat of poultry including offal (‘poultry meat’), poultry feed (‘feed’), utensils, materials, waste, droppings, poultry or other captive birds manure (‘manure’), slurry, used litter or anything likely to transmit avian influenza may leave the holding without an authorisation from the competent authority, observing appropriate biosecurity measures such as to minimise any risk of the spread of avian influenza;

(f)

no eggs may leave the holding;

(g)

the movement of persons, mammals of domestic species, vehicles and equipment to or from the holding is subject to the conditions and authorisation of the competent authority;

(h)

appropriate means of disinfection are used at the entrances and exits of buildings housing poultry or other captive birds and of the holding itself in accordance with the instructions of the competent authority.

3.   The competent authority shall ensure that an epidemiological inquiry is carried out in accordance with Article 6 (‘the epidemiological inquiry’).

4.   Notwithstanding paragraph 1, the competent authority may provide for the submission of samples in other cases. In such circumstances the competent authority may proceed without adopting some or all of the measures referred in paragraph 2.
Derogations from certain measures to be applied on holdings where outbreaks are suspected1.   The competent authority may grant derogations from the measures provided for in Article 7(2) points (c) to (e) on the basis of a risk assessment and taking into account the precautions taken and the destination of the birds and products to be moved.

2.   The competent authority may also grant derogations from the measures provided for in Article 7(2), point (h) in the case of other captive birds kept on non-commercial holdings.

3.   With reference to Article 7(2) point (f), the competent authority may authorise the sending of eggs:

(a)

directly to an establishment for the manufacture of egg products, as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004, to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; where the competent authority issues such an authorisation, the latter shall be subject to the conditions set out in Annex III to this Directive; or

(b)

for disposal.
Duration of the measures to be applied on holdings where outbreaks are suspectedThe measures to be applied on holdings in cases of suspected outbreaks, as provided for in Article 7, shall continue to be applied until the competent authority is satisfied that the suspicion of avian influenza on the holding has been ruled out.
Additional measures based on an epidemiological inquiry1.   Based on the preliminary results of an epidemiological inquiry, the competent authority may apply the measures provided for in paragraphs 2, 3 and 4 in particular if the holding is located in an area with a high density of poultry.

2.   Temporary restrictions may be introduced on the movements of poultry, other captive birds and eggs and the movement of vehicles used by the poultry sector in a defined area or in the whole of the Member State.

Such restrictions may be extended to movements of mammals of domestic species, but in that case shall not exceed 72 hours, unless justified.

3.   The measures provided for in Article 11 may be applied to the holding.

However, if conditions permit, application of those measures may be limited to the poultry or other captive birds suspected of being infected and their production units.

Samples shall be taken from the poultry or other captive birds if they are killed in order for the risk of a suspected outbreak to be confirmed or excluded, in accordance with the diagnostic manual.

4.   A temporary control zone around the holding may be established and some or all of the measures provided for in Article 7(2) shall be applied as necessary to the holdings within that zone.
Measures to be applied on holdings where outbreaks are confirmed1.   In case of an outbreak of HPAI, the competent authority shall ensure that the measures provided for in Article 7(2) and (3) and paragraphs 2 to 10 of this Article are applied.

2.   All poultry and other captive birds on the holding shall be killed without delay under official supervision. The killing shall be carried out in such a way as to avoid the risk of spread of avian influenza, in particular during transport.

However, Member States may grant derogations for certain species of poultry or other captive birds not to be killed, on the basis of an assessment of the risk of further spread of avian influenza.

The competent authority may take appropriate measures to limit any possible spread of avian influenza to any wild birds on the holding.

3.   All carcases and eggs on the holding shall be disposed of under official supervision.

4.   Poultry already hatched from eggs collected from the holding during the period between the probable date of introduction of HPAI on the holding and the application of the measures provided for in Article 7(2), shall be placed under official supervision and investigations shall be carried out in accordance with the diagnostic manual.

5.   Meat of poultry slaughtered and eggs collected from the holding during the period between the probable date of introduction of HPAI on the holding and the application of the measures provided for in Article 7(2) shall, wherever possible, be traced and disposed of under official supervision.

6.   All substances and waste likely to be contaminated, such as feed, shall be destroyed or undergo a treatment ensuring the destruction of the avian influenza virus, in accordance with the instructions of the official veterinarian.

7.   However, manure, slurry and bedding likely to be contaminated shall undergo one or more of the procedures provided for in Article 48.

8.   Following the disposal of carcases, the buildings used for housing them, pastures or land, the equipment likely to be contaminated and the vehicles used for transporting the poultry or other captive birds, carcases, meat, feed, manure, slurry, bedding and any other material or substance likely to be contaminated shall undergo one or more of the procedures provided for in Article 48.

9.   Other captive birds or mammals of domestic species shall not enter or leave the holding without the authorisation of the competent authority. That restriction shall not apply to mammals of domestic species which have access only to the living areas for humans.

10.   In the case of a primary outbreak, the virus isolate shall be subjected to the laboratory procedure in accordance with the diagnostic manual to identify the genetic subtype.

That virus isolate shall be submitted to the Community reference laboratory, as provided for in Article 51(1) as soon as possible.
Derogations1.   Member States shall draw up detailed rules for granting derogations, as provided for in Articles 11(2), 13 and 14, including alternative appropriate measures and conditions. Such derogations shall be based on a risk assessment carried out by the competent authority.

2.   Member States shall immediately notify the Commission of any derogation granted in accordance with Article 13(1) and Article 14.

3.   Where a derogation has been granted, as provided for in Article 13(1) and Article 14, the Commission shall immediately review the situation with the Member State concerned and in the Standing Committee on the Food Chain and Animal Health (‘the Committee’) as soon as possible.

4.   Taking account of any derogation granted, as provided for in Article 13(1) and Article 14, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Derogations concerning certain holdings1.   The competent authority may grant derogations from the measures provided for in the first subparagraph of Article 11(2) in cases of an outbreak of HPAI in a non-commercial holding, a circus, a zoo, a pet bird shop, a wild life park, a fenced area where poultry or other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of poultry or other captive birds, provided that such derogations do not endanger disease control.

2.   The competent authority shall ensure that where a derogation is granted, as provided for in paragraph 1, the poultry and other captive birds concerned by the derogation:

(a)

are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)

are subjected to further surveillance and testing in accordance with the diagnostic manual and are not moved until the laboratory tests have indicated that they no longer pose a significant risk of further spread of HPAI; and

(c)

are not moved from their holding of origin, except for slaughter or to another holding:

(i)

located in the same Member State, in accordance with the instructions of the competent authority; or

(ii)

in another Member State, subject to the agreement of the Member State of destination.

3.   The competent authority may grant derogations from the measures provided for in Article 11(5), for eggs to be sent directly to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004.

Any such authorisations shall be subject to the conditions set out in Annex III to this Directive.
Measures to be applied in cases of outbreaks of HPAI in separate production unitsIn cases of an outbreak of HPAI in a holding which consists of two or more separate production units, the competent authority may grant derogations from the measures provided for in the first subparagraph of Article 11(2) for production units containing poultry or other captive birds where no HPAI is suspected, provided that such derogations do not endanger disease control.

Such derogations shall only be granted in respect of two or more separate production units where the official veterinarian, taking account of the structure, size, operation, type of housing, feeding, water source, equipment, staff and visitors to the holding, is satisfied that they are completely independent of other production units in terms of location and day-to-day management of the poultry or other captive birds kept there.
Measures to be applied in contact holdings1.   Based on the epidemiological inquiry, the competent authority shall decide if a holding is to be considered as a contact holding.

The competent authority shall ensure that the measures provided for in Article 7(2) are applied to contact holdings until the presence of HPAI has been excluded in accordance with the diagnostic manual.

2.   Based on the epidemiological inquiry, the competent authority may apply the measures provided for in Article 11 to contact holdings and in particular if the contact holding is located in an area with a high density of poultry.

The main criteria to be considered for the application of the measures provided for in Article 11 in contact holdings are set out in Annex IV.

3.   The competent authority shall ensure that samples are taken from poultry and other captive birds when they are killed in order to confirm or exclude the presence of HPAI virus in those contact holdings in accordance with the diagnostic manual.

4.   The competent authority shall ensure that, on any holding where poultry or other captive birds are killed and disposed of and avian influenza is subsequently confirmed, the buildings and any equipment likely to be contaminated and the vehicles used for transporting the poultry, other captive birds, carcases, meat, feed, manure, slurry, bedding and any other material or substance likely to be contaminated undergo one or more of the procedures provided for in Article 48.
Establishment of protection, surveillance and further restricted zones in cases of outbreaks of HPAI1.   Immediately following an outbreak of HPAI, the competent authority shall establish:

(a)

a protection zone with a radius of at least three kilometres around the holding;

(b)

a surveillance zone with a radius of at least 10 kilometres around the holding, including the protection zone.

2.   If the outbreak of HPAI is confirmed in other captive birds in a non-commercial holding, circus, zoo, pet bird shop, wildlife park, a fenced area where other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of other captive birds that do not contain poultry, the competent authority may, following a risk assessment, derogate to the extent necessary from the provisions of Sections 2 to 4 concerning the establishment of the protection and surveillance zones and the measures to be applied therein, provided that such derogations do not endanger disease control.

3.   When establishing protection and surveillance zones, as provided for in paragraph 1, the competent authority shall take account of the following criteria at least:

(a)

the epidemiological inquiry;

(b)

the geographical situation, particularly natural boundaries;

(c)

the location and proximity of holdings and the estimated number of poultry;

(d)

patterns of movements and trade in poultry, other captive birds;

(e)

the facilities and personnel available to control any movement within the protection and surveillance zones of poultry or other captive birds, their carcases, manure, bedding or used litter, in particular if the poultry or other captive birds to be killed and disposed of have to be moved from their holding of origin.

4.   The competent authority may establish further restricted zones around or adjacent to the protection and surveillance zones, taking account of the criteria provided for in paragraph 3.

5.   If a protection, surveillance or further restricted zone covers the territories of different Member States, the competent authorities of the Member States concerned shall collaborate to establish the zone.
Measures to be applied both in the protection and in the surveillance zones1.   The competent authority shall ensure that the following measures are applied within the protection and surveillance zones:

(a)

arrangements are put in place which permit the tracing of anything likely to spread the avian influenza virus including poultry, other captive birds, meat, eggs, carcases, feed, litter, people who have been in contact with the infected poultry or other captive birds or vehicles with a link to the poultry industry;

(b)

owners are to provide the competent authority, on request, with any relevant information concerning the poultry or other captive birds and eggs entering or leaving the holding.

2.   The competent authority shall take all reasonable steps to ensure that all persons in the protection and surveillance zones affected by the restrictions concerned are fully aware of the restrictions in place.

That information may be conveyed through warning notices, media resources such as the press and television or any other appropriate means.

3.   The competent authority may, where epidemiological information or other evidence indicates, implement a preventive eradication programme, including preventive slaughtering or killing of poultry or other captive birds, in holdings and areas at risk.

4.   Member States applying the measures provided for in paragraph 3 shall immediately inform the Commission thereof, and the Commission shall review the situation with the Member States concerned and in the Committee as soon as possible.
Census and visits by the official veterinarian and surveillanceThe competent authority shall ensure that the following measures are applied in protection zones:

(a)

a census of all the holdings is made as soon as possible;

(b)

all commercial holdings are visited by an official veterinarian as soon as possible for a clinical examination of the poultry and other captive birds and, if necessary, the collection of samples for laboratory tests in accordance with the diagnostic manual; a record of such visits and the findings thereof shall be kept; non-commercial holdings are visited by an official veterinarian before the lifting of the protection zone;

(c)

additional surveillance is immediately implemented in accordance with the diagnostic manual in order to identify any further spread of avian influenza in the holdings located in the protection zone.
Measures to be applied on holdings in protection zonesThe competent authority shall ensure that the following measures are applied on holdings in protection zones:

(a)

all poultry and other captive birds are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised, they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)

carcases are disposed of as soon as possible;

(c)

vehicles and equipment used for transporting live poultry or other captive birds, meat, feed, manure, slurry and bedding and any other material or substances likely to be contaminated, undergo without delay one or more of the procedures provided for in Article 48;

(d)

all parts of vehicles used by staff or other persons which enter or leave holdings and are likely to have become contaminated undergo without delay one or more of the procedures provided for in Article 48;

(e)

no poultry, other captive birds or domestic mammals may enter or leave a holding without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:

(i)

have no contact with resident poultry or other captive birds, and

(ii)

have no access to any cages or areas where such resident poultry or other captive birds are kept;

(f)

any increased morbidity or mortality or significant drop in production data in holdings is immediately reported to the competent authority, which shall carry out appropriate investigations in accordance with the diagnostic manual;

(g)

any person entering or leaving holdings observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(h)

records of all persons visiting holdings, except dwellings, are kept by the owner in order to facilitate disease surveillance and control and must be made available upon request by the competent authority. Such records do not have to be kept where the visitors are to holdings such as zoos and wildlife parks where they have no access to the areas where the birds are kept.
Prohibition on the removal or spreading of used litter, manure or slurry from holdingsThe competent authority shall ensure that the removal or spreading of used litter, manure or slurry from holdings in protection zones are prohibited, unless authorised by it. However, the movement of manure or slurry may be authorised from holdings under biosecurity measures to a designated plant for treatment or for intermediate storage for subsequent treatment to destroy the possible presence of avian influenza viruses in accordance with Regulation (EC) No 1774/2002 or with specific rules which may be adopted in accordance with the procedure referred to in Article 64(2).
Fairs, markets or other gatherings and restocking of gameThe competent authority shall ensure that fairs, markets, shows or other gatherings of poultry or other captive birds are prohibited in protection zones.

The competent authority shall ensure that poultry or other captive birds for restocking of game are not released in protection zones.
Prohibition on the movement and transport of birds, eggs, poultry meat and carcases1.   The competent authority shall ensure that within protection zones, the movement and transport from holdings on to roads, excluding private service roads of holdings, or by rail, of poultry, other captive birds, ready-to-lay poultry, day-old chicks, eggs and carcases are prohibited.

2.   The competent authority shall ensure that the transport of poultry meat from slaughterhouses, cutting plants and cold stores is prohibited unless it has been produced:

(a)

from poultry which has originated from outside the protection zones and has been stored and transported separately from the meat of poultry from within the protection zones; or

(b)

on a date at least 21 days before the estimated date of earliest infection on a holding in the protection zone and which since production has been stored and transported separately from such meat produced after that date.

3.   However, the prohibitions in paragraphs 1 and 2 shall not apply to transit through the protection zone on roads or rail without unloading or stopping.
Derogations for the direct transport of poultry for immediate slaughter and the movement or treatment of poultry meat1.   By way of derogation from Article 22, the competent authority may authorise the direct transport of poultry originating from a holding in the protection zone for immediate slaughter to a designated slaughterhouse subject to the following conditions:

(a)

a clinical examination of the poultry on the holding of origin is carried out by the official veterinarian within 24 hours of being sent for slaughter;

(b)

where appropriate, laboratory tests have been carried out on poultry on the holding of origin in accordance with the diagnostic manual, with favourable results;

(c)

the poultry are transported in vehicles sealed by the competent authority or under its supervision;

(d)

the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry and then confirms the slaughter to the competent authority of dispatch;

(e)

the poultry from the protection zone are kept separately from other poultry and are slaughtered separately or at different times from other poultry, preferably at the end of a working day; subsequent cleansing and disinfection shall be completed before other poultry are slaughtered;

(f)

the official veterinarian shall ensure that a detailed examination of the poultry is carried out at the designated slaughterhouse when the poultry arrive and after they are slaughtered;

(g)

the meat does not enter into intra-Community or international trade and bears the health mark for fresh meat provided for in Annex II to Council Directive 2002/99/EC of 16 December 2002 laying down the animal health rules governing the production, processing, distribution and introduction of products of animal origin for human consumption(15), unless otherwise decided in accordance with the procedure referred to in Article 64(3) of this Directive;

(h)

the meat is obtained, cut, transported and stored separately from meat intended for intra-Community and international trade and is used in such a way as to avoid it being introduced into meat products intended for intra-Community or international trade, unless:

(i)

it has undergone a treatment set out in Annex III to Directive 2002/99/EC; or

(ii)

it is otherwise decided in accordance with the procedure referred to in Article 64(3).

2.   By way of derogation from Article 22, the competent authority may authorise the direct transport of poultry from outside the protection zone for immediate slaughter to a designated slaughterhouse within the protection zone and subsequent movement of the meat derived from such poultry providing that:

(a)

the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry and then confirms the slaughter to the competent authority of dispatch;

(b)

the poultry are kept separate from other poultry originating within the protection zone and are slaughtered separately or at different times from other poultry;

(c)

the poultry meat produced is cut, transported and stored separately from poultry meat obtained from other poultry originating in the protection zone;

(d)

the by-products are disposed of.
Derogations for the direct transport of day-old chicks1.   By way of derogation from Article 22, the competent authority may authorise the direct transport of day-old chicks, originating from holdings within the protection zone to a holding or shed of that holding in the same Member State, preferably located outside the protection and the surveillance zones, subject to the following conditions:

(a)

they are transported in vehicles sealed by the competent authority or under its supervision;

(b)

appropriate biosecurity measures are applied during transport and at the holding of destination;

(c)

the holding of destination is placed under official surveillance following the arrival of the day-old-chicks;

(d)

if moved outside the protection or surveillance zone, the poultry shall remain on the holding of destination for at least 21 days.

2.   By way of derogation from Article 22, the competent authority may authorise the direct transport of day-old chicks, hatched from eggs originating from holdings located outside the protection and surveillance zones, to any other holding in the same Member State, preferably located outside the protection and the surveillance zones, provided that the hatchery of dispatch can ensure by its logistics and by its hygienic working conditions that no contact has occurred between those eggs and any other hatching eggs or day-old chicks originating from poultry flocks within such zones and which are therefore of a different health status.
Derogations for the direct transport of ready to lay poultryBy way of derogation from Article 22, the competent authority may authorise the direct transport of ready-to-lay poultry to a holding or shed of that holding preferably within the protection or the surveillance zone in which there is no other poultry, subject to the following conditions:

(a)

a clinical examination of the poultry and other captive birds in the holding of origin and in particular of those to be moved is carried out by the official veterinarian;

(b)

where appropriate, laboratory tests have been carried out on poultry in the holding of origin in accordance with the diagnostic manual with favourable results;

(c)

the ready-to-lay poultry is transported in vehicles sealed by the competent authority or under its supervision;

(d)

the holding or shed of destination is placed under official surveillance following the arrival of the ready-to-lay poultry;

(e)

if moved outside the protection or surveillance zone, the poultry shall remain on the holding of destination for at least 21 days.
Derogation for the direct transport of hatching and table eggs1.   By way of derogation from Article 22, the competent authority may authorise the direct transport of hatching eggs either from any holding to a hatchery located, in the protection zone and designated by the competent authority (‘the designated hatchery’) or, subject to the following conditions, from a holding located in the protection zone to any designated hatchery:

(a)

the parent flocks from which the hatching eggs are derived have been examined in accordance with the diagnostic manual and avian influenza is not suspected on these holdings;

(b)

the hatching eggs and their packaging are disinfected before dispatch and the tracing back of these eggs can be ensured;

(c)

the hatching eggs are transported in vehicles sealed by the competent authority or under its supervision;

(d)

biosecurity measures are applied in the designated hatchery in accordance with the instructions of the competent authority.

2.   By way of derogation from Article 22, the competent authority may authorise the direct transport of eggs:

(a)

to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(b)

to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or

(c)

for disposal.
Derogation for the direct transport of carcasesBy way of derogation from Article 22, the competent authority may authorise the direct transport of carcases provided that they are transported to be disposed of.
Cleansing and disinfecting of means of transportThe competent authority shall ensure that the vehicles and equipment used for the transport as provided for in Articles 23 to 27 are cleansed and disinfected without delay by one or more of the procedures set down in Article 48 following the transport.
Duration of measures1.   The measures provided for in this Section shall be maintained for at least 21 days following the date of completion of preliminary cleansing and disinfection on the infected holding by one or more of the procedures set down in Article 48 and until holdings located in the protection zone have been tested in accordance with the diagnostic manual.

2.   When the measures referred to in this Section are no longer to be maintained, as provided for in paragraph 1 of this Article, the measures laid down in Article 30 shall apply in the former protection zone, until they are no longer to be applied as provided for in Article 31.
Measures to be applied in the surveillance zonesThe competent authority shall ensure that the following measures are applied in surveillance zones:

(a)

a census of all commercial poultry holdings is made as soon as possible;

(b)

the movement of poultry, ready-to-lay poultry, day-old chicks, eggs within the surveillance zone is prohibited unless authorisation is granted by the competent authority, which ensures that appropriate biosecurity measures are applied to prevent the spread of avian influenza; this prohibition shall not apply to transit thorough the surveillance zone on road or rail without unloading or stopping;

(c)

the movement of poultry, ready-to-lay poultry, day-old chicks and eggs to holdings, slaughterhouses, packing centres or an establishment for the manufacture of egg products located outside the surveillance zone is prohibited; however, the competent authority may authorise the direct transport of:

(i)

poultry for slaughter to a designated slaughterhouse, for the purpose of immediate slaughter subject to Article 23(1), points (a), (b) and (d);

The competent authority may authorise the direct transport of poultry from outside the protection and surveillance zones for immediate slaughter to a designated slaughterhouse within the surveillance zone and the subsequent movement of the meat derived from such poultry;

(ii)

ready-to-lay poultry to a holding in which there is no other poultry in the same Member State; that holding shall be placed under official surveillance following the arrival of the ready-to-lay poultry and the ready-to-lay poultry shall remain on the holding of destination for at least 21 days;

(iii)

day-old chicks:

to a holding or shed of such holding in the same Member State provided that appropriate biosecurity measures are applied and the holding is placed under official surveillance following the transport and day-old chicks shall remain on the holding of destination for at least 21 days, or

if hatched from hatching eggs originating from poultry holdings located outside the protection and surveillance zones, to any other holding, provided that the hatchery of dispatch can ensure by its logistics and biosecurity working conditions that no contact has occurred between these eggs and any other hatching eggs or day-old-chicks originating from poultry flocks within those zones and which are therefore of a different health status;

(iv)

hatching eggs to a designated hatchery located inside or outside the surveillance zone; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;

(v)

table eggs to a designated packing centre, provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(vi)

eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the surveillance zone;

(vii)

eggs for disposal;

(d)

any person entering or leaving holdings in the surveillance zone observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(e)

vehicles and equipment used for transporting live poultry or other captive birds, carcases, feed, manure, slurry and bedding and any other material or substances likely to be contaminated, are cleansed and disinfected without delay after contamination by one or more of the procedures provided for in Article 48;

(f)

no poultry, other captive birds or mammals of domestic species may enter or leave a holding where poultry is kept without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:

(i)

have no contact with resident poultry or other captive birds, and

(ii)

have no access to any cages or areas where such resident poultry or other captive birds are kept;

(g)

any increased morbidity or mortality or significant drop in production data in holdings is immediately reported to the competent authority, which shall carry out appropriate investigations in accordance with the diagnostic manual;

(h)

the removal or spreading of used litter, manure or slurry is prohibited unless authorised by the competent authority; the movement of manure may be authorised from a holding situated in the surveillance zone under biosecurity measures to a designated plant for treatment or for intermediate storage for subsequent treatment to destroy the possible presence of avian influenza viruses, in accordance with Regulation (EC) No 1774/2002 or with specific rules which may be adopted in accordance with the procedure referred to in Article 64(2);

(i)

fairs, markets, shows or other gatherings of poultry or other captive birds are prohibited;

(j)

poultry for restocking of game are not released.
Duration of measuresThe measures provided for in this Section shall be maintained for at least 30 days following the date of completion of preliminary cleansing and disinfection on the infected holding in accordance with Article 48.
Measures to be applied in further restricted zones1.   The competent authority may provide that some or all the measures provided for in Sections 3 and 4 shall apply inside the further restricted zones provided for in Article 16(4) (‘the further restricted zones’).

2.   The competent authority may, where epidemiological information or other evidence indicates, implement a preventive eradication programme, including preventive slaughtering or killing of poultry or other captive birds, in holdings and areas at risk, according to the criteria of Annex IV, located in further restricted zones.

The restocking of those holdings shall take place in accordance with the instructions of the competent authority.

3.   Member States applying the measures provided for in paragraphs 1 and 2 shall immediately inform the Commission thereof.

4.   The Commission shall review the situation with the Member States concerned and in the Committee as soon as possible.

5.   Without prejudice to decisions to be adopted pursuant to Council Decision 90/424/EEC of 26 June 1990 on expenditure in the veterinary field(16), further surveillance, biosecurity and control measures to prevent the spreading of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Derogations1.   Member States shall define the detailed arrangements under which they may grant derogations provided for in Articles 16 and 23 to 27, including alternative appropriate measures and conditions. Such derogations shall be based on a risk assessment carried out by the competent authority.

2.   The competent authority may, based on a risk assessment, grant derogations from the measures provided in Sections 3 and 4 in cases of confirmation of HPAI in a hatchery.

3.   The competent authority may grant derogations from the measures provided for in Article 18, points (b) and (c), Article 22, and in Article 30, points (b), (c) and (f), in cases of an outbreak of HPAI in a non-commercial holding, a circus, a zoo, a wild life park, a fenced area where poultry or other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of poultry or other captive birds.

4.   By way of derogation from Sections 3 and 4, in cases of outbreaks of HPAI Member States may, based on a risk assessment, introduce specific measures on movements of racing pigeons into, from and within the protection and surveillance zones.

5.   The derogations provided for in paragraphs 1 to 4 shall only be granted provided that such derogations do not endanger disease control.

6.   Member States granting derogations provided for in paragraphs 1 to 4 shall immediately inform the Commission thereof.

7.   The Commission shall in all cases review the situation with the Member State concerned and in the Committee as soon as possible.

Taking account of any derogation granted, as provided for in paragraphs 1 to 4, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).

8.   Any poultry (including day-old-chicks), other captive birds, hatching eggs, used litter, manure or slurry which come from a holding that has been granted a derogation under this Article, cannot be marketed outside the Member State concerned unless otherwise decided in accordance with the procedure referred in Article 64(3).
Additional biosecurity measures1.   In order to prevent the spread of avian influenza, the competent authority may, in addition to the measures provided for in Sections 3, 4 and 5, order the implementation of additional biosecurity measures in holdings in the protection and surveillance zones and in the further restricted zones, as well as in poultry compartments and other captive birds compartments in the Member State concerned.

Those measures may include restrictions on movements of vehicles or persons for feed supply, egg collection, the transport to slaughterhouses of poultry, the collection for disposal of carcases and other movements of personnel, veterinarians or persons supplying farm equipment.

2.   Member States which adopt measures, as provided for in paragraph 1, shall immediately inform the Commission thereof.

3.   The Commission shall review the situation with the Member State concerned and in the Committee as soon as possible.

4.   Without prejudice to decisions to be adopted pursuant to Decision 90/424/EEC, further surveillance, biosecurity and control measures to prevent the spread of avian influenza maybe adopted in accordance with the procedure referred to in Article 64(3).
Investigation of suspected presence of HPAI in slaughterhouses and in means of transportWhere there is suspicion or confirmation of the presence of HPAI in slaughterhouses or means of transport, the competent authority shall immediately set in motion an investigation in the holding of origin of the poultry or other captive birds to confirm or exclude its presence in accordance with the diagnostic manual.
Measures to be applied in slaughterhouses1.   Where HPAI is suspected or confirmed in a slaughterhouse, the competent authority shall ensure that, on the basis of a risk assessment, all poultry present in the slaughterhouse is either killed or slaughtered as soon as possible under official supervision.

Where such poultry is slaughtered, the poultry meat and any by-products derived from the poultry and poultry meat and by-products of any other poultry which may have been contaminated during the slaughter and production process, shall be kept separate and under official supervision until investigations in accordance with the diagnostic manual have been completed.

2.   If HPAI is confirmed, the poultry meat and any by-products derived from the poultry and poultry meat and by-products of any other poultry which may have been contaminated during the slaughter and production process shall be disposed of as soon as possible under official supervision.
Measures to be applied in border inspection posts or means of transport1.   Where HPAI is suspected or confirmed in border inspection posts or means of transport, the competent authority shall ensure that, on the basis of a risk assessment, all poultry and other captive birds present in the border inspection post or in the means of transport are killed, slaughtered or placed in isolation away from poultry or other captive birds and kept under official supervision until the investigation is completed in accordance with the diagnostic manual. The competent authority shall apply the measures provided for in Article 7 as appropriate.

The competent authority may authorise the movement of the poultry or other captive birds to another place where they are killed, slaughtered or placed into isolation.

The competent authority may decide not to kill or slaughter those poultry or other captive birds present in the border inspection post that have not been in contact with the poultry or other captive birds suspected of being infected.

2.   Where poultry referred to in paragraph 1 is slaughtered, the poultry meat and any by products derived from those poultry and poultry meat and by-products of any other poultry which may have been contaminated during the slaughter and production process, shall be kept separate and under official supervision until investigations in accordance with the diagnostic manual have been completed.

3.   If HPAI is confirmed, the poultry meat and any by-products derived from those poultry and poultry meat and by-products of any other poultry which may have been contaminated during the slaughter and production process shall be disposed of as soon as possible under official supervision.
Additional measures to be applied to slaughterhouses, border inspection posts or means of transportThe competent authority shall ensure that the following additional measures are applied where HPAI is suspected or confirmed in a slaughterhouse, border inspection post or means of transport:

(a)

no poultry or other captive birds are introduced into the slaughterhouse, the border inspection post or the means of transport until at least 24 hours after the cleansing and disinfection as provided for in point (b) are completed by one or more of the procedures set down in Article 48; in the case of border inspection posts, the prohibition on introduction may be extended to other animals;

(b)

the cleansing and disinfection of contaminated buildings, equipment and vehicles takes place in accordance with one or more of the procedures set down in Article 48 and under the official supervision of the official veterinarian;

(c)

an epidemiological inquiry is carried out;

(d)

the measures provided for in Article 7(2) are applied in the holding of origin of the infected poultry or carcases and in contact holdings;

(e)

unless otherwise indicated by the epidemiological inquiry and the further investigations, as provided for in Article 35, the measures provided for in Article 11 are applied in the holding of origin;

(f)

the avian influenza virus isolate is subjected to the laboratory procedure in order to identify the subtype of the virus, in accordance with the diagnostic manual.
Measures to be applied1.   In case of an outbreak of LPAI, the competent authority shall ensure that the measures provided for in points (a), (b), (c), (e), (g) and (h) of Article 7(2), Article 7(3) and paragraphs 2 to 5 of this Article are applied on the basis of a risk assessment and taking account of at least the criteria set out in Annex V.

2.   The competent authority shall ensure that all poultry on the holding and all other captive birds of the species in which LPAI has been confirmed are depopulated under official supervision in such a way as to prevent the spread of avian influenza.

The depopulation may be extended to other captive birds on the holding based on the assessment of the risk that they pose as regards further spread of avian influenza and to other holdings that may be considered as contact holdings, based on the epidemiological inquiry.

Before depopulation, no poultry or other captive birds shall enter or leave the holding, unless authorised by the competent authority.

3.   For the purpose of paragraph 2, the depopulation shall be carried out in accordance with Directive 93/119/EC and the competent authority shall decide that the poultry or other captive birds are:

(a)

killed as soon as possible, or

(b)

slaughtered in a designated slaughterhouse in accordance with paragraph 4.

When depopulation is by slaughter in a designated slaughterhouse, the poultry shall be subjected to further surveillance and testing.

The poultry shall not be moved from the holding to the designated slaughterhouse until the competent authority, taking account, in particular, of the investigations and the laboratory tests directed at determining the extent of any excretion of the virus by the poultry carried out in accordance with the diagnostic manual and a risk assessment, is satisfied that the risk of further spread of LPAI is minimal.

4.   Slaughter in a designated slaughterhouse in accordance with paragraph 3 may take place only provided that:

(a)

the poultry is sent directly from the holding to the designated slaughterhouse;

(b)

each consignment is sealed before dispatch by the official veterinarian responsible for the holding or under his supervision;

(c)

each consignment remains sealed throughout transport to the designated slaughterhouse;

(d)

further biosecurity measures prescribed by the competent authority are complied with;

(e)

the competent authority responsible for the designated slaughterhouse is informed and agrees to receive the poultry;

(f)

vehicles and equipment used for transporting live poultry and any other material or substances likely to be contaminated are cleansed and disinfected without delay after contamination, by one or more of the procedures set down in Article 48, and

(g)

the by-products of such poultry at the slaughterhouse are disposed of.

5.   The competent authority shall ensure that the following are disposed of under official supervision:

(a)

carcases, and

(b)

hatching eggs on the holding.

6.   The competent authority shall ensure that the following measures are taken:

(a)

hatching eggs collected from the holding during the period between the probable introduction of LPAI into the holding and the taking of the measures provided for in this Directive, are whenever possible traced and hatched under official surveillance;

(b)

poultry already hatched from eggs collected from the holding during the period between the probable introduction of LPAI into the holding and the taking of the measures provided for in this Directive, are whenever possible placed under official surveillance and investigations are carried out in accordance with the diagnostic manual;

(c)

eggs present on the holding and further produced on the holding before depopulation as provided for in paragraph 2, are transported provided that the risk of spread of LPAI is minimised:

(i)

to a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(ii)

to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; or

(iii)

for disposal.

(d)

any material or substance likely to be contaminated are either treated in accordance with the instructions of the official veterinarian or disposed of;

(e)

manure, slurry and bedding likely to be contaminated undergo one or more of the procedures provided for in Article 48;

(f)

after depopulation, the buildings used for housing the poultry or other captive birds, the equipment likely to be contaminated and the vehicles used for transporting carcases, feed, manure, slurry, and bedding or any other material or substance likely to be contaminated undergoes without delay one or more of the procedures provided for in Article 48;

(g)

mammals of domestic species do not enter or leave the holding without the authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:

(i)

have no contact with resident poultry or other captive birds, and

(ii)

have no access to any cages or areas where such resident poultry or other captive birds are kept.

(h)

in the case of a primary outbreak of LPAI, the virus isolate is subjected to the laboratory tests to identify the subtype of virus in accordance with the diagnostic manual; the virus isolate shall be submitted to the Community reference laboratory, as provided for in Article 51(1), as soon as possible.

7.   Member States applying the measures provided for in paragraphs 2, 4 and 5 shall inform the Commission thereof.
Derogations for certain holdings1.   The competent authority may grant derogations from the measures provided for in Article 39(2) and point (b) of Article 39(5) in cases of an outbreak of LPAI in a non commercial holding, a circus, a zoo, a pet bird shop, a wild life park, a fenced area where poultry or other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of poultry or other captive birds, provided that such derogations do not endanger disease control.

2.   The competent authority shall ensure that where a derogation is granted, as provided for in paragraph 1, the poultry or other captive birds concerned by the derogation:

(a)

are brought inside a building on their holding and kept there. Where this is impractical or if their welfare is compromised they are confined in some other place on the same holding such that they do not have contact with other poultry or other captive birds on other holdings. All reasonable steps are taken to minimise their contact with wild birds;

(b)

are subjected to further surveillance and testing in accordance with the diagnostic manual and are not moved until the laboratory tests have indicated that they no longer pose a significant risk of further spread of LPAI; and

(c)

are not moved from their holding of origin, except for slaughter or to another holding:

(i)

located in the same Member State, in accordance with the instructions of the competent authority; or

(ii)

in another Member State, subject to the agreement of the Member State of destination.

3.   The competent authority may in cases of outbreaks of LPAI in hatcheries, based on a risk assessment, grant derogations from some or all of the measures provided for in Article 39.

4.   Member States shall draw up detailed rules for applying the derogations provided for in paragraphs 1 and 3.

5.   Member States shall immediately inform the Commission of any derogation granted in accordance with paragraphs 1 and 3.

6.   The Commission shall review the situation with the Member State concerned and in the Committee as soon as possible.

7.   Taking account of any derogation granted, as provided for in paragraph 1, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Measures to be applied in cases of outbreaks of LPAI in separate production units1.   In cases of an outbreak of LPAI in a holding which consists of two or more separate production units, the competent authority may grant derogations from the measures provided for in Article 39(2), for production units containing healthy poultry provided that such derogations do not endanger disease control.

2.   Member States shall draw up detailed rules for applying the derogations provided for in paragraph 1, taking account of the animal health guarantees which may be obtained and shall provide for alternative appropriate measures.

3.   Member States shall immediately inform the Commission of any derogations granted in accordance with paragraph 1.

4.   The Commission shall review the situation with the Member State concerned and in the Committee as soon as possible.

5.   Taking account of any derogation granted, as provided for in paragraph 1, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Measures to be applied in contact holdings1.   Based on the epidemiological inquiry, the competent authority shall decide if a holding is to be considered as a contact holding.

The competent authority shall ensure that the measures provided for in Article 7(2) are applied to contact holdings until the presence of LPAI has been excluded in accordance with the diagnostic manual.

2.   Based on the epidemiological inquiry, the competent authority may apply the measures provided for in Article 39 to contact holdings and in particular if the contact holding is located in an area with a high density of poultry.

The main criteria to be considered for the application of the measures provided for in Article 39 in contact holdings are set out in Annex IV.

3.   The competent authority shall ensure that samples are taken from the poultry when they are killed in order to confirm or exclude the presence of the LPAI virus in those contact holdings in accordance with the diagnostic manual.

4.   The competent authority shall ensure that, on any holding where poultry or other captive birds are slaughtered or killed and disposed of, and LPAI is subsequently confirmed, the buildings and any pastures used for housing them, farm yards and any equipment likely to be contaminated and the vehicles used for transporting the poultry, other captive birds, carcases, meat, feed, manure, slurry, bedding and any other material or substance likely to be contaminated undergo one or more of the procedures provided for in Article 48.
Establishment of restricted zones in cases of outbreaks of LPAIImmediately following an outbreak of LPAI, the competent authority shall establish a restricted zone with a radius of at least one kilometre around the holding.
Measures to be applied in the restricted zone1.   The competent authority shall ensure that the following measures are applied in the restricted zone:

(a)

a census of all commercial holdings is made as soon as possible;

(b)

laboratory tests are carried out on commercial poultry holdings within a radius of at least one kilometre around the holding in accordance with the diagnostic manual;

(c)

all movements of poultry, other captive birds, ready-to-lay poultry, day old chicks and eggs within or into the restricted zone are subject to authorisation and to other control measures deemed appropriate by the competent authority; this restriction shall not apply to the transit through the restricted zone on road or rail without unloading or stopping;

(d)

the movement of poultry, other captive birds, ready-to-lay poultry, day-old chicks and eggs from the restricted zone are prohibited unless the competent authority authorises the direct transport of:

(i)

poultry for slaughter to a slaughterhouse in the same Member State;

(ii)

live poultry to a holding or shed in the same Member State in which there is no other poultry. The live poultry shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival;

(iii)

day-old chicks:

to a holding or shed of such holding in the same Member State; the day old chicks shall remain there for 21 days and the holding shall be placed under official surveillance following their arrival; or

if hatched from eggs originating from poultry holdings located outside of the restricted zone to any other holding provided that the hatchery can ensure by its logistics and biosecurity working conditions that any contact is excluded with hatching eggs or day-old chicks originating from poultry flocks within the restricted zone and which are therefore of a different health status;

(iv)

hatching eggs to a designated hatchery; the eggs and their packaging shall be disinfected before dispatch and the tracing back of these eggs must be ensured;

(v)

table eggs to a packing centre provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied;

(vi)

eggs to an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004 located inside or outside the restricted zone;

(vii)

eggs for disposal;

(e)

carcases shall be disposed of;

(f)

any person entering or leaving holdings in the restricted zone observes appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(g)

vehicles and equipment used for transporting live poultry or other captive birds, feed, manure, slurry and bedding and any other material or substances likely to be contaminated are cleansed and disinfected without delay after contamination, by one or more of the procedures set down in Article 48;

(h)

no poultry, other captive birds or mammals of domestic species may enter or leave a holding without authorisation of the competent authority. This restriction shall not apply to mammals which have access only to the living areas for humans in which they:

(i)

have no contact with resident poultry or other captive birds, and

(ii)

have no access to any cages or areas where such resident poultry or other captive birds are kept;

(i)

the removal or spreading of used litter, manure or slurry is prohibited, unless authorised by the competent authority; the movement of manure or slurry may be authorised from a holding situated in the restricted zone under biosecurity measures to a designated plant for treatment or for intermediate storage for subsequent treatment to destroy the possible presence of avian influenza viruses in accordance with Regulation (EC) No 1774/2002 or with specific rules which may be adopted in accordance with the procedure referred to in Article 64(2);

(j)

fairs, markets, shows or other gatherings of poultry or other captive birds are prohibited, unless authorised by the competent authority;

(k)

poultry or other captive birds for restocking of game are not released.

2.   The competent authority may, based on a risk assessment, introduce further measures in addition to the measures provided for in this Section and shall inform the Commission thereof.

3.   Further measures may be adopted to prevent the spread of avian influenza in accordance with the procedure referred to in Article 64(3).
Duration of measuresThe measures provided for in this Section shall be maintained:

(a)

at least 21 days following the date of completion of preliminary cleansing and disinfection of the infected holding by one or more of the procedures set down in Article 48, and until the competent authorities, based on the investigations and laboratory tests carried out in the restricted zone in accordance with the diagnostic manual and a risk assessment, consider that the risk of spread of LPAI is negligible;

(b)

at least 42 days following the date of confirmation of the outbreak and until the competent authorities, based on the investigations and laboratory tests carried out in the restricted zone in accordance with the diagnostic manual and a risk assessment, consider that the risk of spread of LPAI is negligible; or

(c)

for any other duration and under conditions to be established in accordance with the procedure referred to in Article 64(3).
Derogations1.   Where LPAI is confirmed in a hatchery, the competent authority may, based on a risk assessment, derogate from some or all of the measures provided for in Articles 43 and 44.

2.   The competent authority may grant derogations from the measures provided for in this Section in cases of an outbreak of LPAI in a non-commercial holding, a circus, a zoo, a pet bird shop, a wild life park, a fenced area where poultry or other captive birds are kept for scientific purposes or purposes related to the conservation of endangered species or officially registered rare breeds of poultry or other captive birds, provided that such derogations do not endanger disease control.

3.   Member States granting the derogation provided for in paragraphs 1 and 2 shall immediately inform the Commission thereof.

4.   The Commission shall review the situation with the Member State concerned and in the Committee as soon as possible.

5.   Taking account of any derogation granted, as provided for in paragraphs 1 and 2, measures to prevent the spread of avian influenza may be adopted in accordance with the procedure referred to in Article 64(3).
Laboratory tests and other measures concerning pigs and other species1.   The competent authority shall ensure that following confirmation of avian influenza on any holding, appropriate laboratory tests, in accordance with the diagnostic manual, are carried out on any pigs present on the holding to confirm or exclude that those pigs are, or have been, infected with the avian influenza virus.

No pigs shall be moved from the holding pending the results of those tests.

2.   Where laboratory tests provided for in paragraph 1 confirm positive findings for avian influenza viruses in pigs, the competent authority may authorise the movement of those pigs to other pig holdings or to designated slaughterhouses, provided that subsequent appropriate tests have shown that the risk of spread of avian influenza is negligible.

3.   The competent authority shall ensure that where laboratory tests provided for in paragraph 1 confirm a serious health threat, the pigs are killed as soon as possible under official supervision and in such a way as to prevent the spread of avian influenza virus, in particular during transport, and in accordance with Directive 93/119/EC.

4.   The competent authority may, following confirmation of avian influenza on any holding, and based on a risk assessment, apply the measures provided for in paragraphs 1, 2 and 3 to any other mammals present on the holding and may extend those measures to contact holdings.

5.   Member States shall inform the Commission within the framework of the Committee of the results of the tests and measures applied pursuant to paragraphs 1 to 4.

6.   The competent authority may, following confirmation of avian influenza virus in pigs or any other mammals on any holding, undertake surveillance in accordance with the diagnostic manual to identify any further spread of avian influenza virus.

7.   Additional measures to prevent the spread of influenza viruses of avian origin to other species, may be adopted in accordance with the procedure referred to in Article 64(3).
Cleansing, disinfection and procedures for eliminating avian influenza virusMember States shall ensure that:

(a)

the cleansing, disinfection and treatment of holdings and any materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses are carried out under official supervision in accordance with:

(i)

the instructions of the official veterinarian; and

(ii)

the principles and procedures for cleansing, disinfecting and treatment set out in Annex VI;

(b)

any land or pastures used by poultry or other captive birds on a holding where avian influenza has been confirmed are not used by poultry or other captive birds until the competent authority is satisfied that any avian influenza virus present has been eliminated or inactivated;

(c)

the cleansing, disinfection and treatment of slaughterhouses, vehicles, trailers or any other means of transport, border inspection posts and any materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses are carried out under official supervision in accordance with the instructions of the official veterinarian;

(d)

any equipment, materials or substances therein which are contaminated or likely to be contaminated with avian influenza viruses and which cannot be effectively cleansed and disinfected or treated are destroyed;

(e)

the disinfectants to be used and their concentrations are authorised by the competent authority.
Re-population of holdings1.   Member States shall ensure that paragraphs 2 to 6 of this Article are complied with, following the application of the measures provided for in Articles 11 and 39.

2.   The re-population of commercial poultry holdings shall not take place for a period of 21 days following the date of completion of the final cleansing and disinfection as provided for in Article 48.

3.   The following measures shall be performed during a period of 21 days following the date of the re-population of the commercial poultry holdings:

(a)

the poultry undergo at least one clinical examination carried out by the official veterinarian. That clinical examination, or if more than one is carried out, the final clinical examination, is undertaken as near as possible to the end of the 21 day period referred to above;

(b)

laboratory tests are carried out in accordance with the diagnostic manual;

(c)

poultry that die during the re-population phase are tested in accordance with the diagnostic manual;

(d)

any person entering or leaving the commercial poultry holding complies with appropriate biosecurity measures aimed at preventing the spread of avian influenza;

(e)

during the re-population phase no poultry leaves the commercial poultry holding without the authorisation of the competent authority;

(f)

the owner keeps a record on the production data, including morbidity and mortality data, which must be updated regularly;

(g)

any significant change in production data, as referred to in point (f), and other abnormalities are immediately reported to the competent authority.

4.   Based on a risk assessment, the competent authority may order that the procedures provided for in paragraph 3 be applied to holdings other than commercial poultry holdings or other species on a commercial poultry holding.

5.   The re-repopulation of poultry in contact holdings shall take place in accordance with the instructions of the competent authority based on a risk assessment.
Diagnostic procedures and diagnostic manual1.   The Member States shall ensure that diagnostic procedures, sampling and laboratory testing to detect the presence of avian influenza in poultry or other captive birds or avian influenza virus in mammals are carried out in accordance with the diagnostic manual in order to ensure uniform procedures for its diagnosis.

That manual shall be adopted in accordance with the procedure referred to in Article 64(2) by 3 August 2006. Any subsequent amendment to the manual shall be adopted in accordance with the same procedure.

2.   The diagnostic manual provided for in paragraph 1 shall establish at least the following:

(a)

minimum biosecurity requirements and quality standards to be observed by approved laboratories carrying out tests for the diagnosis of avian influenza;

(b)

criteria and procedures to be followed when clinical or post-mortem examinations are carried out to confirm or exclude the presence of avian influenza;

(c)

criteria and procedures to be followed for the collection of samples from poultry or other captive birds for laboratory tests to confirm or exclude the presence of avian influenza; including sampling methods for serological or virological screenings carried out in accordance with this Directive;

(d)

laboratory tests to be used for the diagnosis of avian influenza, including:

(i)

tests for the differential diagnosis;

(ii)

tests to distinguish HPAI and LPAI viruses;

(iii)

suitable tests to distinguish between birds vaccinated and those infected with the field strain of avian influenza;

(iv)

criteria for the evaluation of the results of the laboratory tests;

(e)

laboratory techniques for the typing of avian influenza virus isolates.

3.   Member States shall ensure that avian influenza viruses, their genome and antigens, and vaccines for research, diagnosis or manufacture of vaccine shall be manipulated or used only in places, establishments or laboratories approved by the competent authority where the appropriate biosecurity requirements are guaranteed.

The list of approved places, establishments or laboratories shall be transmitted to the Commission by 30 September 2007 and kept up-to-date.
Reference laboratories1.   The laboratory named in Annex VII(1) shall be the Community reference laboratory for avian influenza (hereinafter referred to as ‘the Community reference laboratory’).

Without prejudice to Decision 90/424/EEC, the Community reference laboratory shall carry out the functions and duties listed in Annex VII(2).

2.   Member States shall designate national reference laboratories and communicate to the Commission and other Member States the details thereof and any subsequent changes. The Commission shall publish and update the list of such national reference laboratories.

3.   Member States shall ensure that the national reference laboratories:

(a)

carry out the functions and duties set out in Annex VIII;

(b)

are responsible for co-ordinating standards and methods of diagnosis in each Member State in accordance with Annex VIII and liasing with the Community reference laboratory.

4.   The Community reference laboratory shall maintain close cooperation and contact with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community in order to ensure training, excellence and support to national reference laboratories in Member States and Third Countries.
Manufacture, sale and use of avian influenza vaccines1.   Member States shall ensure that:

(a)

vaccination against avian influenza is prohibited on their territory, except as provided for in Sections 2 and 3;

(b)

the handling, manufacture, storage, supply, distribution and sale of avian influenza vaccines on their territory are carried out under official supervision;

(c)

only vaccines authorised in accordance with Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products(17)or Regulation No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency(18)are used.

2.   Rules relating to the conditions of supply and storage of stocks of avian influenza vaccines in the Community may be adopted in accordance with the procedure referred to in Article 64(2).
Emergency vaccination in poultry or other captive birds1.   A Member state may introduce emergency vaccination in poultry or other captive birds as a short term measure to contain an outbreak when a risk assessment indicates there is a significant and immediate threat of avian influenza spreading within or into the Member State concerned in accordance with this Section where there is one or more of the following:

(a)

an outbreak within that Member State;

(b)

an outbreak in a nearby Member State; or

(c)

where avian influenza has been confirmed in poultry or other captive birds in a nearby third country.

2.   Where a Member State intends to introduce emergency vaccination, as provided for in paragraph 1, it shall submit an emergency vaccination plan to the Commission for its approval.

That plan shall be in accordance with a DIVA strategy and contain at least the following information:

(a)

the disease situation which has led to the application for emergency vaccination;

(b)

the geographical area in which emergency vaccination is to be carried out and the number of holdings in that area and the number of holdings to be vaccinated if different;

(c)

the species and categories of poultry or other captive birds or, if appropriate, the poultry or other captive birds compartment to be vaccinated;

(d)

the approximate number of poultry or other captive birds to be vaccinated;

(e)

the summary of the vaccine characteristics;

(f)

the envisaged duration of the emergency vaccination campaign;

(g)

the specific provisions on the movements of vaccinated poultry or other captive birds which shall be without prejudice to the measures provided for in Sections 3, 4 and 5 of Chapter IV and Section 3 of Chapter V;

(h)

the criteria for deciding if emergency vaccination is to be applied in contact holdings;

(i)

the record keeping and registration of the vaccinated poultry or other captive birds;

(j)

clinical and laboratory tests to be carried out in the holdings where emergency vaccination is to be carried out and in other holdings located in the emergency vaccination area in order to monitor the epidemiological situation, the effectiveness of the emergency vaccination campaign and the control of movements of vaccinated poultry or other captive birds.

3.   Detailed rules for emergency vaccination may be established in accordance with the procedure referred to in Article 64(2).
Approval of emergency vaccination plans1.   The Commission shall immediately examine the emergency vaccination plan, as provided for in Article 53(2), together with the Member State concerned and shall review the situation in the Committee as soon as possible.

2.   The emergency vaccination plan shall be approved in accordance with the procedure referred to in Article 64(3).

The approval of the emergency vaccination plan may include measures restricting the movements of poultry or other captive birds and their products. Those measures may include restrictions concerning specific poultry compartments and other captive birds compartments and the establishment of restricted zones.
Derogations1.   By way of derogation from Article 54, Member States may apply emergency vaccination before approval of the emergency vaccination plan, subject to the following conditions:

(a)

the Commission is notified of the emergency vaccination plan and the decision to apply emergency vaccination before the commencement of the emergency vaccination;

(b)

the Member State concerned prohibits the movement of poultry or other captive birds and their products except under the conditions provided for in Annex IX;

(c)

the decision to apply emergency vaccination does not endanger disease control.

2.   When a Member State applies the derogation provided for in paragraph 1, the disease situation and the emergency vaccination plan shall be reviewed in the Committee as soon as possible.

3.   The measures applied may be approved or changed in accordance with the procedure referred to in Article 64(3).
Preventive vaccination in poultry or other captive birds1.   Member States may introduce preventive vaccination in poultry or other captive birds as a long term measure in accordance with this Section where they deem that on the basis of a risk assessment certain areas of their territory, type of poultry husbandry or certain categories of poultry or other captive birds or the poultry or other captive birds compartments are exposed to the risk of avian influenza.

2.   Where a Member State intends to introduce preventive vaccination, as provided for in paragraph 1, it shall submit a preventive vaccination plan to the Commission for its approval.

That plan shall be in accordance with a DIVA strategy and contain at least the following information:

(a)

a clear description of the reasons for the preventive vaccination, including the disease history;

(b)

the area, type of poultry husbandry or certain categories of poultry or other captive birds or the poultry or other captive birds compartments in which the preventive vaccination is to be carried out and the number of holdings in that area and the number and type of holdings to be vaccinated if different;

(c)

the species and categories of poultry or other captive birds or, if appropriate, the poultry or other captive birds compartment to be vaccinated;

(d)

the approximate number of poultry or other captive birds to be vaccinated;

(e)

a summary of the vaccine characteristics;

(f)

the envisaged duration of the preventive vaccination campaign;

(g)

the specific provisions on the movements of vaccinated poultry or other captive birds which shall be without prejudice to the measures provided for in Sections 3, 4 and 5 of Chapter IV and Section 3 of Chapter V;

(h)

the record keeping and registration of the vaccinated poultry or other captive birds;

(i)

the laboratory tests to be carried out in accordance with the Diagnostic Manual in the holdings where preventive vaccination is to be carried out at the same time as surveillance and testing in an appropriate number of other holdings located in the vaccination area or the poultry or other captive birds compartments in order to monitor the epidemiological situation, the effectiveness of the preventive vaccination campaign and the control of movements of vaccinated poultry or other captive birds.

3.   Detailed rules for preventive vaccination may be established in accordance with the procedure referred to in Article 64(2).
Approval of preventive vaccination plan1.   The Commission shall immediately examine the preventive vaccination plan provided for in Article 56(2), together with the Member State concerned and shall review the situation in the Committee as soon as possible.

2.   The preventive vaccination plan shall be approved in accordance with the procedure referred to in Article 64(3).

The approval of the preventive vaccination plan may include measures restricting the movements of poultry or other captive birds and their products. Those measures may include restrictions concerning specific poultry compartments and other captive birds compartments and the establishment of restricted zones.
Community vaccine bank1.   A Community vaccine bank for the storage of Community reserves of avian influenza vaccines authorised in accordance with Directive 2001/82/EC or Regulation (EC) No 726/2004 may be established in accordance with the procedure referred to in Article 64(2).

2.   Member States shall have access to the Community vaccine bank on request to the Commission.

3.   Where it is in the interest of the Community, the Commission may supply vaccines to third countries.

Without prejudice to agreements concluded between the Community and third countries, the access of third countries to the Community vaccine bank shall be authorised in accordance with the procedure referred to in Article 64(3), subject to detailed arrangements between the Commission and the third country concerned on the financial and technical cooperation to be adopted in accordance with that procedure.
National vaccine banks1.   Member States may, within the framework of the contingency plan provided for in Article 62, establish or maintain a national vaccine bank for storage of reserves of avian influenza vaccines authorised in accordance with Article 5 to Article 15 of Directive 2001/82/EC, to be used for emergency or preventive vaccination.

2.   Member States maintaining a national vaccine bank shall inform the Commission of the quantities and types of the stored vaccines.
Community controlsCommission experts may make on-the-spot checks in cooperation with the competent authority, in so far as it is necessary to ensure uniform application of this Directive in accordance with Commission Decision 98/139/EC of 4 February 1998 laying down certain detailed rules concerning on-the-spot checks carried out in the veterinary field by Commission experts in the Member States(19)and Article 45 of Regulation (EC) No 882/2004 of the European Parliament and of the Council of 29 April 2004 on official controls performed to ensure the verification of compliance with feed and food law, animal health and animal welfare rules(20).
PenaltiesMember States shall lay down the rules on penalties applicable to infringements of national provisions adopted pursuant to this Directive and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive. Member States shall notify the Commission of those provisions by the date specified in the first subparagraph of Article 67(1) and shall notify it without delay of any subsequent amendment affecting them.
Contingency plan1.   Member States shall draw up a contingency plan in accordance with Annex X specifying the national measures to be implemented in the event of an outbreak and submit that plan to the Commission for approval.

2.   The contingency plan shall allow access to facilities, equipment, personnel and all other appropriate materials necessary for the rapid and efficient eradication of the outbreak. It shall give an indication of the number and location of all commercial poultry holdings. The contingency plan should give an indication of the maximum number of poultry, by species, that could be present on these commercial holdings. Member States should also estimate the amount of vaccine that would be needed in the event of emergency vaccination.

3.   Provisions shall be in place for close cooperation between the competent authorities responsible for the different sectors, particularly those in charge of animal health, public health, environmental matters and health and safety of workers, in particular to ensure proper risk communication to farmers, workers in the poultry sector and the public.

4.   The Commission shall examine the contingency plans in order to determine whether they permit the desired objective to be attained and shall suggest to the Member State concerned any amendments required, in particular to ensure that they are compatible with those of the other Member States.

The contingency plans shall be approved in accordance with the procedure referred to in Article 64(2). Any subsequent amendments to that plan shall be adopted in accordance with the same procedure.

5.   Member State shall update the contingency plan at least every five years and submit it to the Commission for approval in accordance with the procedure referred to in Article 64(2).

6.   In addition to the measures provided for paragraphs 1 to 4, further rules to ensure a rapid and efficient eradication of avian influenza, including provisions on disease control centres, expert groups and real-time alert exercises, may be adopted in accordance with the procedure referred to in Article 64(2).
Implementing powers1.   Detailed rules necessary for the implementation of this Directive shall be adopted in accordance with the procedure referred to in Article 64(2) and may include in particular specific rules concerning:

(a)

the disposal of carcases, and

(b)

the movement and treatment of feed, bedding, used litter, manure and slurry contaminated or suspected to be contaminated.

2.   Any amendments to the annexes to take account of scientific and technical progress shall be decided in accordance with the procedure referred to in Article 64(2).

3.   Detailed rules required by the epidemiological situation to supplement the minimum control measures provided for in this Directive shall be adopted in accordance with the procedure referred to in Article 64(3).

4.   Without prejudice to the safeguard measures provided for in Article 9 of Council Directive 89/662/EEC of 11 December 1989 concerning veterinary checks in intra-Community trade with a view to the completion of the internal market(21)or Article 10 of Council Directive 90/425/EEC of 26 June 1990 concerning veterinary and zootechnical checks applicable in intra-Community trade in certain live animals and products with a view to the completion of the internal market(22), temporary emergency measures required due to a serious health threat caused by influenza viruses of avian origin other than those referred to in point 1 of Article 2, shall be adopted in accordance with the procedure referred to in Article 64(3).
Committee procedure1.   The Commission shall be assisted by the Standing Committee on the Food Chain and Animal Health established by Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety(23).

2.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply.

The period laid down in Article 5(6) of that Decision shall be set at 15 days.

4.   The Committee shall adopt its Rules of Procedure.
RepealDirective 92/40/EEC shall be repealed as from 1 July 2007. References to Directive 92/40/EEC shall be construed as references to this Directive and shall be read in accordance with the correlation table set out in Annex XI.
Transitional provisions1.   Contingency plans for the control of avian influenza approved in accordance with Article 17(4) of Directive 92/40/EEC and in force at 1 July 2007 shall continue to apply for the purpose of this Directive.

However, by 30 September 2007 Member States shall submit to the Commission amendments to those contingency plans, to bring them in line with this Directive.

Those amended plans shall be approved in accordance with the procedure referred to in Article 64(2).

2.   Pending the transposition of this Directive, further transitional provisions on the control of avian influenza may be adopted in accordance with the procedure referred to in Article 64(2).
Transposition1.   Member States shall bring into force by 1 July 2007 at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith inform the Commission thereof.

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

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
Entry into forceThis Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
AddresseesThis Directive is addressed to the Member States.
Definition of avian influenzaANNEX I(referred to in Article 2)

 | 1. | ‘avian influenza’ means an infection of poultry or other captive birds caused by any influenza A virus:(a)of the subtypes H5 or H7; or(b)with an intravenous pathogenicity index (IVPI) in six-week old chickens greater than 1.2; | (a) | of the subtypes H5 or H7; or | (b) | with an intravenous pathogenicity index (IVPI) in six-week old chickens greater than 1.2;

(a) | of the subtypes H5 or H7; or

(b) | with an intravenous pathogenicity index (IVPI) in six-week old chickens greater than 1.2;

 | 2. | ‘highly pathogenic avian influenza (HPAI)’ means an infection of poultry or other captive birds caused by:(a)avian influenza viruses of the subtypes H5 or H7 with genome sequences codifying for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease; or(b)avian influenza viruses with an intravenous pathogenicity index in six-week old chickens greater than 1.2;2; | (a) | avian influenza viruses of the subtypes H5 or H7 with genome sequences codifying for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease; or | (b) | avian influenza viruses with an intravenous pathogenicity index in six-week old chickens greater than 1.2;2;

(a) | avian influenza viruses of the subtypes H5 or H7 with genome sequences codifying for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease; or

(b) | avian influenza viruses with an intravenous pathogenicity index in six-week old chickens greater than 1.2;2;

 | 3. | ‘low pathogenic avian influenza (LPAI)’ means an infection of poultry or other captive birds caused by avian influenza viruses of subtypes H5 or H7 that do not come within the definition in paragraph 2.
Notification of disease and further epidemiological information to be provided by Member StatesANNEX II(referred to in Article 5(2))

 | 1. | Within 24 hours of the confirmation of any primary outbreak or detection of avian influenza in a slaughterhouse or means of transport, the Member State concerned shall notify in accordance with the procedure referred to in Article 5 of Directive 82/894/EEC:(a)the date of notification;(b)the time of notification;(c)the name of the Member State concerned;(d)the name of the disease;(e)the number of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;(f)the date on which the disease was first suspected;(g)the date of confirmation;(h)the methods used for confirmation;(i)whether the disease has been confirmed in a holding, slaughterhouse or means of transport;(j)the geographical location of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;(k)the disease control measures applied. | (a) | the date of notification; | (b) | the time of notification; | (c) | the name of the Member State concerned; | (d) | the name of the disease; | (e) | the number of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport; | (f) | the date on which the disease was first suspected; | (g) | the date of confirmation; | (h) | the methods used for confirmation; | (i) | whether the disease has been confirmed in a holding, slaughterhouse or means of transport; | (j) | the geographical location of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport; | (k) | the disease control measures applied.

(a) | the date of notification;

(b) | the time of notification;

(c) | the name of the Member State concerned;

(d) | the name of the disease;

(e) | the number of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;

(f) | the date on which the disease was first suspected;

(g) | the date of confirmation;

(h) | the methods used for confirmation;

(i) | whether the disease has been confirmed in a holding, slaughterhouse or means of transport;

(j) | the geographical location of the outbreak or positive finding of avian influenza in a slaughterhouse or means of transport;

(k) | the disease control measures applied.

 | 2. | In the case of positive findings for avian influenza in slaughterhouses or means of transport, the Member State concerned must forward the following information in addition to the data referred to in paragraph 1:(a)the estimated number, by category, of susceptible poultry or other captive birds in the slaughterhouse or means of transport;(b)the estimated number, by category, of dead poultry or other captive birds in the slaughterhouse or means of transport;(c)for each of the categories of poultry or other captive birds, the identified morbidity and the estimated number of poultry or other captive birds in which avian influenza has been confirmed;(d)the estimated number of poultry or other captive birds killed or slaughtered in the slaughterhouse or means of transport;(e)the estimated number of poultry or other captive birds disposed of;(f)in the case of a slaughterhouse, the distance from the nearest commercial holding containing poultry or other captive birds;(g)the location of the holding or holdings of origin of the infected poultry or carcases. | (a) | the estimated number, by category, of susceptible poultry or other captive birds in the slaughterhouse or means of transport; | (b) | the estimated number, by category, of dead poultry or other captive birds in the slaughterhouse or means of transport; | (c) | for each of the categories of poultry or other captive birds, the identified morbidity and the estimated number of poultry or other captive birds in which avian influenza has been confirmed; | (d) | the estimated number of poultry or other captive birds killed or slaughtered in the slaughterhouse or means of transport; | (e) | the estimated number of poultry or other captive birds disposed of; | (f) | in the case of a slaughterhouse, the distance from the nearest commercial holding containing poultry or other captive birds; | (g) | the location of the holding or holdings of origin of the infected poultry or carcases.

(a) | the estimated number, by category, of susceptible poultry or other captive birds in the slaughterhouse or means of transport;

(b) | the estimated number, by category, of dead poultry or other captive birds in the slaughterhouse or means of transport;

(c) | for each of the categories of poultry or other captive birds, the identified morbidity and the estimated number of poultry or other captive birds in which avian influenza has been confirmed;

(d) | the estimated number of poultry or other captive birds killed or slaughtered in the slaughterhouse or means of transport;

(e) | the estimated number of poultry or other captive birds disposed of;

(f) | in the case of a slaughterhouse, the distance from the nearest commercial holding containing poultry or other captive birds;

(g) | the location of the holding or holdings of origin of the infected poultry or carcases.

 | 3. | In the case of secondary outbreaks, the information referred to in paragraphs 1 and 2 must be forwarded within the time-limits laid down in Article 4(1) of Directive 82/894/EEC.

 | 4. | The Member State concerned shall ensure that the information to be provided in accordance with paragraphs 1, 2 and 3, in relation to any outbreak or positive finding of avian influenza in a slaughterhouse or means of transport is followed as soon as possible by a written report to the Commission and the other Member States including at least:(a)the date on which the poultry or other captive birds on the holding, slaughterhouse or means of transport were killed or slaughtered and their carcases disposed of;(b)any information relating to the possible origin of avian influenza or, if ascertained, its actual origin;(c)information on the control system established to ensure that the measures in place for the control of animal movements are effectively implemented;(d)in the case of detection of avian influenza in a slaughterhouse or means of transport, the genetic type of virus responsible;(e)where poultry or other captive birds have been killed or slaughtered in contact holdings or in holdings containing poultry or other captive birds suspected of being infected with avian influenza virus, information on:(i)the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;(ii)the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;(iii)where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them. | (a) | the date on which the poultry or other captive birds on the holding, slaughterhouse or means of transport were killed or slaughtered and their carcases disposed of; | (b) | any information relating to the possible origin of avian influenza or, if ascertained, its actual origin; | (c) | information on the control system established to ensure that the measures in place for the control of animal movements are effectively implemented; | (d) | in the case of detection of avian influenza in a slaughterhouse or means of transport, the genetic type of virus responsible; | (e) | where poultry or other captive birds have been killed or slaughtered in contact holdings or in holdings containing poultry or other captive birds suspected of being infected with avian influenza virus, information on:(i)the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;(ii)the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;(iii)where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them. | (i) | the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding; | (ii) | the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present; | (iii) | where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

(a) | the date on which the poultry or other captive birds on the holding, slaughterhouse or means of transport were killed or slaughtered and their carcases disposed of;

(b) | any information relating to the possible origin of avian influenza or, if ascertained, its actual origin;

(c) | information on the control system established to ensure that the measures in place for the control of animal movements are effectively implemented;

(d) | in the case of detection of avian influenza in a slaughterhouse or means of transport, the genetic type of virus responsible;

(e) | where poultry or other captive birds have been killed or slaughtered in contact holdings or in holdings containing poultry or other captive birds suspected of being infected with avian influenza virus, information on:(i)the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;(ii)the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;(iii)where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them. | (i) | the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding; | (ii) | the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present; | (iii) | where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

(i) | the date of killing or slaughtering and the estimated number of poultry or other captive birds of each category killed or slaughtered in each holding;

(ii) | the epidemiological link between the source of infection and each contact holding or the other reasons that have given rise to the suspicion that avian influenza is present;

(iii) | where poultry or other captive birds in contact holdings have not been killed or slaughtered, information must be provided concerning the reasons for the decision not to kill or slaughter them.

 | 5. | In the case of confirmation of avian influenza in live poultry, other captive birds or poultry products being imported or introduced at Community borders, in border inspection posts or in quarantine facilities or centres operating in accordance with Community legislation on imports, the competent authority must notify this confirmation to the Commission without delay and report on the measures taken.

 | 6. | The Commission and the other Member States must be notified within 24 hours where a serious threat to health is identified as a result of any surveillance.
Authorisation to remove eggs from a holding in accordance with Article 8(3) and Article 13(3)ANNEX III(referred to in Articles 8(3) and 13(3))The competent authority may authorise the transport of eggs from a holding subject to the provisions of Article 8(3) and Article 13(3) of this Directive to an establishment approved for the manufacture of egg products in accordance with Regulation (EC) No 853/2004 (‘the designated establishment’), subject to the following conditions:
1. | in order to be allowed to be removed from the holding of origin, the eggs must be sent directly from the suspected holding to the designated establishment; each consignment must be sealed before dispatch by the official veterinarian responsible for the suspected holding or under his supervision and must remain sealed throughout transport to the designated establishment;

2. | the official veterinarian responsible for the holding of origin of the eggs shall inform the competent authority of the designated establishment of the intention to send the eggs to it;

3. | the competent authority responsible for the designated establishment shall ensure that:(a)the eggs referred to in paragraph 1 are kept isolated from other eggs from the time they arrive until they are processed;(b)the shells of such eggs are disposed of;(c)the packaging used for the eggs is either destroyed or cleansed and disinfected in such a way as to destroy all avian influenza viruses;(d)the eggs referred to in paragraph 1 are transported in cleansed and disinfected vehicles. Biosecurity measures are applied to staff and equipment and vehicles involved in the transport of the eggs. | (a) | the eggs referred to in paragraph 1 are kept isolated from other eggs from the time they arrive until they are processed; | (b) | the shells of such eggs are disposed of; | (c) | the packaging used for the eggs is either destroyed or cleansed and disinfected in such a way as to destroy all avian influenza viruses; | (d) | the eggs referred to in paragraph 1 are transported in cleansed and disinfected vehicles. Biosecurity measures are applied to staff and equipment and vehicles involved in the transport of the eggs.

(a) | the eggs referred to in paragraph 1 are kept isolated from other eggs from the time they arrive until they are processed;

(b) | the shells of such eggs are disposed of;

(c) | the packaging used for the eggs is either destroyed or cleansed and disinfected in such a way as to destroy all avian influenza viruses;

(d) | the eggs referred to in paragraph 1 are transported in cleansed and disinfected vehicles. Biosecurity measures are applied to staff and equipment and vehicles involved in the transport of the eggs.
ANNEX IV(referred to in Article 15(2), Article 32(2) and Article 42(2))Main criteria and risk factors to be considered for the Decision to apply measures in contact holdings or holdings and areas at risk in the further restricted zones

Indicative criteria

For depopulation | Against depopulation

Clinical signs suggesting avian influenza in contact holdings | No clinical signs suggesting avian influenza on the contact holdings and no epidemiological link

High susceptibility of predominant poultry species | Low susceptibility of predominant poultry species

Movement of poultry or other captive birds from holdings where avian influenza has been confirmed to contact holdings after the likely time of introduction of virus on to those infected holdings | No known movement of poultry or other captive birds from the holdings where avian influenza has been confirmed to contact holdings after the likely time of introduction of virus on to those infected holdings

Location of contact holdings in an area with a high density of poultry | Location of contact holdings in an area with a low density of poultry

Disease has been present for some time with likely spreading of virus from the holdings where avian influenza has been confirmed before application of eradication measures | Disease present but with limited spreading of virus from the holdings where avian influenza has been confirmed before application of eradication measures

Location of contact holdings within 500 metres(1)of the holdings where avian influenza has been confirmed | Location of contact holdings more than 500 metres(1)from the holdings where avian influenza has been confirmed

The contact holdings are linked to more than one holding where avian influenza has been confirmed | The contact holdings are not linked to holdings where avian influenza has been confirmed

The epidemic is not under control and the number of holdings where avian influenza has been confirmed is rising | The epidemic is under control

(1)  In cases where poultry density is very high, a greater distance must be considered.
Criteria for the Decision to apply measures to holdings in relation to LPAIANNEX V(referred to in Article 39(1))When deciding on the movement of poultry or eggs and on depopulation of holdings in accordance with Article 39(1) the competent authority shall consider the following criteria at least:
(a) | species in question;

(b) | number of holdings in the area around the holding of dispatch;

(c) | location of designated slaughterhouses, hatcheries and packing centres;

(d) | biosecurity measures applied in holdings, poultry or other captive bird compartments, during transport and during slaughter;

(e) | transport route;

(f) | evidence of spread;

(g) | public health risk, if any;

(h) | further treatments of the products in question;

(i) | socio-economic and other impacts.
Principles and procedures for cleansing, disinfection and treatment of holdingsANNEX VI(referred to in Article 48)

 | 1. | The following general principles and procedures shall be applied for the cleansing, disinfection and treatment provided for in Article 48:(a)the cleansing and disinfection and, where necessary, the measures to destroy rodents and insects must be carried out under official supervision and in accordance with the instructions given by the official veterinarian;(b)the disinfectants to be used and their concentrations must be authorised by the competent authority to ensure the destruction of avian influenza virus;(c)disinfectants should either be used in accordance with the recommendations of the manufacturer where provided or in accordance with the instructions of the official veterinarian and/or the instructions of the competent authority, if any;(d)the choice of disinfectants and of procedures for disinfection must be made taking into account the nature of the holdings, vehicles and objects which are to be treated;(e)the conditions under which degreasing agents and disinfectants are used must ensure that their efficacy is not impaired; in particular, technical parameters indicated by the manufacturer, such as pressure, minimum temperature and required contact time must be observed;(f)irrespective of the disinfectant used, the following general rules shall be applied:(i)a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;(ii)washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;(iii)then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;(g)where washing is carried out with liquids applied under pressure, re-contamination of the previously cleansed parts must be avoided;(h)washing, disinfecting or destroying of equipment, installations, articles or anything likely to be contaminated must be envisaged;(i)following disinfection procedures, re-contamination must be avoided;(j)cleansing and disinfection as required in the framework of this Directive must be documented in the holding or vehicle register and, where official approval is required, be certified by the supervising official veterinarian or person under his supervision;(k)cleansing and disinfection of vehicles used for transport and by staff. | (a) | the cleansing and disinfection and, where necessary, the measures to destroy rodents and insects must be carried out under official supervision and in accordance with the instructions given by the official veterinarian; | (b) | the disinfectants to be used and their concentrations must be authorised by the competent authority to ensure the destruction of avian influenza virus; | (c) | disinfectants should either be used in accordance with the recommendations of the manufacturer where provided or in accordance with the instructions of the official veterinarian and/or the instructions of the competent authority, if any; | (d) | the choice of disinfectants and of procedures for disinfection must be made taking into account the nature of the holdings, vehicles and objects which are to be treated; | (e) | the conditions under which degreasing agents and disinfectants are used must ensure that their efficacy is not impaired; in particular, technical parameters indicated by the manufacturer, such as pressure, minimum temperature and required contact time must be observed; | (f) | irrespective of the disinfectant used, the following general rules shall be applied:(i)a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;(ii)washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;(iii)then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations; | (i) | a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant; | (ii) | washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures; | (iii) | then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations; | (g) | where washing is carried out with liquids applied under pressure, re-contamination of the previously cleansed parts must be avoided; | (h) | washing, disinfecting or destroying of equipment, installations, articles or anything likely to be contaminated must be envisaged; | (i) | following disinfection procedures, re-contamination must be avoided; | (j) | cleansing and disinfection as required in the framework of this Directive must be documented in the holding or vehicle register and, where official approval is required, be certified by the supervising official veterinarian or person under his supervision; | (k) | cleansing and disinfection of vehicles used for transport and by staff.

(a) | the cleansing and disinfection and, where necessary, the measures to destroy rodents and insects must be carried out under official supervision and in accordance with the instructions given by the official veterinarian;

(b) | the disinfectants to be used and their concentrations must be authorised by the competent authority to ensure the destruction of avian influenza virus;

(c) | disinfectants should either be used in accordance with the recommendations of the manufacturer where provided or in accordance with the instructions of the official veterinarian and/or the instructions of the competent authority, if any;

(d) | the choice of disinfectants and of procedures for disinfection must be made taking into account the nature of the holdings, vehicles and objects which are to be treated;

(e) | the conditions under which degreasing agents and disinfectants are used must ensure that their efficacy is not impaired; in particular, technical parameters indicated by the manufacturer, such as pressure, minimum temperature and required contact time must be observed;

(f) | irrespective of the disinfectant used, the following general rules shall be applied:(i)a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;(ii)washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;(iii)then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations; | (i) | a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant; | (ii) | washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures; | (iii) | then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;

(i) | a thorough soaking of bedding and litter, as well as faecal matter, with the disinfectant;

(ii) | washing and cleansing by careful brushing and scrubbing of the ground, floors, ramps and walls following the removal or dismantling, where possible, of equipment or installations otherwise impairing the effective cleansing and disinfection procedures;

(iii) | then, further application of disinfectant for a minimum contact time as stipulated in the manufacturer’s recommendations;

(g) | where washing is carried out with liquids applied under pressure, re-contamination of the previously cleansed parts must be avoided;

(h) | washing, disinfecting or destroying of equipment, installations, articles or anything likely to be contaminated must be envisaged;

(i) | following disinfection procedures, re-contamination must be avoided;

(j) | cleansing and disinfection as required in the framework of this Directive must be documented in the holding or vehicle register and, where official approval is required, be certified by the supervising official veterinarian or person under his supervision;

(k) | cleansing and disinfection of vehicles used for transport and by staff.

 | 2. | Cleansing and disinfection of infected holdings shall be carried out in accordance with the following principles and procedures:(a)preliminary cleansing and disinfection:(i)during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;(ii)carcases of killed poultry or other captive birds must be sprayed with disinfectant;(iii)any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;(iv)as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;(v)any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;(vi)the disinfectant must remain on the surface for at least 24 hours;(b)final cleansing and disinfection:(i)manure and used bedding must be removed and treated as provided in paragraph 3(a);(ii)grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;(iii)after washing with cold water, further spraying with disinfectant must be applied;(iv)after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water. | (a) | preliminary cleansing and disinfection:(i)during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;(ii)carcases of killed poultry or other captive birds must be sprayed with disinfectant;(iii)any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;(iv)as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;(v)any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;(vi)the disinfectant must remain on the surface for at least 24 hours; | (i) | during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation; | (ii) | carcases of killed poultry or other captive birds must be sprayed with disinfectant; | (iii) | any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus; | (iv) | as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48; | (v) | any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds; | (vi) | the disinfectant must remain on the surface for at least 24 hours; | (b) | final cleansing and disinfection:(i)manure and used bedding must be removed and treated as provided in paragraph 3(a);(ii)grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;(iii)after washing with cold water, further spraying with disinfectant must be applied;(iv)after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water. | (i) | manure and used bedding must be removed and treated as provided in paragraph 3(a); | (ii) | grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water; | (iii) | after washing with cold water, further spraying with disinfectant must be applied; | (iv) | after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

(a) | preliminary cleansing and disinfection:(i)during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;(ii)carcases of killed poultry or other captive birds must be sprayed with disinfectant;(iii)any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;(iv)as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;(v)any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;(vi)the disinfectant must remain on the surface for at least 24 hours; | (i) | during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation; | (ii) | carcases of killed poultry or other captive birds must be sprayed with disinfectant; | (iii) | any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus; | (iv) | as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48; | (v) | any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds; | (vi) | the disinfectant must remain on the surface for at least 24 hours;

(i) | during the killing of the poultry or other captive birds all necessary measures must be taken to avoid or minimise the dispersion of avian influenza virus; those measures must include the installation of temporary disinfection equipment, supply of protective clothing, showers, decontamination of used equipment, instruments and facilities and the interruption of power supply to the ventilation;

(ii) | carcases of killed poultry or other captive birds must be sprayed with disinfectant;

(iii) | any transport of carcases of poultry or other captive birds which have to be removed from the holding for disposal shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus;

(iv) | as soon as the killed poultry or other captive birds have been removed to be disposed of, those parts of the holding in which they were housed and any parts of other buildings, yards etc. contaminated during the killing, or the post-mortem examination must be sprayed with disinfectants authorised in accordance with Article 48;

(v) | any tissue or blood spilled during the killing or from the post-mortem examinations must be carefully collected and disposed of with the killed poultry or other captive birds;

(vi) | the disinfectant must remain on the surface for at least 24 hours;

(b) | final cleansing and disinfection:(i)manure and used bedding must be removed and treated as provided in paragraph 3(a);(ii)grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;(iii)after washing with cold water, further spraying with disinfectant must be applied;(iv)after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water. | (i) | manure and used bedding must be removed and treated as provided in paragraph 3(a); | (ii) | grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water; | (iii) | after washing with cold water, further spraying with disinfectant must be applied; | (iv) | after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

(i) | manure and used bedding must be removed and treated as provided in paragraph 3(a);

(ii) | grease and dirt must be removed from all surfaces by the application of a degreasing agent, and the surfaces cleansed with water;

(iii) | after washing with cold water, further spraying with disinfectant must be applied;

(iv) | after seven days the holding must be treated with a degreasing agent, rinsed with water, sprayed with disinfectant and rinsed again with water.

 | 3. | Disinfection of contaminated bedding, manure and slurry shall be carried out in accordance with the following principles and procedures:(a)manure and used bedding shall either:(i)undergo a steam treatment at a temperature of at least 70 °C;(ii)be destroyed by burning;(iii)be buried deep enough to prevent access by wild birds and other animals; or(iv)be stacked to heat, sprayed with disinfectant and left for at least 42 days;(b)slurry must be stored for at least 60 days after the last addition of infectious material, unless the competent authorities authorises a reduced storage period for slurry which has been effectively treated in accordance with the instructions of the official veterinarian so as to ensure the destruction of the virus.The competent authority may authorise the transportation of manure, litter and bedding likely to be contaminated to either an approved treatment plant where a treatment ensuring the destruction of any influenza virus is carried out, or for intermediate storage before destruction or treatment, in accordance with Regulation (EC) No 1774/2002 or with the specific rules referred to in Article 63(1) of this Directive. Such transport shall be carried out in closed, leak proof vehicles or containers under official supervision in such a way as to prevent the spread of avian influenza virus. | (a) | manure and used bedding shall either:(i)undergo a steam treatment at a temperature of at least 70 °C;(ii)be destroyed by burning;(iii)be buried deep enough to prevent access by wild birds and other animals; or(iv)be stacked to heat, sprayed with disinfectant and left for at least 42 days; | (i) | undergo a steam treatment at a temperature of at least 70 °C; | (ii) | be destroyed by burning; | (iii) | be buried deep enough to prevent access by wild birds and other animals; or | (iv) | be stacked to heat, sprayed with disinfectant and left for at least 42 days; | (b) | slurry must be stored for at least 60 days after the last addition of infectious material, unless the competent authorities authorises a reduced storage period for slurry which has been effectively treated in accordance with the instructions of the official veterinarian so as to ensure the destruction of the virus.

(a) | manure and used bedding shall either:(i)undergo a steam treatment at a temperature of at least 70 °C;(ii)be destroyed by burning;(iii)be buried deep enough to prevent access by wild birds and other animals; or(iv)be stacked to heat, sprayed with disinfectant and left for at least 42 days; | (i) | undergo a steam treatment at a temperature of at least 70 °C; | (ii) | be destroyed by burning; | (iii) | be buried deep enough to prevent access by wild birds and other animals; or | (iv) | be stacked to heat, sprayed with disinfectant and left for at least 42 days;

(i) | undergo a steam treatment at a temperature of at least 70 °C;

(ii) | be destroyed by burning;

(iii) | be buried deep enough to prevent access by wild birds and other animals; or

(iv) | be stacked to heat, sprayed with disinfectant and left for at least 42 days;

(b) | slurry must be stored for at least 60 days after the last addition of infectious material, unless the competent authorities authorises a reduced storage period for slurry which has been effectively treated in accordance with the instructions of the official veterinarian so as to ensure the destruction of the virus.

 | 4. | However, by way of derogation from paragraphs 1 and 2, the competent authority may establish specific procedures for cleansing and disinfection, taking into account the type of holding and the climatic conditions. The competent authority shall notify the Commission when this derogation is applied and provide them with details of the specific procedures.

 | 5. | Without prejudice to Article 48(b), if the competent authority is satisfied that any holding or part of any holding cannot, for any reason, be cleansed and disinfected, it may prohibit the entry of any person, vehicle, poultry, other captive bird or mammal of domestic species or any thing on to those holdings, or part of those holdings, and such prohibition shall remain in force for a minimum of 12 months.
Community reference laboratory for avian influenzaANNEX VII(referred to in Article 51(1))

 | 1. | The Community reference laboratory for avian influenza is:Veterinary Laboratories Agency (VLA), New Haw, Weybridge, Surrey KT 15 3NB, United Kingdom.

 | 2. | The functions and duties of the Community reference laboratory shall be:(a)to coordinate, in consultation with the Commission, the methods employed in the Member States for diagnosing avian influenza, specifically by;(i)typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;(ii)supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;(iii)building up and retaining a collection of avian influenza virus strains and isolates;(iv)organising periodical comparative tests of diagnostic procedures at Community level;(v)collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;(vi)characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;(vii)keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;(viii)retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;(ix)acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;(b)to assist actively in the diagnosis of outbreaks in the Community by receiving isolates of influenza viruses of avian origin for confirmatory diagnosis, characterisation and epidemiological studies and to obtain virus isolates from primary outbreaks to be submitted from third countries authorised for the importation of live poultry and meat into the Community pursuant to the relevant Community legislation; on the virus isolates received, the Community reference laboratory shall in particular carry out the following:(i)nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;(ii)determination of the intravenous pathogenicity index (IVPI);(iii)antigenic typing;(iv)phylogenetic analysis to assist in epidemiological investigations;(c)to facilitate the training or retraining of experts in laboratory diagnosis with a view to the harmonisation of techniques throughout the Community;(d)to prepare the programme and working documents for the Annual Meeting of National Reference Laboratories;(e)to assist in the conduct of avian influenza surveys in poultry and wild birds to be carried out in the Member States by supplying antigens in the framework of the programme and the approved testing procedures and prepare a summary report on the results of the surveys;(f)to keep under review the possible zoonotic impact arising from avian influenza viruses and collaborate with internationally recognised human influenza laboratories;(g)to develop, in consultation with the Commission, a crisis and contingency plan which shall include provision for the cooperation with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community. | (a) | to coordinate, in consultation with the Commission, the methods employed in the Member States for diagnosing avian influenza, specifically by;(i)typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;(ii)supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;(iii)building up and retaining a collection of avian influenza virus strains and isolates;(iv)organising periodical comparative tests of diagnostic procedures at Community level;(v)collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;(vi)characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;(vii)keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;(viii)retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;(ix)acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza; | (i) | typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera; | (ii) | supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States; | (iii) | building up and retaining a collection of avian influenza virus strains and isolates; | (iv) | organising periodical comparative tests of diagnostic procedures at Community level; | (v) | collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community; | (vi) | characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains; | (vii) | keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide; | (viii) | retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis; | (ix) | acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza; | (b) | to assist actively in the diagnosis of outbreaks in the Community by receiving isolates of influenza viruses of avian origin for confirmatory diagnosis, characterisation and epidemiological studies and to obtain virus isolates from primary outbreaks to be submitted from third countries authorised for the importation of live poultry and meat into the Community pursuant to the relevant Community legislation; on the virus isolates received, the Community reference laboratory shall in particular carry out the following:(i)nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;(ii)determination of the intravenous pathogenicity index (IVPI);(iii)antigenic typing;(iv)phylogenetic analysis to assist in epidemiological investigations; | (i) | nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule; | (ii) | determination of the intravenous pathogenicity index (IVPI); | (iii) | antigenic typing; | (iv) | phylogenetic analysis to assist in epidemiological investigations; | (c) | to facilitate the training or retraining of experts in laboratory diagnosis with a view to the harmonisation of techniques throughout the Community; | (d) | to prepare the programme and working documents for the Annual Meeting of National Reference Laboratories; | (e) | to assist in the conduct of avian influenza surveys in poultry and wild birds to be carried out in the Member States by supplying antigens in the framework of the programme and the approved testing procedures and prepare a summary report on the results of the surveys; | (f) | to keep under review the possible zoonotic impact arising from avian influenza viruses and collaborate with internationally recognised human influenza laboratories; | (g) | to develop, in consultation with the Commission, a crisis and contingency plan which shall include provision for the cooperation with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community.

(a) | to coordinate, in consultation with the Commission, the methods employed in the Member States for diagnosing avian influenza, specifically by;(i)typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;(ii)supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;(iii)building up and retaining a collection of avian influenza virus strains and isolates;(iv)organising periodical comparative tests of diagnostic procedures at Community level;(v)collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;(vi)characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;(vii)keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;(viii)retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;(ix)acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza; | (i) | typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera; | (ii) | supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States; | (iii) | building up and retaining a collection of avian influenza virus strains and isolates; | (iv) | organising periodical comparative tests of diagnostic procedures at Community level; | (v) | collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community; | (vi) | characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains; | (vii) | keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide; | (viii) | retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis; | (ix) | acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;

(i) | typing, storing and supplying strains of avian influenza virus for serological tests and the preparation of antisera;

(ii) | supplying standard sera and other reference reagents to the national reference laboratories in order to standardise the tests and reagents used in the Member States;

(iii) | building up and retaining a collection of avian influenza virus strains and isolates;

(iv) | organising periodical comparative tests of diagnostic procedures at Community level;

(v) | collecting and collating data and information on the methods of diagnosis used and the results of tests carried out in the Community;

(vi) | characterising isolates of avian influenza viruses by the most up-to-date methods available to allow greater understanding of the epidemiology of avian influenza and to gain an insight into the epidemiology of the virus and the emergence of highly pathogenic and potentially pathogenic strains;

(vii) | keeping abreast of developments in avian influenza surveillance, epidemiology and prevention worldwide;

(viii) | retaining expertise on avian influenza virus and other pertinent viruses to enable rapid differential diagnosis;

(ix) | acquiring a knowledge of the preparation and use of the products of veterinary immunology used to control avian influenza;

(b) | to assist actively in the diagnosis of outbreaks in the Community by receiving isolates of influenza viruses of avian origin for confirmatory diagnosis, characterisation and epidemiological studies and to obtain virus isolates from primary outbreaks to be submitted from third countries authorised for the importation of live poultry and meat into the Community pursuant to the relevant Community legislation; on the virus isolates received, the Community reference laboratory shall in particular carry out the following:(i)nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;(ii)determination of the intravenous pathogenicity index (IVPI);(iii)antigenic typing;(iv)phylogenetic analysis to assist in epidemiological investigations; | (i) | nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule; | (ii) | determination of the intravenous pathogenicity index (IVPI); | (iii) | antigenic typing; | (iv) | phylogenetic analysis to assist in epidemiological investigations;

(i) | nucleotide sequencing analysis to allow determination of the deduced amino acid sequence at the cleavage site of the haemagglutinin molecule;

(ii) | determination of the intravenous pathogenicity index (IVPI);

(iii) | antigenic typing;

(iv) | phylogenetic analysis to assist in epidemiological investigations;

(c) | to facilitate the training or retraining of experts in laboratory diagnosis with a view to the harmonisation of techniques throughout the Community;

(d) | to prepare the programme and working documents for the Annual Meeting of National Reference Laboratories;

(e) | to assist in the conduct of avian influenza surveys in poultry and wild birds to be carried out in the Member States by supplying antigens in the framework of the programme and the approved testing procedures and prepare a summary report on the results of the surveys;

(f) | to keep under review the possible zoonotic impact arising from avian influenza viruses and collaborate with internationally recognised human influenza laboratories;

(g) | to develop, in consultation with the Commission, a crisis and contingency plan which shall include provision for the cooperation with the OIE and FAO reference laboratory for avian influenza and, as appropriate, with other internationally recognised laboratories within the Community.
Function and duties of the national reference laboratoriesANNEX VIII(referred to in Article 51(3))

 | 1. | The national reference laboratories shall be responsible for ensuring that in each Member State the laboratory testing to detect the presence of avian influenza and the identification of the genetic type of virus isolates are carried out in accordance with the diagnostic manual. For that purpose, they may make special agreements with the Community reference laboratory or with other national laboratories.

 | 2. | The national reference laboratories shall submit isolates of influenza virus of avian origin to the Community reference laboratory without delay for full characterisation:(a)from all primary outbreaks of avian influenza;(b)in case of secondary outbreaks, from representative number of outbreaks;(c)in case of detection of influenza viruses other than those referred to in Annex I(1) in poultry, other captive birds or mammals posing a serious threat to health. | (a) | from all primary outbreaks of avian influenza; | (b) | in case of secondary outbreaks, from representative number of outbreaks; | (c) | in case of detection of influenza viruses other than those referred to in Annex I(1) in poultry, other captive birds or mammals posing a serious threat to health.

(a) | from all primary outbreaks of avian influenza;

(b) | in case of secondary outbreaks, from representative number of outbreaks;

(c) | in case of detection of influenza viruses other than those referred to in Annex I(1) in poultry, other captive birds or mammals posing a serious threat to health.

 | 3. | The national reference laboratory in each Member State shall be responsible for coordinating the standards and diagnostic methods in each avian influenza diagnostic laboratory within that Member State. For that purpose:(a)it may provide individual laboratories with diagnostic reagents;(b)it shall control the quality of all diagnostic reagents used in that Member State;(c)it shall arrange comparative tests periodically;(d)it shall hold isolates of avian influenza virus from outbreaks and of any other influenza viruses of avian origin detected in that Member State;(e)it shall collaborate with the national human influenza laboratories. | (a) | it may provide individual laboratories with diagnostic reagents; | (b) | it shall control the quality of all diagnostic reagents used in that Member State; | (c) | it shall arrange comparative tests periodically; | (d) | it shall hold isolates of avian influenza virus from outbreaks and of any other influenza viruses of avian origin detected in that Member State; | (e) | it shall collaborate with the national human influenza laboratories.

(a) | it may provide individual laboratories with diagnostic reagents;

(b) | it shall control the quality of all diagnostic reagents used in that Member State;

(c) | it shall arrange comparative tests periodically;

(d) | it shall hold isolates of avian influenza virus from outbreaks and of any other influenza viruses of avian origin detected in that Member State;

(e) | it shall collaborate with the national human influenza laboratories.
Requirements for movements of poultry or other captive birds and poultry products applicable in relation to emergency vaccinationANNEX IX(referred in Article 55(1) point (b))

 | 1. | Member States shall ensure that movement controls on poultry or other captive birds vaccinated in accordance with Article 55 and on their products are applied as set out in paragraphs 3 to 8 in accordance with the diagnostic manual.

 | 2. | Any vehicles or means of transport and equipment used for transporting live poultry or other captive birds, eggs or poultry meat within the context of this Annex shall undergo one or more of the cleansing, disinfection or treatment procedures provided for in Article 48 without delay after it has been used.

 | 3. | The following provisions shall apply to the movements of live poultry or other captive birds and eggs within the vaccination area:(a)hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;(b)eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;(c)day-old chicks shall:(i)originate from hatching eggs satisfying the conditions set out in (a);(ii)be placed in a poultry house or shed where there is no resident poultry;(d)live poultry or other captive birds shall:(i)have been vaccinated against avian influenza, if provided for in the vaccination programme;(ii)have been examined, with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry house or shed where there is no resident poultry;(e)poultry for slaughter shall:(i)be examined with favourable results before loading in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter. | (a) | hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery; | (i) | originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual; | (ii) | have been disinfected before dispatch in accordance with a method approved by the competent authority; | (iii) | be transported directly to the hatchery of destination; | (iv) | be traceable within the hatchery; | (b) | eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or | (ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (c) | day-old chicks shall:(i)originate from hatching eggs satisfying the conditions set out in (a);(ii)be placed in a poultry house or shed where there is no resident poultry; | (i) | originate from hatching eggs satisfying the conditions set out in (a); | (ii) | be placed in a poultry house or shed where there is no resident poultry; | (d) | live poultry or other captive birds shall:(i)have been vaccinated against avian influenza, if provided for in the vaccination programme;(ii)have been examined, with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry house or shed where there is no resident poultry; | (i) | have been vaccinated against avian influenza, if provided for in the vaccination programme; | (ii) | have been examined, with favourable results, in accordance with the diagnostic manual; | (iii) | be placed in a poultry house or shed where there is no resident poultry; | (e) | poultry for slaughter shall:(i)be examined with favourable results before loading in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter. | (i) | be examined with favourable results before loading in accordance with the diagnostic manual; | (ii) | be sent directly to a designated slaughterhouse for immediate slaughter.

(a) | hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery; | (i) | originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual; | (ii) | have been disinfected before dispatch in accordance with a method approved by the competent authority; | (iii) | be transported directly to the hatchery of destination; | (iv) | be traceable within the hatchery;

(i) | originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;

(ii) | have been disinfected before dispatch in accordance with a method approved by the competent authority;

(iii) | be transported directly to the hatchery of destination;

(iv) | be traceable within the hatchery;

(b) | eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or | (ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c) | day-old chicks shall:(i)originate from hatching eggs satisfying the conditions set out in (a);(ii)be placed in a poultry house or shed where there is no resident poultry; | (i) | originate from hatching eggs satisfying the conditions set out in (a); | (ii) | be placed in a poultry house or shed where there is no resident poultry;

(i) | originate from hatching eggs satisfying the conditions set out in (a);

(ii) | be placed in a poultry house or shed where there is no resident poultry;

(d) | live poultry or other captive birds shall:(i)have been vaccinated against avian influenza, if provided for in the vaccination programme;(ii)have been examined, with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry house or shed where there is no resident poultry; | (i) | have been vaccinated against avian influenza, if provided for in the vaccination programme; | (ii) | have been examined, with favourable results, in accordance with the diagnostic manual; | (iii) | be placed in a poultry house or shed where there is no resident poultry;

(i) | have been vaccinated against avian influenza, if provided for in the vaccination programme;

(ii) | have been examined, with favourable results, in accordance with the diagnostic manual;

(iii) | be placed in a poultry house or shed where there is no resident poultry;

(e) | poultry for slaughter shall:(i)be examined with favourable results before loading in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter. | (i) | be examined with favourable results before loading in accordance with the diagnostic manual; | (ii) | be sent directly to a designated slaughterhouse for immediate slaughter.

(i) | be examined with favourable results before loading in accordance with the diagnostic manual;

(ii) | be sent directly to a designated slaughterhouse for immediate slaughter.

 | 4. | The following provisions shall apply to the movements of live poultry or other captive birds and eggs from holdings outside the vaccination area to holdings within the vaccination area:(a)hatching eggs shall:(i)be transported directly to the hatchery of destination;(ii)be traceable within the hatchery;(b)eggs shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;(c)day-old chicks shall be placed in a poultry house or shed where there is no resident poultry;(d)live poultry or other captive birds shall:(i)be placed in a poultry house or shed where there is no resident poultry;(ii)be vaccinated at the farm of destination, if provided for in the vaccination programme;(e)poultry for slaughter shall be sent directly to a designated slaughterhouse for immediate slaughter. | (a) | hatching eggs shall:(i)be transported directly to the hatchery of destination;(ii)be traceable within the hatchery; | (i) | be transported directly to the hatchery of destination; | (ii) | be traceable within the hatchery; | (b) | eggs shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or | (ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (c) | day-old chicks shall be placed in a poultry house or shed where there is no resident poultry; | (d) | live poultry or other captive birds shall:(i)be placed in a poultry house or shed where there is no resident poultry;(ii)be vaccinated at the farm of destination, if provided for in the vaccination programme; | (i) | be placed in a poultry house or shed where there is no resident poultry; | (ii) | be vaccinated at the farm of destination, if provided for in the vaccination programme; | (e) | poultry for slaughter shall be sent directly to a designated slaughterhouse for immediate slaughter.

(a) | hatching eggs shall:(i)be transported directly to the hatchery of destination;(ii)be traceable within the hatchery; | (i) | be transported directly to the hatchery of destination; | (ii) | be traceable within the hatchery;

(i) | be transported directly to the hatchery of destination;

(ii) | be traceable within the hatchery;

(b) | eggs shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or | (ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c) | day-old chicks shall be placed in a poultry house or shed where there is no resident poultry;

(d) | live poultry or other captive birds shall:(i)be placed in a poultry house or shed where there is no resident poultry;(ii)be vaccinated at the farm of destination, if provided for in the vaccination programme; | (i) | be placed in a poultry house or shed where there is no resident poultry; | (ii) | be vaccinated at the farm of destination, if provided for in the vaccination programme;

(i) | be placed in a poultry house or shed where there is no resident poultry;

(ii) | be vaccinated at the farm of destination, if provided for in the vaccination programme;

(e) | poultry for slaughter shall be sent directly to a designated slaughterhouse for immediate slaughter.

 | 5. | The following provisions shall apply to movements of live poultry or other captive birds, and eggs from holdings within the vaccination area to a holding outside the vaccination area:(a)hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery;(b)eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the monitoring diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;(c)day-old chicks shall:(i)not have been vaccinated;(ii)originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;(iii)be placed in a poultry house or shed where there is no resident poultry;(d)live poultry or other captive birds shall:(i)not have been vaccinated;(ii)have been examined with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry-house or shed where there is no resident poultry;(e)poultry for slaughter shall:(i)be examined before loading with favourable results, in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter. | (a) | hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery; | (i) | originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual; | (ii) | have been disinfected before dispatch in accordance with a method approved by the competent authority; | (iii) | be transported directly to the hatchery of destination; | (iv) | be traceable within the hatchery; | (b) | eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the monitoring diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or | (ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (c) | day-old chicks shall:(i)not have been vaccinated;(ii)originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;(iii)be placed in a poultry house or shed where there is no resident poultry; | (i) | not have been vaccinated; | (ii) | originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4; | (iii) | be placed in a poultry house or shed where there is no resident poultry; | (d) | live poultry or other captive birds shall:(i)not have been vaccinated;(ii)have been examined with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry-house or shed where there is no resident poultry; | (i) | not have been vaccinated; | (ii) | have been examined with favourable results, in accordance with the diagnostic manual; | (iii) | be placed in a poultry-house or shed where there is no resident poultry; | (e) | poultry for slaughter shall:(i)be examined before loading with favourable results, in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter. | (i) | be examined before loading with favourable results, in accordance with the diagnostic manual; | (ii) | be sent directly to a designated slaughterhouse for immediate slaughter.

(a) | hatching eggs shall:(i)originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;(ii)have been disinfected before dispatch in accordance with a method approved by the competent authority;(iii)be transported directly to the hatchery of destination;(iv)be traceable within the hatchery; | (i) | originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual; | (ii) | have been disinfected before dispatch in accordance with a method approved by the competent authority; | (iii) | be transported directly to the hatchery of destination; | (iv) | be traceable within the hatchery;

(i) | originate from a vaccinated or unvaccinated breeding flock which has been examined, with favourable results, in accordance with the diagnostic manual;

(ii) | have been disinfected before dispatch in accordance with a method approved by the competent authority;

(iii) | be transported directly to the hatchery of destination;

(iv) | be traceable within the hatchery;

(b) | eggs shall originate from a vaccinated or non-vaccinated layer flock which has been examined, with favourable results, in accordance with the monitoring diagnostic manual and shall be transported to:(i)a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or(ii)an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004; | (i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or | (ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(i) | a packing centre designated by the competent authority (‘the designated packing centre’), provided that they are packed in disposable packaging and that all biosecurity measures required by the competent authority are applied, or

(ii) | an establishment for the manufacture of egg products as set out in Chapter II of Section X of Annex III to Regulation (EC) No 853/2004 to be handled and treated in accordance with Chapter XI of Annex II to Regulation (EC) No 852/2004;

(c) | day-old chicks shall:(i)not have been vaccinated;(ii)originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;(iii)be placed in a poultry house or shed where there is no resident poultry; | (i) | not have been vaccinated; | (ii) | originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4; | (iii) | be placed in a poultry house or shed where there is no resident poultry;

(i) | not have been vaccinated;

(ii) | originate from hatching eggs satisfying the conditions set out in point (a) of paragraph 2, point (a) of paragraph 3 or point (a) of paragraph 4;

(iii) | be placed in a poultry house or shed where there is no resident poultry;

(d) | live poultry or other captive birds shall:(i)not have been vaccinated;(ii)have been examined with favourable results, in accordance with the diagnostic manual;(iii)be placed in a poultry-house or shed where there is no resident poultry; | (i) | not have been vaccinated; | (ii) | have been examined with favourable results, in accordance with the diagnostic manual; | (iii) | be placed in a poultry-house or shed where there is no resident poultry;

(i) | not have been vaccinated;

(ii) | have been examined with favourable results, in accordance with the diagnostic manual;

(iii) | be placed in a poultry-house or shed where there is no resident poultry;

(e) | poultry for slaughter shall:(i)be examined before loading with favourable results, in accordance with the diagnostic manual;(ii)be sent directly to a designated slaughterhouse for immediate slaughter. | (i) | be examined before loading with favourable results, in accordance with the diagnostic manual; | (ii) | be sent directly to a designated slaughterhouse for immediate slaughter.

(i) | be examined before loading with favourable results, in accordance with the diagnostic manual;

(ii) | be sent directly to a designated slaughterhouse for immediate slaughter.

 | 6. | For meat obtained from poultry kept within the vaccination area the following provisions shall apply:(a)for meat obtained from vaccinated poultry, the poultry shall:(i)have been vaccinated with a vaccine that complies with a DIVA strategy;(ii)have been inspected and tested with negative results in accordance with the diagnostic manual;(iii)have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;(iv)have been sent directly to a designated slaughterhouse for immediate slaughter;(b)for any meat obtained from non-vaccinated poultry being sent for slaughter, the poultry shall undergo monitoring in accordance with the diagnostic manual. | (a) | for meat obtained from vaccinated poultry, the poultry shall:(i)have been vaccinated with a vaccine that complies with a DIVA strategy;(ii)have been inspected and tested with negative results in accordance with the diagnostic manual;(iii)have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;(iv)have been sent directly to a designated slaughterhouse for immediate slaughter; | (i) | have been vaccinated with a vaccine that complies with a DIVA strategy; | (ii) | have been inspected and tested with negative results in accordance with the diagnostic manual; | (iii) | have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian; | (iv) | have been sent directly to a designated slaughterhouse for immediate slaughter; | (b) | for any meat obtained from non-vaccinated poultry being sent for slaughter, the poultry shall undergo monitoring in accordance with the diagnostic manual.

(a) | for meat obtained from vaccinated poultry, the poultry shall:(i)have been vaccinated with a vaccine that complies with a DIVA strategy;(ii)have been inspected and tested with negative results in accordance with the diagnostic manual;(iii)have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;(iv)have been sent directly to a designated slaughterhouse for immediate slaughter; | (i) | have been vaccinated with a vaccine that complies with a DIVA strategy; | (ii) | have been inspected and tested with negative results in accordance with the diagnostic manual; | (iii) | have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian; | (iv) | have been sent directly to a designated slaughterhouse for immediate slaughter;

(i) | have been vaccinated with a vaccine that complies with a DIVA strategy;

(ii) | have been inspected and tested with negative results in accordance with the diagnostic manual;

(iii) | have been clinically inspected by an official veterinarian within 48 hours before loading and if appropriate any sentinel birds on the holding shall have been examined by the official veterinarian;

(iv) | have been sent directly to a designated slaughterhouse for immediate slaughter;

(b) | for any meat obtained from non-vaccinated poultry being sent for slaughter, the poultry shall undergo monitoring in accordance with the diagnostic manual.

 | 7. | The competent authority may authorise the movement of carcases or eggs for disposal from holdings.

 | 8. | No further restrictions shall apply to movements of eggs packed and meat from poultry slaughtered in accordance with this Annex.

 | 9. | The movement of poultry (including day-old chicks) or other captive birds from the territory of the Member State is prohibited from the start of the emergency vaccination campaign until the emergency plan is approved under Article 54 and without prejudice to any further Community measures, unless it is authorised by the competent authority of the receiving Member State.
Criteria for contingency plansANNEX X(referred to in Article 62(1))Contingency plans shall meet the following criteria at least:
1. | The establishment of a crisis centre on a national level, which shall coordinate all control measures in the Member State.

2. | A list shall be provided of local disease control centres with adequate facilities to coordinate disease control measures at local level.

3. | Detailed information shall be given about the staff involved in control measures, their skills, their responsibilities and the instructions for staff, taking account of the need for personal protection and the potential risk to human health posed by avian influenza.

4. | Each local disease control centre must be able to contact rapidly persons and organisations directly or indirectly involved in an outbreak.

5. | Equipment and materials shall be available to carry out effectively the disease control measures.

6. | Detailed instructions shall be provided on action to be taken on suspicion and confirmation of infection or contamination, including proposed means of disposal of carcases.

7. | Training programmes shall be established to maintain and develop skills in field and administrative procedures.

8. | Diagnostic laboratories must have facilities for post-mortem examination, the necessary capacity for serology, histology etc. and must maintain the skills for rapid diagnosis. Arrangements must be made for rapid transportation of samples. The contingency plan shall also outline the testing capacity for the laboratory and the resources available to deal with an outbreak of disease.

9. | A vaccination plan dealing with a number of scenarios shall be produced which shall give an indication of which populations of poultry or other captive birds may be vaccinated, an estimate of the amount of vaccine required and its availability.

10. | Provision shall be made for the availability of data on registration of commercial poultry holdings on their territory, without prejudice to other relevant provisions established by Community legislation in this field.

11. | Provision shall be made for the recognition of officially registered rare breeds of poultry or other captive birds.

12. | Provision shall be made for the identification of areas with a high density of poultry.

13. | Provision shall be made to ensure the legal powers necessary for the implementation of the contingency plans.
ANNEX XICorrelation table

This Directive | Directive 92/40/EEC

Article 1(1)(a), (c) | —

Article 1(1)(b) | Article 1, first subparagraph

Article 1(2) | —

Article 2 point (1) | Annex III

Article 2 point (2) | Annex III, third subparagraph

Article 2 point (3) | 

Article 2 points (4), to (15), (17), (20), (21) and (22) to (32) | —

Article 2, point (16) | Article 2(b)

Article 2, point (18) | Article 2(d)

Article 2, point (19) | Article 2(e)

Article 3 | —

Article 4 | —

Article 5(1) | Article 3

Article 5(2) | —

Article 5(3) | —

Article 6(1) | Article 4(2)(g)

Article 6(2) | Article 7(1)

Article 6(3) and (4) | —

Article 7(1) | Article 4(1)

Article 7(2)(a) and (b) | Article 4(2)(a)

Article 7(2)(c) | Article 4(2)(b)

Article 7(2)(d) | Article 4(2)(c)

Article 7(2)(e) and (g) | Article 4(2)(d)

Article 7(2)(f) | Article 4(2)(e)

Article 7(2)(h) | Article 4(2)(f)

Article 7(3) | Article 4(2)(g)

Article 7(4) | —

Article 8 | —

Article 9 | Article 4(5)

Article 10 | —

Article 11(1) | Article 5(1), introductory wording

Article 11(2), first subparagraph | Article 5(1)(a)

Article 11(2), second and third subparagraphs | —

Article 11(3) | Article 5(1)(a)

Article 11(4) | Article 5(1)(d)

Article 11(5) | Article 5(1)(c) and (d)

Article 11(6) and (7) | Article 5(1)(b)

Article 11(8) | Article 5(1)(e)

Article 11(9) | —

Article 11(10) | Annex III Chapter 3(3)

Article 12 | —

Article 13 | —

Article 14 | Article 6

Article 15 | Article 8

Article 16(1) | Article 9(1)

Article 16(2), (3) and (4) | —

Article 16(5) | Article 9(6)

Article 17(1) | Article 10

Article 17(2) | Article 13

Article 17(3), (4) | —

Article 18(a) | Article 9(2)(a)

Article 18(b) | Article 9(2)(b)

Article 18(c) | —

Article 19(a) | Article 9(2)(c)

Article 19(b), (c) and (d) | —

Article 19(e) first sentence | Article 9(2)(f), introductory wording

Article 19(e) second sentence, (f), (g) and (h) | —

Article 20 | Article 9(2)(g)

Article 21 | Article 9(2)(h)

Article 22(1) and (3) | Article 9(2)(e)

Article 22(2) | —

Article 23(1) | Article 9(2)(f)(i)

Article 23(2) | —

Article 24(1) | Article 9(2)(f)(ii)

Article 24(2) | —

Article 25 | —

Article 26(1) | Article 9(2)(f)(iii)

Article 26(2) | —

Article 27 | Article 9(2)(e)

Article 28 | —

Article 29 | Article 9(3)

Article 30(a) | Article 9(4)(a)

Article 30(b), (c) | Article 9(4)(b), (c) and (d)

Article 30(d), (e), (g) and (j) | —

Article 30(f) | Article 9(4)(b)

Article 30(h) | Article 9(4)(e)

Article 30(i) | Article 9(4)(f)

Article 31 | Article 9(5)

Article 32 | —

Article 33 | —

Article 34 | —

Article 35 | —

Article 36 | —

Article 37 | —

Article 38 | —

Article 39 | —

Article 40 | —

Article 41 | —

Article 42 | —

Article 43 | —

Article 44 | —

Article 45 | —

Article 46 | —

Article 47 | —

Article 48 | Article 11

Article 49 | Article 5(1)(f)

Article 50 | —

Article 51(1) | Annex V

Article 51(2) and (3) | Article 14

Article 51(4) | —

Article 52 | —

Article 53(1) | Article 16 introductory wording

Article 53(2) | Article 16, first subparagraph

Article 53(3) | Article 16(b)

Article 54 | Article 16(b)

Article 55 | Article 16(a), second subparagraph

Article 56 | —

Article 57 | —

Article 58 | —

Article 59 | —

Article 60 | Article 18

Article 61 | —

Article 62 | Article 17

Article 63(1) and (3) | —

Article 63(2) | Article 20

Article 64 | Article 21

Article 65 | —

Article 66 | —

Article 67 | Article 22

Article 68 | —

Article 69 | Article 23

Annex I(1) | Annex III

Annex I(2) | Annex III, third subparagraph

Annex I(3) | —

Annex II | —

Annex III | Annex I

Annex IV | —

Annex V | —

Annex VI | Annex II

Annex VII | Annex V

Annex VIII | —

Annex IX | —

Annex X | Annex VI

Annex XI | —

Pending: 32005L0078

                                January 16, 2026                            

29.11.2005
EN
Official Journal of the European Union
L 313/1



(1)
Directive 2005/55/EC is one of the separate directives under the type-approval procedure laid down by Directive 70/156/EEC.



(2)
Directive 2005/55/EC requires new heavy-duty engines and engines of new heavy-duty vehicles to comply with new technical requirements covering on-board diagnostic systems, durability and conformity of in-service vehicles which are properly maintained and used, from 1 October 2005. The technical provisions necessary to implement Articles 3 and 4 of that Directive should be adopted.



(3)
In order to ensure compliance with Article 5 of Directive 2005/55/EC, it is appropriate to introduce requirements encouraging the proper use, as intended by the manufacturer, of new heavy-duty vehicles equipped with engines having an exhaust after-treatment system requiring the use of a consumable reagent to achieve the intended reduction of regulated pollutants. Measures should be introduced to ensure that the driver of such a vehicle is informed in good time if any on-vehicle supply of a consumable reagent is about to run out or if the reagent dosing activity does not take place. If the driver ignores such warnings, the engine performance should be modified until the driver replenishes the supply of the consumable reagent required for the efficient operation of the exhaust after-treatment system.



(4)
Where engines within the scope of Directive 2005/55/EC require the use of a consumable reagent in order to achieve the emission limits for which those engines were granted type-approval, the Member States should take appropriate steps to ensure that such reagents are available on a geographically balanced basis. Member States should be able to take appropriate steps to encourage the use of such reagents.



(5)
It is appropriate to introduce requirements that will enable the Member States to monitor and ensure, at the time of the periodic technical inspection, that heavy-duty vehicles equipped with exhaust after-treatment systems requiring the use of a consumable reagent have been properly operated during the period preceding the inspection.



(6)
Member States should be able to prohibit the use of any heavy-duty vehicle equipped with an exhaust after-treatment system that requires the use of a consumable reagent in order to achieve the emission limits for which such vehicles were granted a type-approval if the exhaust after-treatment system does not actually consume the required reagent or if the vehicle does not carry the required reagent.



(7)
Manufacturers of heavy-duty vehicles equipped with exhaust after-treatment systems requiring the use of a consumable reagent should inform their customers how such vehicles should properly be operated.



(8)
The requirements of Directive 2005/55/EC relating to the use of defeat strategies should be adapted to take account of technical progress. Requirements for multi-setting engines and for devices that can limit engine torque under certain operating conditions should also be specified.



(9)
Annexes III and IV to Directive 98/70/EC of the European Parliament and of the Council of 13 October 1998 relating to the quality of petrol and diesel fuel and amending Council Directive 93/12/EEC(3)require petrol and diesel motor fuels for sale throughout the Community to have a maximum sulphur content of 50 mg/kg (parts per million, ppm), from 1 January 2005. Motor fuels with a sulphur content of 10 mg/kg or less are increasingly available throughout the Community and Directive 98/70/EC requires such fuels to be available from 1 January 2009. The reference fuels used for the type-approval testing of engines against the emission limits specified in row B1, row B2 and row C of the tables in Annex I to Directive 2005/55/EC should therefore be redefined in order to better reflect, where applicable, the sulphur content of the diesel fuels that are available on the market from 1 January 2005 and that are used by engines with advanced emission control systems. It is also appropriate to redefine the liquefied petroleum gas (LPG) reference fuel to reflect progress in the market since 1 January 2005.



(10)
Technical adaptations to the sampling and measurement procedures are necessary to enable the reliable and repeatable measurement of particulate mass emissions for compression-ignition engines that are granted a type-approval according to the particulate limits specified either in row B1, row B2 or row C of the tables in section 6.2.1 of Annex I to Directive 2005/55/EC and for gas engines that are granted a type-approval according to the emission limits specified in row C of table 2 in section 6.2.1 of that Annex.



(11)
Since the provisions concerning the implementation of Articles 3 and 4 of Directive 2005/55/EC are adopted at the same time as those adapting that Directive to technical progress, both types of measures have been included in the same act.



(12)
In view of the rapid technological progress in this area, this Directive will be reviewed by 31 December 2006, if necessary.



(13)
Directive 2005/55/EC should therefore be amended accordingly.



(14)
The measures provided for in this Directive are in accordance with the opinion of the Committee for Adaptation to Technical Progress established by Article 13(1) of Directive 70/156/EEC,



(1)
Annex I is amended as follows:(a)Section 1 is replaced by the following:‘1.   SCOPEThis Directive applies to the control of gaseous and particulate pollutants, useful life of emission control devices, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants, useful life, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with positive-ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive-ignition engines as specified in Article 1 with the exception of compression-ignition engines of those vehicles of category N1, N2and M2and of positive-ignition engines fuelled with natural gas or LPG of those vehicles of category N1for which type-approval has been granted under Council Directive 70/220/EEC(*).(*)OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29).’ "(b)In section 2, the title and sections 2.1 to 2.32.1 are replaced by the following:‘2.   DEFINITIONS2.1.   For the purposes of this Directive, the following definitions shall apply:“approval of an engine (engine family)” means the approval of an engine type (engine family) with regard to the level of the emission of gaseous and particulate pollutants;“auxiliary emission control strategy (AECS)” means an emission control strategy that becomes active or that modifies the base emission control strategy for a specific purpose or purposes and in response to a specific set of ambient and/or operating conditions, e.g. vehicle speed, engine speed, gear used, intake temperature, or intake pressure;“base emission control strategy (BECS)” means an emission control strategy that is active throughout the speed and load operating range of the engine unless an AECS is activated. Examples for BECS are, but are not limited to:—engine timing map,—EGR map,—SCR catalyst reagent dosing map;“combined deNOx-particulate filter” means an exhaust aftertreatment system designed to concurrently reduce emissions of oxides of nitrogen (NOx) and particulate pollutants (PT);“continuous regeneration” means the regeneration process of an exhaust aftertreatment system that occurs either permanently or at least once per ETC test. Such a regeneration process will not require a special test procedure;“control area” means the area between the engine speeds A and C and between 25 to 100 per cent load;“declared maximum power (Pmax)” means the maximum power in EC kW (net power) as declared by the manufacturer in his application for type-approval;“defeat strategy” means:—an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or—a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,“deNOxsystem” means an exhaust aftertreatment system designed to reduce emissions of oxides of nitrogen (NOx) (e.g. there are presently passive and active lean NOxcatalysts, NOxadsorbers and Selective Catalytic Reduction (SCR) systems);“delay time” means the time between the change of the component to be measured at the reference point and a system response of 10 % of the final reading (t10). For the gaseous components, this is basically the transport time of the measured component from the sampling probe to the detector. For the delay time, the sampling probe is defined as the reference point;“diesel engine” means an engine which works on the compression-ignition principle;“ELR test” means a test cycle consisting of a sequence of load steps at constant engine speeds to be applied in accordance with section 6.2 of this Annex;“ESC test” means a test cycle consisting of 13 steady state modes to be applied in accordance with section 6.2 of this Annex;“ETC test” means a test cycle consisting of 1 800 second-by-second transient modes to be applied in accordance with section 6.2 of this Annex;“element of design” means in respect of a vehicle or engine,—any control system, including computer software, electronic control systems and computer logic,—any control system calibrations,—the result of systems interaction,or—any hardware items,“emissions-related defect” means a deficiency or deviation from normal production tolerances in design, materials or workmanship in a device, system or assembly that affects any parameter, specification or component belonging to the emission control system. A missing component may be considered to be an “emissions-related defect”;“emission control strategy (ECS)” means an element or set of elements of design that is incorporated into the overall design of an engine system or vehicle for the purposes of controlling exhaust emissions that includes one BECS and one set of AECS;“emission control system” means the exhaust aftertreatment system, the electronic management controller(s) of the engine system and any emission-related component of the engine system in the exhaust which supplies an input to or receives an output from this(these) controller(s), and when applicable the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit with respect to emissions management;“engine-aftertreatment system family” means, for testing over a service accumulation schedule to establish deterioration factors according to Annex II to Commission Directive 2005/78/EC implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto(**)and for checking the conformity of in-service vehicles/engines according to Annex III to Directive 2005/78/EC, a manufacturer’s grouping of engines that comply with the definition of engine family but which are further grouped into engines utilising a similar exhaust after-treatment system;“engine system” means the engine, the emission control system and the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other powertrain or vehicle control unit;“engine family” means a manufacturers grouping of engine systems which, through their design as defined in Annex II, Appendix 2 to this Directive, have similar exhaust emission characteristics; all members of the family must comply with the applicable emission limit values;“engine operating speed range” means the engine speed range, most frequently used during engine field operation, which lies between the low and high speeds, as set out in Annex III to this Directive;“engine speeds A, B and C” means the test speeds within the engine operating speed range to be used for the ESC test and the ELR test, as set out in Annex III, Appendix 1 to this Directive;“engine setting” means a specific engine/vehicle configuration that includes the emission control strategy (ECS), one single engine performance rating (the type-approved full-load curve) and, if used, one set of torque limiters;“engine type” means a category of engines which do not differ in such essential respects as engine characteristics as defined in Annex II to this Directive;“exhaust aftertreatment system” means a catalyst (oxidation or 3-way), particulate filter, deNOxsystem, combined deNOxparticulate filter or any other emission-reducing device that is installed downstream of the engine. This definition excludes exhaust gas recirculation, which, where fitted, is considered an integral part of the engine system;“gas engine” means a positive-ignition engine which is fuelled with natural gas (NG) or liquefied petroleum gas (LPG);“gaseous pollutants” means carbon monoxide, hydrocarbons (assuming a ratio of CH1,85for diesel, CH2,525for LPG and CH2,93for NG (NMHC) and an assumed molecule CH3O0,5for ethanol-fuelled diesel engines), methane (assuming a ratio of CH4for NG) and oxides of nitrogen, the last-named being expressed in nitrogen dioxide (NO2) equivalent;“high speed (nhi)” means the highest engine speed where 70 % of the declared maximum power occurs;“low speed (nlo)” means the lowest engine speed where 50 % of the declared maximum power occurs;“major functional failure”(***)means a permanent or temporary malfunction of any exhaust aftertreatment system that is expected to result in an immediate or delayed increase of the gaseous or particulate emissions of the engine system and which cannot be properly estimated by the OBD system;“malfunction” means:—any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,—any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.A manufacturer may nevertheless consider a deterioration or failure that would result in emissions not exceeding the OBD threshold limits as a malfunction;“malfunction indicator (MI)” means a visual indicator that clearly informs the driver of the vehicle in the event of a malfunction in the sense of this Directive;“multi-setting engine” means an engine containing more than one engine setting;“NG gas range” means one of the H or L range as defined in European Standard EN 437, dated November 1993;“net power” means the power in EC kW obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EC method of measuring power as set out in Commission Directive 80/1269/EEC(****);“OBD” means an on-board diagnostic system for emission control, which has the capability of detecting the occurrence of a malfunction and of identifying the likely area of malfunction by means of fault codes stored in computer memory;“OBD-engine family” means, for type-approval of the OBD system according to the requirements of Annex IV to Directive 2005/78/EC, a manufacturer's grouping of engine systems having common OBD system design parameters according to section 8 of this Annex;“opacimeter” means an instrument designed to measure the opacity of smoke particles by means of the light extinction principle;“parent engine” means an engine selected from an engine family in such a way that its emissions characteristics will be representative for that engine family;“particulate aftertreatment device” means an exhaust aftertreatment system designed to reduce emissions of particulate pollutants (PT) through a mechanical, aerodynamic, diffusional or inertial separation;“particulate pollutants” means any material collected on a specified filter medium after diluting the exhaust with clean filtered air so that the temperature does not exceed 325 K (52 °C);“per cent load” means the fraction of the maximum available torque at an engine speed;“periodic regeneration” means the regeneration process of an emission control device that occurs periodically in less than 100 hours of normal engine operation. During cycles where regeneration occurs, emission standards can be exceeded.“permanent emission default mode” means an AECS activated in the case of a malfunction of the ECS detected by the OBD system that results in the MI being activated and that does not require an input from the failed component or system;“power take-off unit” means an engine-driven output device for the purposes of powering auxiliary, vehicle mounted, equipment;“reagent” means any medium that is stored on-board the vehicle in a tank and provided to the exhaust aftertreatment system (if required) upon request of the emission control system;“recalibration” means a fine tuning of an NG engine in order to provide the same performance (power, fuel consumption) in a different range of natural gas;“reference speed (nref)” means the 100 per cent speed value to be used for denormalising the relative speed values of the ETC test, as set out in Annex III, Appendix 2 to this Directive;“response time” means the difference in time between a rapid change of the component to be measured at the reference point and the appropriate change in the response of the measuring system whereby the change of the measured component is at least 60 % FS and takes place in less than 0,1 second. The system response time (t90) consists of the delay time to the system and of the rise time of the system (see also ISO 16183);“rise time” means the time between the 10 % and 90 % response of the final reading (t90–t10). This is the instrument response after the component to be measured has reached the instrument. For the rise time, the sampling probe is defined as the reference point;“self adaptability” means any engine device allowing the air/fuel ratio to be kept constant;“smoke” means particles suspended in the exhaust stream of a diesel engine which absorb, reflect, or refract light;“test cycle” means a sequence of test points each with a defined speed and torque to be followed by the engine under steady state (ESC test) or transient operating conditions (ETC, ELR test);“torque limiter” means a device that temporarily limits the maximum torque of the engine;“transformation time” means the time between the change of the component to be measured at the sampling probe and a system response of 50 % of the final reading (t50). The transformation time is used for the signal alignment of different measurement instruments;“useful life” means, for vehicles and engines that are type-approved to either row B1, row B2 or row C of the table given in section 6.2.1 of this Annex, the relevant period of distance and/or time that is defined in Article 3 (durability of emission control systems) of this Directive over which compliance with the relevant gaseous, particulate and smoke emission limits has to be assured as part of the type-approval;“Wobbe Index (lower Wl; or upper Wu)” means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions:Text of image“λ-shift factor (Sλ)” means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane (see Annex VII for the calculation of Sλ).2.2.   Symbols, abbreviations and international standards2.2.1.   Symbols for test parametersSymbolUnitTermApm2Cross sectional area of the isokinetic sampling probeAem2Cross sectional area of the exhaust pipecppm/vol. %ConcentrationCd—Discharge coefficient of SSV-CVSC1—Carbon 1 equivalent hydrocarbondmDiameterD0m3/sIntercept of PDP calibration functionD—Dilution factorD—Bessel function constantE—Bessel function constantEE—Ethane efficiencyEM—Methane efficiencyEZg/kWhInterpolated NOxemission of the control pointf1/sFrequencyfa—Laboratory atmospheric factorfcs–1Bessel filter cut-off frequencyFs—Stoichiometric factorHMJ/m3Calorific valueHag/kgAbsolute humidity of the intake airHdg/kgAbsolute humidity of the dilution airi—Subscript denoting an individual mode or instantaneous measurementK—Bessel constantkm–1Light absorption coefficientkfFuel specific factor for dry to wet correctionkh,D—Humidity correction factor for NOxfor diesel engineskh,G—Humidity correction factor for NOxfor gas enginesKVCFV calibration functionkW,a—Dry to wet correction factor for the intake airkW,d—Dry to wet correction factor for the dilution airkW,e—Dry to wet correction factor for the diluted exhaust gaskW,r—Dry to wet correction factor for the raw exhaust gasL%Percent torque related to the maximum torque for the test engineLamEffective optical path lengthMrag/molMolecular mass of the intake airMreg/molMolecular mass of the exhaustmdkgMass of the dilution air sample passed through the particulate sampling filtersmedkgTotal diluted exhaust mass over the cyclemedfkgMass of equivalent diluted exhaust over the cyclemewkgTotal exhaust mass over the cyclemfmgParticulate sample mass collectedmf,dmgParticulate sample mass of the dilution air collectedmgasg/h or gGaseous emissions mass flow (rate)msekgSample mass over the cyclemsepkgMass of the diluted exhaust sample passed through the particulate sampling filtersmsetkgMass of the double diluted exhaust sample passed through the particulate sampling filtersmssdkgMass of secondary dilution airN%OpacityNP—Total revolutions of PDP over the cycleNP,i—Revolutions of PDP during a time intervalnmin–1Engine speednps–1PDP speednhimin–1High engine speednlomin–1Low engine speednrefmin–1Reference engine speed for ETC testpakPaSaturation vapour pressure of the engine intake airpbkPaTotal atmospheric pressurepdkPaSaturation vapour pressure of the dilution airppkPaAbsolute pressureprkPaWater vapour pressure after cooling bathpskPaDry atmospheric pressurep1kPaPressure depression at pump inletP(a)kWPower absorbed by auxiliaries to be fitted for testP(b)kWPower absorbed by auxiliaries to be removed for testP(n)kWNet power non-correctedP(m)kWPower measured on test bedqmawkg/h or kg/sIntake air mass flow rate on wet basisqmadkg/h or kg/sIntake air mass flow rate on dry basisqmdwkg/h or kg/sDilution air mass flow rate on wet basisqmdewkg/h or kg/sDiluted exhaust gas mass flow rate on wet basisqmdew,ikg/sInstantaneous CVS flow rate mass on wet basisqmedfkg/h or kg/sEquivalent diluted exhaust gas mass flow rate on wet basisqmewkg/h or kg/sExhaust gas mass flow rate on wet basisqmfkg/h or kg/sFuel mass flow rateqmpkg/h or kg/sParticulate sample mass flow rateqvsdm3/minSample flow rate into analyser benchqvtcm3/minTracer gas flow rateΩ—Bessel constantQsm3/sPDP/CFV-CVS volume flow rateQSSVm3/sSSV-CVS volume flow ratera—Ratio of cross sectional areas of isokinetic probe and exhaust piperd—Dilution ratiorD—Diameter ratio of SSV-CVSrp—Pressure ratio of SSV-CVSrs—Sample ratioRf—FID response factorρkg/m3densitySkWDynamometer settingSim–1Instantaneous smoke valueSλ—λ-shift factorTKAbsolute temperatureTaKAbsolute temperature of the intake airtsMeasuring timetesElectrical response timetfsFilter response time for Bessel functiontpsPhysical response timeΔtsTime interval between successive smoke data (= 1/sampling rate)ΔtisTime interval for instantaneous CVS flowτ%Smoke transmittanceu—Ratio between densities of gas component and exhaust gasV0m3/revPDP gas volume pumped per revolutionVslSystem volume of analyser benchW—Wobbe indexWactkWhActual cycle work of ETCWrefkWhReference cycle work of ETCWF—Weighting factorWFE—Effective weighting factorX0m3/revCalibration function of PDP volume flow rateYim–11 s Bessel averaged smoke value(**)OJ L 313, 29.11.2005, p. 1."(***)Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC."(****)OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32).’ "(c)Former sections 2.32.2 and 2.32.3 become sections 2.2.2 and 2.2.3 respectively.(d)The following sections 2.2.4 and 2.2.5 are added:‘2.2.4.   Symbols for the fuel compositionwALFhydrogen content of fuel, % masswBETcarbon content of fuel, % masswGAMsulphur content of fuel, % masswDELnitrogen content of fuel, % masswEPSoxygen content of fuel, % massαmolar hydrogen ratio (H/C)βmolar carbon ratio (C/C)γmolar sulphur ratio (S/C)δmolar nitrogen ratio (N/C)εmolar oxygen ratio (O/C)referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.2.2.5.   Standards referenced by this DirectiveISO 15031-1ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.ISO 15031-2ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.ISO 15031-3ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.SAE J1939-13SAE J1939-13: Off-Board Diagnostic Connector.ISO 15031-4ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.SAE J1939-73SAE J1939-73: Application Layer – Diagnostics.ISO 15031-5ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.ISO 15031-6ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.SAE J2012SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.ISO 15031-7ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.SAE J2186SAE J2186: E/E Data Link Security, dated October 1996.ISO 15765-4ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.SAE J1939SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.ISO 16185ISO 16185: 2000 Road vehicles – Engine family for homologation.ISO 2575ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.ISO 16183ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’(e)Section 3.1.1 is replaced by the following:3.1.1.   The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the engine manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’(f)Section 3.2.1 is replaced by the following:3.2.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’(g)The following section 3.2.3 is added:3.2.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’(h)Section 3.3.1 is replaced by the following:3.3.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.’(i)The following section 3.3.3 is added:3.3.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’(j)The following section 3.4 is added:‘3.4.   On-board diagnostic systemsThe application for approval of an engine equipped with an on-board diagnostic (OBD) system must be accompanied by the information required in section 9 of Appendix 1 to Annex II (description of the parent engine) and/or section 6 of Appendix 3 to Annex II (description of an engine type within the family) together with:3.4.1.1.   Detailed written information fully describing the functional operation characteristics of the OBD system, including a listing of all relevant parts of the engine's emission control system, i.e. sensors, actuators and components, that are monitored by the OBD system;Where applicable, a declaration by the manufacturer of the parameters that are used as a basis for major functional failure monitoring and, in addition:3.4.1.2.1.   The manufacturer shall provide the technical service with a description of potential failures within the emission control system that will have an effect on emissions. This information shall be subject to discussion and agreement between the technical service and the vehicle manufacturer.3.4.1.3.   Where applicable, a description of the communication interface (hardware and messages) between the engine electronic control unit (EECU) and any other powertrain or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control system.3.4.1.4.   Where appropriate, copies of other type-approvals with the relevant data to enable extensions of approvals.3.4.1.5.   If applicable, the particulars of the engine family as referred to in section 8 of this Annex.3.4.1.6.   The manufacturer must describe provisions taken to prevent tampering with and modification of the EECU or any interface parameter considered in section 3.4.1.3.’(k)In section 5.1.3 the footnote is deleted.(l)Section 6.1 is replaced by the following:‘6.1.   General6.1.1.   Emission control equipment6.1.1.1.   The components liable to affect, where appropriate, the emission of gaseous and particulate pollutants from diesel and gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive.The use of a defeat strategy is forbidden.6.1.2.1.   The use of a multi-setting engine is forbidden until appropriate and robust provisions for multi-setting engines are laid down in this Directive(*).6.1.3.   Emission control strategy6.1.3.1.   Any element of design and emission control strategy (ECS) liable to affect the emission of gaseous and particulate pollutants from diesel engines and the emission of gaseous pollutants from gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive. ECS consists of the base emission control strategy (BECS) and usually one or more auxiliary emission control strategies (AECS).6.1.4.   Requirements for base emission control strategy6.1.4.1.   The base emission control strategy (BECS) shall be so designed as to enable the engine, in normal use, to comply with the provisions of this Directive. Normal use is not restricted to the conditions of use as specified in paragraph 6.1.5.4.6.1.5.   Requirements for auxiliary emission control strategy6.1.5.1.   An auxiliary emission control strategy (AECS) may be installed to an engine or on a vehicle provided that the AECS:—operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or—is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.6.1.5.2.   An auxiliary emission control strategy (AECS) that operates within the conditions of use specified in section 6.1.5.4 and which results in the use of a different or modified emission control strategy (ECS) to that normally employed during the applicable emission test cycles will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure does not permanently reduce the effectiveness of the emission control system. In all other cases, such strategy shall be considered to be a defeat strategy.6.1.5.3.   An auxiliary emission control strategy (AECS) that operates outside the conditions of use specified in section 6.1.5.4 will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure is the minimum strategy necessary for the purposes of paragraph 6.1.5.6 with respect to environmental protection and other technical aspects. In all other cases, such a strategy shall be considered to be a defeat strategy.6.1.5.4.   As provided for in section 6.1.5.1, the following conditions of use apply under steady state and transient engine operations:—an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and—an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and—engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).6.1.5.5.   An auxiliary emission control strategy (AECS) may be installed to an engine, or on a vehicle, provided that the operation of the AECS is included in the applicable type-approval test and is activated according to section 6.1.5.6.6.1.5.6.   The AECS is activated:—only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or—for purposes such as operational safety, permanent emission default modes and limp-home strategies,or—for such purposes as excessive emissions prevention, cold start or warming-up,or—if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.6.1.6.   Requirements for torque limiters6.1.6.1.   A torque limiter will be permitted if it complies with the requirements of section 6.1.6.2. or 6.5.5. In all other cases, a torque limiter shall be considered to be a defeat strategy.6.1.6.2.   A torque limiter may be installed to an engine, or on a vehicle, provided that:—the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and—the torque limiter is active only temporarily,and—the torque limiter does not modify the emission control strategy (ECS),and—in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and—is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.6.1.7.   Special requirements for electronic emission control systems6.1.7.1.   Documentation requirementsThe manufacturer shall provide a documentation package that gives access to any element of design and emission control strategy (ECS), and torque limiter of the engine system and the means by which it controls its output variables, whether that control is direct or indirect. The documentation shall be made available in two parts:(a)the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;(b)additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.The additional material shall also contain a justification for the use of any AECS and include additional material and test data to demonstrate the effect on exhaust emissions of any AECS installed to the engine or on the vehicle. The justification for the use of an AECS may be based on test data and/or sound engineering analysis.This additional material shall remain strictly confidential, and be made available to the type-approval authority on request. The type-approval authority will keep this material confidential.6.1.8.   Specifically for the type-approval of engines according to row A of the tables in section 6.2.1 (engines not normally tested on ETC)6.1.8.1.   To verify whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, the type-approval authority and/or the technical service may additionally request a NOxscreening test using the ETC which may be carried out in combination with either the type-approval test or the procedures for checking the conformity of production.6.1.8.2.   In verifying whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, an additional margin of 10 %, related to the appropriate NOxlimit value, shall be accepted.6.1.9.   The transitional provisions for extension of type-approval are given in section 6.1.5 of Annex I to Directive 2001/27/EC.Until the 8 November 2006, the existing approval certificate number will remain valid. In case of extension, only the sequential number to denote the extension base approval number will change as follows:Example for the second extension of the fourth approval corresponding to application date A, issued by Germany:e1*88/77*2001/27A*0004*026.1.10.   Provisions for electronic system security6.1.10.1.   Any vehicle with an Emission Control Unit must include features to deter modification, except as authorised by the manufacturer. The manufacturer shall authorise modifications if these modifications are necessary for the diagnosis, servicing, inspection, retrofitting or repair of the vehicle. Any reprogrammable computer codes or operating parameters must be resistant to tampering and afford a level of protection at least as good as the provisions in ISO 15031-7 (SAE J2186) provided that the security exchange is conducted using the protocols and diagnostic connector as prescribed in section 6 of Annex IV to Directive 2005/78/EC. Any removable calibration memory chips must be potted, encased in a sealed container or protected by electronic algorithms and must not be changeable without the use of specialised tools and procedures.6.1.10.2.   Computer-coded engine operating parameters must not be changeable without the use of specialised tools and procedures (e.g. soldered or potted computer components or sealed (or soldered) computer enclosures).6.1.10.3.   Manufacturers must take adequate steps to protect the maximum fuel delivery setting from tampering while a vehicle is in-service.6.1.10.4.   Manufacturers may apply to the approval authority for an exemption from one of these requirements for those vehicles that are unlikely to require protection. The criteria that the approval authority will evaluate in considering an exemption will include, but are not limited to, the current availability of performance chips, the high-performance capability of the vehicle and the projected sales volume of the vehicle.6.1.10.5.   Manufacturers using programmable computer code systems (e.g. electrical erasable programmable read-only memory, EEPROM) must deter unauthorised reprogramming. Manufacturers must include enhanced tamper-protection strategies and write protect features requiring electronic access to an off-site computer maintained by the manufacturer. Alternative methods giving an equivalent level of tamper protection may be approved by the authority.(*)The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive."(**)Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”."(***)This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’ "(m)The introductory part of Section 6.2 is replaced by the following:‘6.2.   Specifications Concerning the Emission of Gaseous and Particulate Pollutants and SmokeFor type approval to row A of the tables in section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including deNOxcatalysts and/or particulate traps, shall additionally be tested on the ETC test.For type approval testing to either row B1 or B2 or row C of the tables in section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests.For gas engines, the gaseous emissions shall be determined on the ETC test.The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3.The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system.Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions, only the full flow dilution system or the partial flow dilution system meeting the requirements of ISO 16183 are recognised as equivalent reference systems. “Results” refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency of the sample pair averages shall be determined byF-test andt-test statistics as described in Appendix 4 to this Annex obtained under these laboratory, test cell and engine conditions. Outliers shall be determined in accordance with ISO 5725 and excluded from the database. 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.’(n)The following sections 6.3, 6.4 and 6.5 are added:‘6.3.   Durability and deterioration factors6.3.1.   For the purposes of this Directive, the manufacturer shall determine deterioration factors that will be used to demonstrate that the gaseous and particulate emissions of an engine family or engine-aftertreatment system family remain in conformity with the appropriate emission limits specified in the tables in section 6.2.1 of this Annex over the appropriate durability period laid down in Article 3 to this Directive.6.3.2.   The procedures for demonstrating the compliance of an engine or engine-aftertreatment system family with the relevant emission limits over the appropriate durability period are given in Annex II to Directive 2005/78/EC.6.4.   On-Board Diagnostic (OBD) system6.4.1.   As laid down in Articles 4(1) and 4(2) of this Directive, diesel engines or vehicles equipped with a diesel engine must be fitted with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.As laid down in Article 4(2) of this Directive, gas engines or vehicles equipped with a gas engine must be fitted, with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.6.4.2.   Small batch engine productionAs an alternative to the requirements of this section, engine manufacturers whose world-wide annual production of a type of engine, belonging to an OBD engine family,—is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;—is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.The type-approval authority must inform the Commission of the circumstances of each type-approval granted under this provision.6.5.   Requirements to ensure correct operation of NOxcontrol measures(*)6.5.1.   General6.5.1.1.   This section is applicable to all engine systems irrespective of the technology used to comply with the emission limit values given in the tables in section 6.2.1 of this Annex.6.5.1.2.   Application datesThe Requirements of sections 6.5.3, 6.5.4 and 6.5.5 shall apply from 1 October 2006 for new type approvals and from 1 October 2007 for all registrations of new vehicles.6.5.1.3.   Any engine system covered by this section shall be designed, constructed and installed so as to be capable of meeting these requirements over the useful life of the engine.6.5.1.4.   Information that fully describes the functional operational characteristics of an engine system covered by this section shall be provided by the manufacturer in Annex II to this Directive.6.5.1.5.   In its application for type-approval, if the engine system requires a reagent, the manufacturer shall specify the characteristics of all reagent(s) consumed by any exhaust aftertreatment system, e.g. type and concentrations, operational temperature conditions, reference to international standards etc.6.5.1.6.   With reference to section 6.1, any engine system covered by this section shall retain its emission control function during all conditions regularly pertaining in the territory of the European Union, especially at low ambient temperatures.6.5.1.7.   For the purpose of type-approval, the manufacturer shall demonstrate to the Technical Service that for engine systems that require a reagent, any emission of ammonia does not exceed, over the applicable emissions test cycle, a mean value of 25 ppm.6.5.1.8.   For engine systems requiring a reagent, each separate reagent tank installed on a vehicle shall include a means for taking a sample of any fluid inside the tank. The sampling point shall be easily accessible without the use of any specialised tool or device.6.5.2.   Maintenance requirements6.5.2.1.   The manufacturer shall furnish or cause to be furnished to all owners of new heavy-duty vehicles or new heavy-duty engines written instructions that shall state that if the vehicle emission control system is not functioning correctly, the driver shall be informed of a problem by the malfunction indicator (MI) and the engine shall consequentially operate with a reduced performance.6.5.2.2.   The instructions will indicate requirements for the proper use and maintenance of vehicles, including where relevant the use of consumable reagents.6.5.2.3.   The instructions shall be written in clear and non-technical language and in the language of the country in which a new heavy-duty vehicle or new heavy-duty engine is sold or registered.6.5.2.4.   The instructions shall specify if consumable reagents have to be refilled by the vehicle operator between normal maintenance intervals and shall indicate a likely rate of reagent consumption according to the type of new heavy-duty vehicle.6.5.2.5.   The instructions shall specify that use of and refilling of a required reagent of the correct specifications when indicated is mandatory for the vehicle to comply with the certificate of conformity issued for that vehicle or engine type.6.5.2.6.   The instructions shall state that it may be a criminal offence to use a vehicle that does not consume any reagent if it is required for the reduction of pollutant emissions and that, in consequence, any favourable conditions for the purchase or operation of the vehicle obtained in the country of registration or other country in which the vehicle is used may become invalid.6.5.3.   Engine system NOxcontrol6.5.3.1.   Incorrect operation of the engine system with respect to NOxemissions control (for example due to lack of any required reagent, incorrect EGR flow or deactivation of EGR) shall be determined through monitoring of the NOxlevel by sensors positioned in the exhaust stream.6.5.3.2.   Engine systems shall be equipped with a method for determining the NOxlevel in the exhaust stream. Any deviation in NOxlevel more than 1,5 g/kwh above the applicable limit value given in table I of section 6.2.1 of Annex I to this Directive, shall result in the driver being informed by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC).6.5.3.3.   In addition, a non-erasable fault code identifying the reason why NOxexceeds the levels specified in the paragraph above shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for at least 400 days or 9 600 hours of engine operation.6.5.3.4.   If the NOxlevel exceeds the OBD threshold limit values given in the table in Article 4(3) of this Directive(**), a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle. When the torque limiter is activated the driver shall continue to be alerted according to the requirements of section 6.5.3.2.6.5.3.5.   In the case of engine systems that rely on the use of EGR and no other aftertreatment system for NOxemissions control, the manufacturer may utilise an alternative method to the requirements of paragraph 6.5.3.1 for the determination of the NOxlevel. At the time of type approval the manufacturer shall demonstrate that the alternative method is equally timely and accurate in determining the NOxlevel compared to the requirements of paragraph 6.5.3.1 and that it triggers the same consequences as those referred to in sections 6.5.3.2, 6.5.3.3 and 6.5.3.4.6.5.4.   Reagent control6.5.4.1.   For vehicles that require the use of a reagent to fulfil the requirements of this section, the driver shall be informed of the level of reagent in the on-vehicle reagent storage tank through a specific mechanical or electronic indication on the vehicle’s dashboard. This shall include a warning when the level of reagent goes:—below 10 % of the tank or a higher percentage at the choice of the manufacturer,or—below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.The reagent indicator shall be placed in close proximity to the fuel level indicator.6.5.4.2.   The driver shall be informed, according to the requirements of section 3.6.5 of Annex IV to Directive 2005/78/EC, if the reagent tank becomes empty.6.5.4.3.   As soon as the reagent tank becomes empty, the requirements of section 6.5.5 shall apply in addition to the requirements of section 6.5.4.2.6.5.4.4.   A manufacturer may choose to comply with the sections 6.5.4.5 to 6.5.4.13 as an alternative to complying with the requirements of section 6.5.3.6.5.4.5.   Engine systems shall include a means of determining that a fluid corresponding to the reagent characteristics declared by the manufacturer and recorded in Annex II to this Directive is present on the vehicle.6.5.4.6.   If the fluid in the reagent tank does not correspond to the minimum requirements declared by the manufacturer as recorded in Annex II to this Directive the additional requirements of section 6.5.4.13 shall apply.6.5.4.7.   Engine systems shall include a means for determining reagent consumption and providing off-board access to consumption information.6.5.4.8.   Average reagent consumption and average demanded reagent consumption by the engine system either over the previous complete 48 hour period of engine operation or the period needed for a demanded reagent consumption of at least 15 litres, whichever is longer, shall be available via the serial port of the standard diagnostic connector (see section 6.8.3 of Annex IV to Directive 2005/78/EC).6.5.4.9.   In order to monitor reagent consumption, at least the following parameters within the engine shall be monitored:—level of reagent in on-vehicle storage tank,—flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.6.5.4.10.   Any deviation more than 50 % in average reagent consumption and average demanded reagent consumption by the engine system over the period defined in section 6.5.4.8 shall result in application of the measures laid down in paragraph 6.5.4.13.6.5.4.11.   In the case of interruption in reagent dosing activity the measures laid down in paragraph 6.5.4.13 shall apply. This is not required where such interruption is demanded by the engine ECU because engine operating conditions are such that the engine’s emission performance does not require reagent dosing, provided that the manufacturer has clearly informed the approval authority when such operating conditions apply.6.5.4.12.   If the NOxlevel exceeds 7,0 g/kWh on the ETC test cycle the measures laid down in section 6.5.4.13 shall apply.6.5.4.13.   Where reference is made to this section, the driver shall be alerted by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC) and a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle.A non-erasable fault code identifying the reason for torque limiter activation shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for a minimum of 400 days or 9 600 hours of engine operation.6.5.5.   Measures to discourage tampering of exhaust aftertreatment systems6.5.5.1.   Any engine system covered by this section shall include a torque limiter that will alert the driver that the engine system is operating incorrectly or the vehicle is being operated in an incorrect manner and thereby encourage the prompt rectification of any fault(s).6.5.5.2.   The torque limiter shall be activated when the vehicle becomes stationary for the first time after the conditions of either sections 6.5.3.4, 6.5.4.3, 6.5.4.6, 6.5.4.10, 6.5.4.11 or 6.5.4.12 have occurred.6.5.5.3.   Where the torque limiter comes into effect, the engine torque shall not, in any case, exceed a constant value of:—60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,—75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.6.5.5.4.   The scheme of torque limitation is set out in sections 6.5.5.5 to 6.5.5.6.6.5.5.5.   Detailed written information fully describing the functional operation characteristics of the torque limiter shall be specified according to the documentation requirements of section 6.1.7.1 of this Annex.6.5.5.6.   The torque limiter shall be deactivated when the engine speed is at idle if the conditions for its activation have ceased to exist. The torque limiter shall not be automatically deactivated without the reason for its activation being remedied.6.5.5.7.   Demonstration of torque limiter6.5.5.7.1.   As part of the application for type-approval provided for in section 3 of this Annex, the manufacturer shall demonstrate the operation of the torque limiter either by tests on an engine dynamometer or by a vehicle test.6.5.5.7.2.   If an engine dynamometer test is to be carried out the manufacturer shall run consecutive ETC test cycles in order to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.6.5.5.7.3.   If a vehicle test is to be carried out, the vehicle shall be driven over the road or test track to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.(*)The Commission intends to review this section by 31 December 2006."(**)The Commission intends to review those values by 31 December 2005.’ "(o)Section 8.1 is replaced by the following:‘8.1.   Parameters defining the engine familyThe engine family, as determined by the engine manufacturer must comply with the provisions of ISO 16185.’(p)The following section 8.3 is added:‘8.3.   Parameters for defining an OBD-engine familyThe OBD-engine family may be defined by basic design parameters that must be common to engine systems within the family.In order that engine systems may be considered to belong to the same OBD-engine family, the following list of basic parameters must be common,—the methods of OBD monitoring,—the methods of malfunction detection.unless these methods have been shown as equivalent by the manufacturer by means of relevant engineering demonstration or other appropriate procedures.Note:engines that do not belong to the same engine family may still belong to the same OBD-engine family provided the above mentioned criteria are satisfied.’(q)Section 9.1 is replaced by the following:9.1.   Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. In applying Appendices 1, 2 or 3, the measured emission of the gaseous and particulate pollutants from engines subject to checking for conformity of production shall be adjusted by application of the appropriate deterioration factors (DF’s) for that engine as recorded in section 1.5 of the Appendix to Annex VI.Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer.’(r)The following section 9.1.2 is added:‘9.1.2.   On-Board Diagnostics (OBD)9.1.2.1.   If a verification of the conformity of production of the OBD system is to be carried out, it must be conducted in accordance with the following:9.1.2.2.   When the approval authority determines that the quality of production seems unsatisfactory an engine is randomly taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on an engine that has been run-in up to a maximum of 100 hours.9.1.2.3.   The production is deemed to conform if this engine meets the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.9.1.2.4   If the engine taken from the series does not satisfy the requirements of section 9.1.2.2, a further random sample of four engines must be taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on engines that have been run-in up to a maximum of 100 hours.9.1.2.5.   The production is deemed to conform if at least three engines out of the further random sample of four engines meet the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.’(s)The following section 10 is added:‘10.   CONFORMITY OF IN-SERVICE VEHICLES/ENGINES10.1.   For the purpose of this Directive, the conformity of in-service vehicles/engines must be checked periodically over the useful life period of an engine installed in a vehicle.10.2.   With reference to type-approvals granted for emissions, additional measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use.10.3.   The procedures to be followed regarding the conformity of in-service vehicles/engines are given in Annex III to Directive 2005/78/EC.’(t)Appendix 1, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’(u)In Appendix 2, section 3 and the introductory phrase of section 4 are replaced by the following:3.   The values of the pollutants given in section 6.2.1 of Annex I, after having applied the relevant DF, are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m0and m denote the minimum and maximum sample size respectively (m0= 3 and m = 32) and let n denote the current sample number.4.   If the natural logarithms of the measured values (after having applied the relevant DF) in the series are x1, x2, … xiand L is the natural logarithm of the limit value for the pollutant, then, define:’(v)In Appendix 3, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’(w)A following Appendix 4 is added:‘Appendix 4DETERMINATION OF SYSTEM EQUIVALENCEThe determination of system equivalency according to section 6.2 of this Annex shall be based on a 7 sample pair (or larger) correlation study between the candidate system and one of the accepted reference systems of this Directive using the appropriate test cycle(s). The equivalency criteria to be applied shall be the F-test and the two-sided Student t-test.This statistical method examines the hypothesis that the population standard deviation and mean value for an emission measured with the candidate system do not differ from the standard deviation and population mean value for that emission measured with the reference system. The hypothesis shall be tested on the basis of a 5 % significance level of the F and t values. The critical F and t values for 7 to 10 sample pairs are given in the table below. If the F and t values calculated according to the formulae below are greater than the critical F and t values, the candidate system is not equivalent.The following procedure shall be followed. The subscripts R and C refer to the reference and candidate system, respectively:(a)Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.(b)Calculate the mean values xRand xCand the standard deviations sRand sC.(c)Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)(d)Calculate the t value, as follows:Text of image(e)Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.(f)Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101(g)Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
(a)
Section 1 is replaced by the following:‘1.   SCOPEThis Directive applies to the control of gaseous and particulate pollutants, useful life of emission control devices, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants, useful life, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with positive-ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive-ignition engines as specified in Article 1 with the exception of compression-ignition engines of those vehicles of category N1, N2and M2and of positive-ignition engines fuelled with natural gas or LPG of those vehicles of category N1for which type-approval has been granted under Council Directive 70/220/EEC(*).(*)OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29).’ "
(b)
In section 2, the title and sections 2.1 to 2.32.1 are replaced by the following:‘2.   DEFINITIONS2.1.   For the purposes of this Directive, the following definitions shall apply:“approval of an engine (engine family)” means the approval of an engine type (engine family) with regard to the level of the emission of gaseous and particulate pollutants;“auxiliary emission control strategy (AECS)” means an emission control strategy that becomes active or that modifies the base emission control strategy for a specific purpose or purposes and in response to a specific set of ambient and/or operating conditions, e.g. vehicle speed, engine speed, gear used, intake temperature, or intake pressure;“base emission control strategy (BECS)” means an emission control strategy that is active throughout the speed and load operating range of the engine unless an AECS is activated. Examples for BECS are, but are not limited to:—engine timing map,—EGR map,—SCR catalyst reagent dosing map;“combined deNOx-particulate filter” means an exhaust aftertreatment system designed to concurrently reduce emissions of oxides of nitrogen (NOx) and particulate pollutants (PT);“continuous regeneration” means the regeneration process of an exhaust aftertreatment system that occurs either permanently or at least once per ETC test. Such a regeneration process will not require a special test procedure;“control area” means the area between the engine speeds A and C and between 25 to 100 per cent load;“declared maximum power (Pmax)” means the maximum power in EC kW (net power) as declared by the manufacturer in his application for type-approval;“defeat strategy” means:—an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or—a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,“deNOxsystem” means an exhaust aftertreatment system designed to reduce emissions of oxides of nitrogen (NOx) (e.g. there are presently passive and active lean NOxcatalysts, NOxadsorbers and Selective Catalytic Reduction (SCR) systems);“delay time” means the time between the change of the component to be measured at the reference point and a system response of 10 % of the final reading (t10). For the gaseous components, this is basically the transport time of the measured component from the sampling probe to the detector. For the delay time, the sampling probe is defined as the reference point;“diesel engine” means an engine which works on the compression-ignition principle;“ELR test” means a test cycle consisting of a sequence of load steps at constant engine speeds to be applied in accordance with section 6.2 of this Annex;“ESC test” means a test cycle consisting of 13 steady state modes to be applied in accordance with section 6.2 of this Annex;“ETC test” means a test cycle consisting of 1 800 second-by-second transient modes to be applied in accordance with section 6.2 of this Annex;“element of design” means in respect of a vehicle or engine,—any control system, including computer software, electronic control systems and computer logic,—any control system calibrations,—the result of systems interaction,or—any hardware items,“emissions-related defect” means a deficiency or deviation from normal production tolerances in design, materials or workmanship in a device, system or assembly that affects any parameter, specification or component belonging to the emission control system. A missing component may be considered to be an “emissions-related defect”;“emission control strategy (ECS)” means an element or set of elements of design that is incorporated into the overall design of an engine system or vehicle for the purposes of controlling exhaust emissions that includes one BECS and one set of AECS;“emission control system” means the exhaust aftertreatment system, the electronic management controller(s) of the engine system and any emission-related component of the engine system in the exhaust which supplies an input to or receives an output from this(these) controller(s), and when applicable the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit with respect to emissions management;“engine-aftertreatment system family” means, for testing over a service accumulation schedule to establish deterioration factors according to Annex II to Commission Directive 2005/78/EC implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto(**)and for checking the conformity of in-service vehicles/engines according to Annex III to Directive 2005/78/EC, a manufacturer’s grouping of engines that comply with the definition of engine family but which are further grouped into engines utilising a similar exhaust after-treatment system;“engine system” means the engine, the emission control system and the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other powertrain or vehicle control unit;“engine family” means a manufacturers grouping of engine systems which, through their design as defined in Annex II, Appendix 2 to this Directive, have similar exhaust emission characteristics; all members of the family must comply with the applicable emission limit values;“engine operating speed range” means the engine speed range, most frequently used during engine field operation, which lies between the low and high speeds, as set out in Annex III to this Directive;“engine speeds A, B and C” means the test speeds within the engine operating speed range to be used for the ESC test and the ELR test, as set out in Annex III, Appendix 1 to this Directive;“engine setting” means a specific engine/vehicle configuration that includes the emission control strategy (ECS), one single engine performance rating (the type-approved full-load curve) and, if used, one set of torque limiters;“engine type” means a category of engines which do not differ in such essential respects as engine characteristics as defined in Annex II to this Directive;“exhaust aftertreatment system” means a catalyst (oxidation or 3-way), particulate filter, deNOxsystem, combined deNOxparticulate filter or any other emission-reducing device that is installed downstream of the engine. This definition excludes exhaust gas recirculation, which, where fitted, is considered an integral part of the engine system;“gas engine” means a positive-ignition engine which is fuelled with natural gas (NG) or liquefied petroleum gas (LPG);“gaseous pollutants” means carbon monoxide, hydrocarbons (assuming a ratio of CH1,85for diesel, CH2,525for LPG and CH2,93for NG (NMHC) and an assumed molecule CH3O0,5for ethanol-fuelled diesel engines), methane (assuming a ratio of CH4for NG) and oxides of nitrogen, the last-named being expressed in nitrogen dioxide (NO2) equivalent;“high speed (nhi)” means the highest engine speed where 70 % of the declared maximum power occurs;“low speed (nlo)” means the lowest engine speed where 50 % of the declared maximum power occurs;“major functional failure”(***)means a permanent or temporary malfunction of any exhaust aftertreatment system that is expected to result in an immediate or delayed increase of the gaseous or particulate emissions of the engine system and which cannot be properly estimated by the OBD system;“malfunction” means:—any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,—any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.A manufacturer may nevertheless consider a deterioration or failure that would result in emissions not exceeding the OBD threshold limits as a malfunction;“malfunction indicator (MI)” means a visual indicator that clearly informs the driver of the vehicle in the event of a malfunction in the sense of this Directive;“multi-setting engine” means an engine containing more than one engine setting;“NG gas range” means one of the H or L range as defined in European Standard EN 437, dated November 1993;“net power” means the power in EC kW obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EC method of measuring power as set out in Commission Directive 80/1269/EEC(****);“OBD” means an on-board diagnostic system for emission control, which has the capability of detecting the occurrence of a malfunction and of identifying the likely area of malfunction by means of fault codes stored in computer memory;“OBD-engine family” means, for type-approval of the OBD system according to the requirements of Annex IV to Directive 2005/78/EC, a manufacturer's grouping of engine systems having common OBD system design parameters according to section 8 of this Annex;“opacimeter” means an instrument designed to measure the opacity of smoke particles by means of the light extinction principle;“parent engine” means an engine selected from an engine family in such a way that its emissions characteristics will be representative for that engine family;“particulate aftertreatment device” means an exhaust aftertreatment system designed to reduce emissions of particulate pollutants (PT) through a mechanical, aerodynamic, diffusional or inertial separation;“particulate pollutants” means any material collected on a specified filter medium after diluting the exhaust with clean filtered air so that the temperature does not exceed 325 K (52 °C);“per cent load” means the fraction of the maximum available torque at an engine speed;“periodic regeneration” means the regeneration process of an emission control device that occurs periodically in less than 100 hours of normal engine operation. During cycles where regeneration occurs, emission standards can be exceeded.“permanent emission default mode” means an AECS activated in the case of a malfunction of the ECS detected by the OBD system that results in the MI being activated and that does not require an input from the failed component or system;“power take-off unit” means an engine-driven output device for the purposes of powering auxiliary, vehicle mounted, equipment;“reagent” means any medium that is stored on-board the vehicle in a tank and provided to the exhaust aftertreatment system (if required) upon request of the emission control system;“recalibration” means a fine tuning of an NG engine in order to provide the same performance (power, fuel consumption) in a different range of natural gas;“reference speed (nref)” means the 100 per cent speed value to be used for denormalising the relative speed values of the ETC test, as set out in Annex III, Appendix 2 to this Directive;“response time” means the difference in time between a rapid change of the component to be measured at the reference point and the appropriate change in the response of the measuring system whereby the change of the measured component is at least 60 % FS and takes place in less than 0,1 second. The system response time (t90) consists of the delay time to the system and of the rise time of the system (see also ISO 16183);“rise time” means the time between the 10 % and 90 % response of the final reading (t90–t10). This is the instrument response after the component to be measured has reached the instrument. For the rise time, the sampling probe is defined as the reference point;“self adaptability” means any engine device allowing the air/fuel ratio to be kept constant;“smoke” means particles suspended in the exhaust stream of a diesel engine which absorb, reflect, or refract light;“test cycle” means a sequence of test points each with a defined speed and torque to be followed by the engine under steady state (ESC test) or transient operating conditions (ETC, ELR test);“torque limiter” means a device that temporarily limits the maximum torque of the engine;“transformation time” means the time between the change of the component to be measured at the sampling probe and a system response of 50 % of the final reading (t50). The transformation time is used for the signal alignment of different measurement instruments;“useful life” means, for vehicles and engines that are type-approved to either row B1, row B2 or row C of the table given in section 6.2.1 of this Annex, the relevant period of distance and/or time that is defined in Article 3 (durability of emission control systems) of this Directive over which compliance with the relevant gaseous, particulate and smoke emission limits has to be assured as part of the type-approval;“Wobbe Index (lower Wl; or upper Wu)” means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions:Text of image“λ-shift factor (Sλ)” means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane (see Annex VII for the calculation of Sλ).2.2.   Symbols, abbreviations and international standards2.2.1.   Symbols for test parametersSymbolUnitTermApm2Cross sectional area of the isokinetic sampling probeAem2Cross sectional area of the exhaust pipecppm/vol. %ConcentrationCd—Discharge coefficient of SSV-CVSC1—Carbon 1 equivalent hydrocarbondmDiameterD0m3/sIntercept of PDP calibration functionD—Dilution factorD—Bessel function constantE—Bessel function constantEE—Ethane efficiencyEM—Methane efficiencyEZg/kWhInterpolated NOxemission of the control pointf1/sFrequencyfa—Laboratory atmospheric factorfcs–1Bessel filter cut-off frequencyFs—Stoichiometric factorHMJ/m3Calorific valueHag/kgAbsolute humidity of the intake airHdg/kgAbsolute humidity of the dilution airi—Subscript denoting an individual mode or instantaneous measurementK—Bessel constantkm–1Light absorption coefficientkfFuel specific factor for dry to wet correctionkh,D—Humidity correction factor for NOxfor diesel engineskh,G—Humidity correction factor for NOxfor gas enginesKVCFV calibration functionkW,a—Dry to wet correction factor for the intake airkW,d—Dry to wet correction factor for the dilution airkW,e—Dry to wet correction factor for the diluted exhaust gaskW,r—Dry to wet correction factor for the raw exhaust gasL%Percent torque related to the maximum torque for the test engineLamEffective optical path lengthMrag/molMolecular mass of the intake airMreg/molMolecular mass of the exhaustmdkgMass of the dilution air sample passed through the particulate sampling filtersmedkgTotal diluted exhaust mass over the cyclemedfkgMass of equivalent diluted exhaust over the cyclemewkgTotal exhaust mass over the cyclemfmgParticulate sample mass collectedmf,dmgParticulate sample mass of the dilution air collectedmgasg/h or gGaseous emissions mass flow (rate)msekgSample mass over the cyclemsepkgMass of the diluted exhaust sample passed through the particulate sampling filtersmsetkgMass of the double diluted exhaust sample passed through the particulate sampling filtersmssdkgMass of secondary dilution airN%OpacityNP—Total revolutions of PDP over the cycleNP,i—Revolutions of PDP during a time intervalnmin–1Engine speednps–1PDP speednhimin–1High engine speednlomin–1Low engine speednrefmin–1Reference engine speed for ETC testpakPaSaturation vapour pressure of the engine intake airpbkPaTotal atmospheric pressurepdkPaSaturation vapour pressure of the dilution airppkPaAbsolute pressureprkPaWater vapour pressure after cooling bathpskPaDry atmospheric pressurep1kPaPressure depression at pump inletP(a)kWPower absorbed by auxiliaries to be fitted for testP(b)kWPower absorbed by auxiliaries to be removed for testP(n)kWNet power non-correctedP(m)kWPower measured on test bedqmawkg/h or kg/sIntake air mass flow rate on wet basisqmadkg/h or kg/sIntake air mass flow rate on dry basisqmdwkg/h or kg/sDilution air mass flow rate on wet basisqmdewkg/h or kg/sDiluted exhaust gas mass flow rate on wet basisqmdew,ikg/sInstantaneous CVS flow rate mass on wet basisqmedfkg/h or kg/sEquivalent diluted exhaust gas mass flow rate on wet basisqmewkg/h or kg/sExhaust gas mass flow rate on wet basisqmfkg/h or kg/sFuel mass flow rateqmpkg/h or kg/sParticulate sample mass flow rateqvsdm3/minSample flow rate into analyser benchqvtcm3/minTracer gas flow rateΩ—Bessel constantQsm3/sPDP/CFV-CVS volume flow rateQSSVm3/sSSV-CVS volume flow ratera—Ratio of cross sectional areas of isokinetic probe and exhaust piperd—Dilution ratiorD—Diameter ratio of SSV-CVSrp—Pressure ratio of SSV-CVSrs—Sample ratioRf—FID response factorρkg/m3densitySkWDynamometer settingSim–1Instantaneous smoke valueSλ—λ-shift factorTKAbsolute temperatureTaKAbsolute temperature of the intake airtsMeasuring timetesElectrical response timetfsFilter response time for Bessel functiontpsPhysical response timeΔtsTime interval between successive smoke data (= 1/sampling rate)ΔtisTime interval for instantaneous CVS flowτ%Smoke transmittanceu—Ratio between densities of gas component and exhaust gasV0m3/revPDP gas volume pumped per revolutionVslSystem volume of analyser benchW—Wobbe indexWactkWhActual cycle work of ETCWrefkWhReference cycle work of ETCWF—Weighting factorWFE—Effective weighting factorX0m3/revCalibration function of PDP volume flow rateYim–11 s Bessel averaged smoke value(**)OJ L 313, 29.11.2005, p. 1."(***)Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC."(****)OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32).’ "
—
engine timing map,
—
EGR map,
—
SCR catalyst reagent dosing map;
—
an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or
—
a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,
—
any control system, including computer software, electronic control systems and computer logic,
—
any control system calibrations,
—
the result of systems interaction,or
—
any hardware items,
—
any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,
—
any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.
Symbol
Unit
Term
Ap
m2
Cross sectional area of the isokinetic sampling probe
Ae
m2
Cross sectional area of the exhaust pipe
c
ppm/vol. %
Concentration
Cd
—
Discharge coefficient of SSV-CVS
C1
—
Carbon 1 equivalent hydrocarbon
d
m
Diameter
D0
m3/s
Intercept of PDP calibration function
D
—
Dilution factor
D
—
Bessel function constant
E
—
Bessel function constant
EE
—
Ethane efficiency
EM
—
Methane efficiency
EZ
g/kWh
Interpolated NOxemission of the control point
f
1/s
Frequency
fa
—
Laboratory atmospheric factor
fc
s–1
Bessel filter cut-off frequency
Fs
—
Stoichiometric factor
H
MJ/m3
Calorific value
Ha
g/kg
Absolute humidity of the intake air
Hd
g/kg
Absolute humidity of the dilution air
i
—
Subscript denoting an individual mode or instantaneous measurement
K
—
Bessel constant
k
m–1
Light absorption coefficient
kf

Fuel specific factor for dry to wet correction
kh,D
—
Humidity correction factor for NOxfor diesel engines
kh,G
—
Humidity correction factor for NOxfor gas engines
KV

CFV calibration function
kW,a
—
Dry to wet correction factor for the intake air
kW,d
—
Dry to wet correction factor for the dilution air
kW,e
—
Dry to wet correction factor for the diluted exhaust gas
kW,r
—
Dry to wet correction factor for the raw exhaust gas
L
%
Percent torque related to the maximum torque for the test engine
La
m
Effective optical path length
Mra
g/mol
Molecular mass of the intake air
Mre
g/mol
Molecular mass of the exhaust
md
kg
Mass of the dilution air sample passed through the particulate sampling filters
med
kg
Total diluted exhaust mass over the cycle
medf
kg
Mass of equivalent diluted exhaust over the cycle
mew
kg
Total exhaust mass over the cycle
mf
mg
Particulate sample mass collected
mf,d
mg
Particulate sample mass of the dilution air collected
mgas
g/h or g
Gaseous emissions mass flow (rate)
mse
kg
Sample mass over the cycle
msep
kg
Mass of the diluted exhaust sample passed through the particulate sampling filters
mset
kg
Mass of the double diluted exhaust sample passed through the particulate sampling filters
mssd
kg
Mass of secondary dilution air
N
%
Opacity
NP
—
Total revolutions of PDP over the cycle
NP,i
—
Revolutions of PDP during a time interval
n
min–1
Engine speed
np
s–1
PDP speed
nhi
min–1
High engine speed
nlo
min–1
Low engine speed
nref
min–1
Reference engine speed for ETC test
pa
kPa
Saturation vapour pressure of the engine intake air
pb
kPa
Total atmospheric pressure
pd
kPa
Saturation vapour pressure of the dilution air
pp
kPa
Absolute pressure
pr
kPa
Water vapour pressure after cooling bath
ps
kPa
Dry atmospheric pressure
p1
kPa
Pressure depression at pump inlet
P(a)
kW
Power absorbed by auxiliaries to be fitted for test
P(b)
kW
Power absorbed by auxiliaries to be removed for test
P(n)
kW
Net power non-corrected
P(m)
kW
Power measured on test bed
qmaw
kg/h or kg/s
Intake air mass flow rate on wet basis
qmad
kg/h or kg/s
Intake air mass flow rate on dry basis
qmdw
kg/h or kg/s
Dilution air mass flow rate on wet basis
qmdew
kg/h or kg/s
Diluted exhaust gas mass flow rate on wet basis
qmdew,i
kg/s
Instantaneous CVS flow rate mass on wet basis
qmedf
kg/h or kg/s
Equivalent diluted exhaust gas mass flow rate on wet basis
qmew
kg/h or kg/s
Exhaust gas mass flow rate on wet basis
qmf
kg/h or kg/s
Fuel mass flow rate
qmp
kg/h or kg/s
Particulate sample mass flow rate
qvs
dm3/min
Sample flow rate into analyser bench
qvt
cm3/min
Tracer gas flow rate
Ω
—
Bessel constant
Qs
m3/s
PDP/CFV-CVS volume flow rate
QSSV
m3/s
SSV-CVS volume flow rate
ra
—
Ratio of cross sectional areas of isokinetic probe and exhaust pipe
rd
—
Dilution ratio
rD
—
Diameter ratio of SSV-CVS
rp
—
Pressure ratio of SSV-CVS
rs
—
Sample ratio
Rf
—
FID response factor
ρ
kg/m3
density
S
kW
Dynamometer setting
Si
m–1
Instantaneous smoke value
Sλ
—
λ-shift factor
T
K
Absolute temperature
Ta
K
Absolute temperature of the intake air
t
s
Measuring time
te
s
Electrical response time
tf
s
Filter response time for Bessel function
tp
s
Physical response time
Δt
s
Time interval between successive smoke data (= 1/sampling rate)
Δti
s
Time interval for instantaneous CVS flow
τ
%
Smoke transmittance
u
—
Ratio between densities of gas component and exhaust gas
V0
m3/rev
PDP gas volume pumped per revolution
Vs
l
System volume of analyser bench
W
—
Wobbe index
Wact
kWh
Actual cycle work of ETC
Wref
kWh
Reference cycle work of ETC
WF
—
Weighting factor
WFE
—
Effective weighting factor
X0
m3/rev
Calibration function of PDP volume flow rate
Yi
m–1
1 s Bessel averaged smoke value
(c)
Former sections 2.32.2 and 2.32.3 become sections 2.2.2 and 2.2.3 respectively.
(d)
The following sections 2.2.4 and 2.2.5 are added:‘2.2.4.   Symbols for the fuel compositionwALFhydrogen content of fuel, % masswBETcarbon content of fuel, % masswGAMsulphur content of fuel, % masswDELnitrogen content of fuel, % masswEPSoxygen content of fuel, % massαmolar hydrogen ratio (H/C)βmolar carbon ratio (C/C)γmolar sulphur ratio (S/C)δmolar nitrogen ratio (N/C)εmolar oxygen ratio (O/C)referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.2.2.5.   Standards referenced by this DirectiveISO 15031-1ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.ISO 15031-2ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.ISO 15031-3ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.SAE J1939-13SAE J1939-13: Off-Board Diagnostic Connector.ISO 15031-4ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.SAE J1939-73SAE J1939-73: Application Layer – Diagnostics.ISO 15031-5ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.ISO 15031-6ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.SAE J2012SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.ISO 15031-7ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.SAE J2186SAE J2186: E/E Data Link Security, dated October 1996.ISO 15765-4ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.SAE J1939SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.ISO 16185ISO 16185: 2000 Road vehicles – Engine family for homologation.ISO 2575ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.ISO 16183ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’
wALF
hydrogen content of fuel, % mass
wBET
carbon content of fuel, % mass
wGAM
sulphur content of fuel, % mass
wDEL
nitrogen content of fuel, % mass
wEPS
oxygen content of fuel, % mass
α
molar hydrogen ratio (H/C)
β
molar carbon ratio (C/C)
γ
molar sulphur ratio (S/C)
δ
molar nitrogen ratio (N/C)
ε
molar oxygen ratio (O/C)
referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.
ISO 15031-1
ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.
ISO 15031-2
ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.
ISO 15031-3
ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.
SAE J1939-13
SAE J1939-13: Off-Board Diagnostic Connector.
ISO 15031-4
ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.
SAE J1939-73
SAE J1939-73: Application Layer – Diagnostics.
ISO 15031-5
ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.
ISO 15031-6
ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.
SAE J2012
SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.
ISO 15031-7
ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.
SAE J2186
SAE J2186: E/E Data Link Security, dated October 1996.
ISO 15765-4
ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.
SAE J1939
SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.
ISO 16185
ISO 16185: 2000 Road vehicles – Engine family for homologation.
ISO 2575
ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.
ISO 16183
ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’
(e)
Section 3.1.1 is replaced by the following:3.1.1.   The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the engine manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’
(f)
Section 3.2.1 is replaced by the following:3.2.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’
(g)
The following section 3.2.3 is added:3.2.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’
(h)
Section 3.3.1 is replaced by the following:3.3.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.’
(i)
The following section 3.3.3 is added:3.3.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’
(j)
The following section 3.4 is added:‘3.4.   On-board diagnostic systemsThe application for approval of an engine equipped with an on-board diagnostic (OBD) system must be accompanied by the information required in section 9 of Appendix 1 to Annex II (description of the parent engine) and/or section 6 of Appendix 3 to Annex II (description of an engine type within the family) together with:3.4.1.1.   Detailed written information fully describing the functional operation characteristics of the OBD system, including a listing of all relevant parts of the engine's emission control system, i.e. sensors, actuators and components, that are monitored by the OBD system;Where applicable, a declaration by the manufacturer of the parameters that are used as a basis for major functional failure monitoring and, in addition:3.4.1.2.1.   The manufacturer shall provide the technical service with a description of potential failures within the emission control system that will have an effect on emissions. This information shall be subject to discussion and agreement between the technical service and the vehicle manufacturer.3.4.1.3.   Where applicable, a description of the communication interface (hardware and messages) between the engine electronic control unit (EECU) and any other powertrain or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control system.3.4.1.4.   Where appropriate, copies of other type-approvals with the relevant data to enable extensions of approvals.3.4.1.5.   If applicable, the particulars of the engine family as referred to in section 8 of this Annex.3.4.1.6.   The manufacturer must describe provisions taken to prevent tampering with and modification of the EECU or any interface parameter considered in section 3.4.1.3.’
(k)
In section 5.1.3 the footnote is deleted.
(l)
Section 6.1 is replaced by the following:‘6.1.   General6.1.1.   Emission control equipment6.1.1.1.   The components liable to affect, where appropriate, the emission of gaseous and particulate pollutants from diesel and gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive.The use of a defeat strategy is forbidden.6.1.2.1.   The use of a multi-setting engine is forbidden until appropriate and robust provisions for multi-setting engines are laid down in this Directive(*).6.1.3.   Emission control strategy6.1.3.1.   Any element of design and emission control strategy (ECS) liable to affect the emission of gaseous and particulate pollutants from diesel engines and the emission of gaseous pollutants from gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive. ECS consists of the base emission control strategy (BECS) and usually one or more auxiliary emission control strategies (AECS).6.1.4.   Requirements for base emission control strategy6.1.4.1.   The base emission control strategy (BECS) shall be so designed as to enable the engine, in normal use, to comply with the provisions of this Directive. Normal use is not restricted to the conditions of use as specified in paragraph 6.1.5.4.6.1.5.   Requirements for auxiliary emission control strategy6.1.5.1.   An auxiliary emission control strategy (AECS) may be installed to an engine or on a vehicle provided that the AECS:—operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or—is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.6.1.5.2.   An auxiliary emission control strategy (AECS) that operates within the conditions of use specified in section 6.1.5.4 and which results in the use of a different or modified emission control strategy (ECS) to that normally employed during the applicable emission test cycles will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure does not permanently reduce the effectiveness of the emission control system. In all other cases, such strategy shall be considered to be a defeat strategy.6.1.5.3.   An auxiliary emission control strategy (AECS) that operates outside the conditions of use specified in section 6.1.5.4 will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure is the minimum strategy necessary for the purposes of paragraph 6.1.5.6 with respect to environmental protection and other technical aspects. In all other cases, such a strategy shall be considered to be a defeat strategy.6.1.5.4.   As provided for in section 6.1.5.1, the following conditions of use apply under steady state and transient engine operations:—an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and—an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and—engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).6.1.5.5.   An auxiliary emission control strategy (AECS) may be installed to an engine, or on a vehicle, provided that the operation of the AECS is included in the applicable type-approval test and is activated according to section 6.1.5.6.6.1.5.6.   The AECS is activated:—only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or—for purposes such as operational safety, permanent emission default modes and limp-home strategies,or—for such purposes as excessive emissions prevention, cold start or warming-up,or—if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.6.1.6.   Requirements for torque limiters6.1.6.1.   A torque limiter will be permitted if it complies with the requirements of section 6.1.6.2. or 6.5.5. In all other cases, a torque limiter shall be considered to be a defeat strategy.6.1.6.2.   A torque limiter may be installed to an engine, or on a vehicle, provided that:—the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and—the torque limiter is active only temporarily,and—the torque limiter does not modify the emission control strategy (ECS),and—in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and—is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.6.1.7.   Special requirements for electronic emission control systems6.1.7.1.   Documentation requirementsThe manufacturer shall provide a documentation package that gives access to any element of design and emission control strategy (ECS), and torque limiter of the engine system and the means by which it controls its output variables, whether that control is direct or indirect. The documentation shall be made available in two parts:(a)the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;(b)additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.The additional material shall also contain a justification for the use of any AECS and include additional material and test data to demonstrate the effect on exhaust emissions of any AECS installed to the engine or on the vehicle. The justification for the use of an AECS may be based on test data and/or sound engineering analysis.This additional material shall remain strictly confidential, and be made available to the type-approval authority on request. The type-approval authority will keep this material confidential.6.1.8.   Specifically for the type-approval of engines according to row A of the tables in section 6.2.1 (engines not normally tested on ETC)6.1.8.1.   To verify whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, the type-approval authority and/or the technical service may additionally request a NOxscreening test using the ETC which may be carried out in combination with either the type-approval test or the procedures for checking the conformity of production.6.1.8.2.   In verifying whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, an additional margin of 10 %, related to the appropriate NOxlimit value, shall be accepted.6.1.9.   The transitional provisions for extension of type-approval are given in section 6.1.5 of Annex I to Directive 2001/27/EC.Until the 8 November 2006, the existing approval certificate number will remain valid. In case of extension, only the sequential number to denote the extension base approval number will change as follows:Example for the second extension of the fourth approval corresponding to application date A, issued by Germany:e1*88/77*2001/27A*0004*026.1.10.   Provisions for electronic system security6.1.10.1.   Any vehicle with an Emission Control Unit must include features to deter modification, except as authorised by the manufacturer. The manufacturer shall authorise modifications if these modifications are necessary for the diagnosis, servicing, inspection, retrofitting or repair of the vehicle. Any reprogrammable computer codes or operating parameters must be resistant to tampering and afford a level of protection at least as good as the provisions in ISO 15031-7 (SAE J2186) provided that the security exchange is conducted using the protocols and diagnostic connector as prescribed in section 6 of Annex IV to Directive 2005/78/EC. Any removable calibration memory chips must be potted, encased in a sealed container or protected by electronic algorithms and must not be changeable without the use of specialised tools and procedures.6.1.10.2.   Computer-coded engine operating parameters must not be changeable without the use of specialised tools and procedures (e.g. soldered or potted computer components or sealed (or soldered) computer enclosures).6.1.10.3.   Manufacturers must take adequate steps to protect the maximum fuel delivery setting from tampering while a vehicle is in-service.6.1.10.4.   Manufacturers may apply to the approval authority for an exemption from one of these requirements for those vehicles that are unlikely to require protection. The criteria that the approval authority will evaluate in considering an exemption will include, but are not limited to, the current availability of performance chips, the high-performance capability of the vehicle and the projected sales volume of the vehicle.6.1.10.5.   Manufacturers using programmable computer code systems (e.g. electrical erasable programmable read-only memory, EEPROM) must deter unauthorised reprogramming. Manufacturers must include enhanced tamper-protection strategies and write protect features requiring electronic access to an off-site computer maintained by the manufacturer. Alternative methods giving an equivalent level of tamper protection may be approved by the authority.(*)The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive."(**)Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”."(***)This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’ "
—
operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or
—
is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.
—
an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and
—
an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and
—
engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).
—
only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or
—
for purposes such as operational safety, permanent emission default modes and limp-home strategies,or
—
for such purposes as excessive emissions prevention, cold start or warming-up,or
—
if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.
—
the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and
—
the torque limiter is active only temporarily,and
—
the torque limiter does not modify the emission control strategy (ECS),and
—
in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and
—
is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.
(a)
the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;
(b)
additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.
(m)
The introductory part of Section 6.2 is replaced by the following:‘6.2.   Specifications Concerning the Emission of Gaseous and Particulate Pollutants and SmokeFor type approval to row A of the tables in section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including deNOxcatalysts and/or particulate traps, shall additionally be tested on the ETC test.For type approval testing to either row B1 or B2 or row C of the tables in section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests.For gas engines, the gaseous emissions shall be determined on the ETC test.The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3.The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system.Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions, only the full flow dilution system or the partial flow dilution system meeting the requirements of ISO 16183 are recognised as equivalent reference systems. “Results” refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency of the sample pair averages shall be determined byF-test andt-test statistics as described in Appendix 4 to this Annex obtained under these laboratory, test cell and engine conditions. Outliers shall be determined in accordance with ISO 5725 and excluded from the database. 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.’
(n)
The following sections 6.3, 6.4 and 6.5 are added:‘6.3.   Durability and deterioration factors6.3.1.   For the purposes of this Directive, the manufacturer shall determine deterioration factors that will be used to demonstrate that the gaseous and particulate emissions of an engine family or engine-aftertreatment system family remain in conformity with the appropriate emission limits specified in the tables in section 6.2.1 of this Annex over the appropriate durability period laid down in Article 3 to this Directive.6.3.2.   The procedures for demonstrating the compliance of an engine or engine-aftertreatment system family with the relevant emission limits over the appropriate durability period are given in Annex II to Directive 2005/78/EC.6.4.   On-Board Diagnostic (OBD) system6.4.1.   As laid down in Articles 4(1) and 4(2) of this Directive, diesel engines or vehicles equipped with a diesel engine must be fitted with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.As laid down in Article 4(2) of this Directive, gas engines or vehicles equipped with a gas engine must be fitted, with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.6.4.2.   Small batch engine productionAs an alternative to the requirements of this section, engine manufacturers whose world-wide annual production of a type of engine, belonging to an OBD engine family,—is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;—is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.The type-approval authority must inform the Commission of the circumstances of each type-approval granted under this provision.6.5.   Requirements to ensure correct operation of NOxcontrol measures(*)6.5.1.   General6.5.1.1.   This section is applicable to all engine systems irrespective of the technology used to comply with the emission limit values given in the tables in section 6.2.1 of this Annex.6.5.1.2.   Application datesThe Requirements of sections 6.5.3, 6.5.4 and 6.5.5 shall apply from 1 October 2006 for new type approvals and from 1 October 2007 for all registrations of new vehicles.6.5.1.3.   Any engine system covered by this section shall be designed, constructed and installed so as to be capable of meeting these requirements over the useful life of the engine.6.5.1.4.   Information that fully describes the functional operational characteristics of an engine system covered by this section shall be provided by the manufacturer in Annex II to this Directive.6.5.1.5.   In its application for type-approval, if the engine system requires a reagent, the manufacturer shall specify the characteristics of all reagent(s) consumed by any exhaust aftertreatment system, e.g. type and concentrations, operational temperature conditions, reference to international standards etc.6.5.1.6.   With reference to section 6.1, any engine system covered by this section shall retain its emission control function during all conditions regularly pertaining in the territory of the European Union, especially at low ambient temperatures.6.5.1.7.   For the purpose of type-approval, the manufacturer shall demonstrate to the Technical Service that for engine systems that require a reagent, any emission of ammonia does not exceed, over the applicable emissions test cycle, a mean value of 25 ppm.6.5.1.8.   For engine systems requiring a reagent, each separate reagent tank installed on a vehicle shall include a means for taking a sample of any fluid inside the tank. The sampling point shall be easily accessible without the use of any specialised tool or device.6.5.2.   Maintenance requirements6.5.2.1.   The manufacturer shall furnish or cause to be furnished to all owners of new heavy-duty vehicles or new heavy-duty engines written instructions that shall state that if the vehicle emission control system is not functioning correctly, the driver shall be informed of a problem by the malfunction indicator (MI) and the engine shall consequentially operate with a reduced performance.6.5.2.2.   The instructions will indicate requirements for the proper use and maintenance of vehicles, including where relevant the use of consumable reagents.6.5.2.3.   The instructions shall be written in clear and non-technical language and in the language of the country in which a new heavy-duty vehicle or new heavy-duty engine is sold or registered.6.5.2.4.   The instructions shall specify if consumable reagents have to be refilled by the vehicle operator between normal maintenance intervals and shall indicate a likely rate of reagent consumption according to the type of new heavy-duty vehicle.6.5.2.5.   The instructions shall specify that use of and refilling of a required reagent of the correct specifications when indicated is mandatory for the vehicle to comply with the certificate of conformity issued for that vehicle or engine type.6.5.2.6.   The instructions shall state that it may be a criminal offence to use a vehicle that does not consume any reagent if it is required for the reduction of pollutant emissions and that, in consequence, any favourable conditions for the purchase or operation of the vehicle obtained in the country of registration or other country in which the vehicle is used may become invalid.6.5.3.   Engine system NOxcontrol6.5.3.1.   Incorrect operation of the engine system with respect to NOxemissions control (for example due to lack of any required reagent, incorrect EGR flow or deactivation of EGR) shall be determined through monitoring of the NOxlevel by sensors positioned in the exhaust stream.6.5.3.2.   Engine systems shall be equipped with a method for determining the NOxlevel in the exhaust stream. Any deviation in NOxlevel more than 1,5 g/kwh above the applicable limit value given in table I of section 6.2.1 of Annex I to this Directive, shall result in the driver being informed by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC).6.5.3.3.   In addition, a non-erasable fault code identifying the reason why NOxexceeds the levels specified in the paragraph above shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for at least 400 days or 9 600 hours of engine operation.6.5.3.4.   If the NOxlevel exceeds the OBD threshold limit values given in the table in Article 4(3) of this Directive(**), a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle. When the torque limiter is activated the driver shall continue to be alerted according to the requirements of section 6.5.3.2.6.5.3.5.   In the case of engine systems that rely on the use of EGR and no other aftertreatment system for NOxemissions control, the manufacturer may utilise an alternative method to the requirements of paragraph 6.5.3.1 for the determination of the NOxlevel. At the time of type approval the manufacturer shall demonstrate that the alternative method is equally timely and accurate in determining the NOxlevel compared to the requirements of paragraph 6.5.3.1 and that it triggers the same consequences as those referred to in sections 6.5.3.2, 6.5.3.3 and 6.5.3.4.6.5.4.   Reagent control6.5.4.1.   For vehicles that require the use of a reagent to fulfil the requirements of this section, the driver shall be informed of the level of reagent in the on-vehicle reagent storage tank through a specific mechanical or electronic indication on the vehicle’s dashboard. This shall include a warning when the level of reagent goes:—below 10 % of the tank or a higher percentage at the choice of the manufacturer,or—below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.The reagent indicator shall be placed in close proximity to the fuel level indicator.6.5.4.2.   The driver shall be informed, according to the requirements of section 3.6.5 of Annex IV to Directive 2005/78/EC, if the reagent tank becomes empty.6.5.4.3.   As soon as the reagent tank becomes empty, the requirements of section 6.5.5 shall apply in addition to the requirements of section 6.5.4.2.6.5.4.4.   A manufacturer may choose to comply with the sections 6.5.4.5 to 6.5.4.13 as an alternative to complying with the requirements of section 6.5.3.6.5.4.5.   Engine systems shall include a means of determining that a fluid corresponding to the reagent characteristics declared by the manufacturer and recorded in Annex II to this Directive is present on the vehicle.6.5.4.6.   If the fluid in the reagent tank does not correspond to the minimum requirements declared by the manufacturer as recorded in Annex II to this Directive the additional requirements of section 6.5.4.13 shall apply.6.5.4.7.   Engine systems shall include a means for determining reagent consumption and providing off-board access to consumption information.6.5.4.8.   Average reagent consumption and average demanded reagent consumption by the engine system either over the previous complete 48 hour period of engine operation or the period needed for a demanded reagent consumption of at least 15 litres, whichever is longer, shall be available via the serial port of the standard diagnostic connector (see section 6.8.3 of Annex IV to Directive 2005/78/EC).6.5.4.9.   In order to monitor reagent consumption, at least the following parameters within the engine shall be monitored:—level of reagent in on-vehicle storage tank,—flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.6.5.4.10.   Any deviation more than 50 % in average reagent consumption and average demanded reagent consumption by the engine system over the period defined in section 6.5.4.8 shall result in application of the measures laid down in paragraph 6.5.4.13.6.5.4.11.   In the case of interruption in reagent dosing activity the measures laid down in paragraph 6.5.4.13 shall apply. This is not required where such interruption is demanded by the engine ECU because engine operating conditions are such that the engine’s emission performance does not require reagent dosing, provided that the manufacturer has clearly informed the approval authority when such operating conditions apply.6.5.4.12.   If the NOxlevel exceeds 7,0 g/kWh on the ETC test cycle the measures laid down in section 6.5.4.13 shall apply.6.5.4.13.   Where reference is made to this section, the driver shall be alerted by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC) and a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle.A non-erasable fault code identifying the reason for torque limiter activation shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for a minimum of 400 days or 9 600 hours of engine operation.6.5.5.   Measures to discourage tampering of exhaust aftertreatment systems6.5.5.1.   Any engine system covered by this section shall include a torque limiter that will alert the driver that the engine system is operating incorrectly or the vehicle is being operated in an incorrect manner and thereby encourage the prompt rectification of any fault(s).6.5.5.2.   The torque limiter shall be activated when the vehicle becomes stationary for the first time after the conditions of either sections 6.5.3.4, 6.5.4.3, 6.5.4.6, 6.5.4.10, 6.5.4.11 or 6.5.4.12 have occurred.6.5.5.3.   Where the torque limiter comes into effect, the engine torque shall not, in any case, exceed a constant value of:—60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,—75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.6.5.5.4.   The scheme of torque limitation is set out in sections 6.5.5.5 to 6.5.5.6.6.5.5.5.   Detailed written information fully describing the functional operation characteristics of the torque limiter shall be specified according to the documentation requirements of section 6.1.7.1 of this Annex.6.5.5.6.   The torque limiter shall be deactivated when the engine speed is at idle if the conditions for its activation have ceased to exist. The torque limiter shall not be automatically deactivated without the reason for its activation being remedied.6.5.5.7.   Demonstration of torque limiter6.5.5.7.1.   As part of the application for type-approval provided for in section 3 of this Annex, the manufacturer shall demonstrate the operation of the torque limiter either by tests on an engine dynamometer or by a vehicle test.6.5.5.7.2.   If an engine dynamometer test is to be carried out the manufacturer shall run consecutive ETC test cycles in order to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.6.5.5.7.3.   If a vehicle test is to be carried out, the vehicle shall be driven over the road or test track to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.(*)The Commission intends to review this section by 31 December 2006."(**)The Commission intends to review those values by 31 December 2005.’ "
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is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;
—
is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.
—
below 10 % of the tank or a higher percentage at the choice of the manufacturer,or
—
below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.
—
level of reagent in on-vehicle storage tank,
—
flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.
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60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,
—
75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.
(o)
Section 8.1 is replaced by the following:‘8.1.   Parameters defining the engine familyThe engine family, as determined by the engine manufacturer must comply with the provisions of ISO 16185.’
(p)
The following section 8.3 is added:‘8.3.   Parameters for defining an OBD-engine familyThe OBD-engine family may be defined by basic design parameters that must be common to engine systems within the family.In order that engine systems may be considered to belong to the same OBD-engine family, the following list of basic parameters must be common,—the methods of OBD monitoring,—the methods of malfunction detection.unless these methods have been shown as equivalent by the manufacturer by means of relevant engineering demonstration or other appropriate procedures.Note:engines that do not belong to the same engine family may still belong to the same OBD-engine family provided the above mentioned criteria are satisfied.’
—
the methods of OBD monitoring,
—
the methods of malfunction detection.
(q)
Section 9.1 is replaced by the following:9.1.   Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. In applying Appendices 1, 2 or 3, the measured emission of the gaseous and particulate pollutants from engines subject to checking for conformity of production shall be adjusted by application of the appropriate deterioration factors (DF’s) for that engine as recorded in section 1.5 of the Appendix to Annex VI.Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer.’
(r)
The following section 9.1.2 is added:‘9.1.2.   On-Board Diagnostics (OBD)9.1.2.1.   If a verification of the conformity of production of the OBD system is to be carried out, it must be conducted in accordance with the following:9.1.2.2.   When the approval authority determines that the quality of production seems unsatisfactory an engine is randomly taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on an engine that has been run-in up to a maximum of 100 hours.9.1.2.3.   The production is deemed to conform if this engine meets the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.9.1.2.4   If the engine taken from the series does not satisfy the requirements of section 9.1.2.2, a further random sample of four engines must be taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on engines that have been run-in up to a maximum of 100 hours.9.1.2.5.   The production is deemed to conform if at least three engines out of the further random sample of four engines meet the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.’
(s)
The following section 10 is added:‘10.   CONFORMITY OF IN-SERVICE VEHICLES/ENGINES10.1.   For the purpose of this Directive, the conformity of in-service vehicles/engines must be checked periodically over the useful life period of an engine installed in a vehicle.10.2.   With reference to type-approvals granted for emissions, additional measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use.10.3.   The procedures to be followed regarding the conformity of in-service vehicles/engines are given in Annex III to Directive 2005/78/EC.’
(t)
Appendix 1, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’
L
=
the natural logarithm of the limit value for the pollutant
xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample
s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)
n
=
the current sample number.’
(u)
In Appendix 2, section 3 and the introductory phrase of section 4 are replaced by the following:3.   The values of the pollutants given in section 6.2.1 of Annex I, after having applied the relevant DF, are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m0and m denote the minimum and maximum sample size respectively (m0= 3 and m = 32) and let n denote the current sample number.4.   If the natural logarithms of the measured values (after having applied the relevant DF) in the series are x1, x2, … xiand L is the natural logarithm of the limit value for the pollutant, then, define:’
(v)
In Appendix 3, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’
L
=
the natural logarithm of the limit value for the pollutant
xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample
s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)
n
=
the current sample number.’
(w)
A following Appendix 4 is added:‘Appendix 4DETERMINATION OF SYSTEM EQUIVALENCEThe determination of system equivalency according to section 6.2 of this Annex shall be based on a 7 sample pair (or larger) correlation study between the candidate system and one of the accepted reference systems of this Directive using the appropriate test cycle(s). The equivalency criteria to be applied shall be the F-test and the two-sided Student t-test.This statistical method examines the hypothesis that the population standard deviation and mean value for an emission measured with the candidate system do not differ from the standard deviation and population mean value for that emission measured with the reference system. The hypothesis shall be tested on the basis of a 5 % significance level of the F and t values. The critical F and t values for 7 to 10 sample pairs are given in the table below. If the F and t values calculated according to the formulae below are greater than the critical F and t values, the candidate system is not equivalent.The following procedure shall be followed. The subscripts R and C refer to the reference and candidate system, respectively:(a)Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.(b)Calculate the mean values xRand xCand the standard deviations sRand sC.(c)Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)(d)Calculate the t value, as follows:Text of image(e)Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.(f)Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101(g)Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
(a)
Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.
(b)
Calculate the mean values xRand xCand the standard deviations sRand sC.
(c)
Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)
(d)
Calculate the t value, as follows:Text of image
(e)
Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.
(f)
Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101
for the F-test
:
df = nR– 1 / nC– 1
for the t-test
:
df = nC+ nR– 2
Sample Size
F-test
t-test

df
Fcrit
df
tcrit
7
6/6
4,284
12
2,179
8
7/7
3,787
14
2,145
9
8/8
3,438
16
2,120
10
9/9
3,179
18
2,101
(g)
Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,
—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

(a)
Section 1 is replaced by the following:‘1.   SCOPEThis Directive applies to the control of gaseous and particulate pollutants, useful life of emission control devices, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants, useful life, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with positive-ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive-ignition engines as specified in Article 1 with the exception of compression-ignition engines of those vehicles of category N1, N2and M2and of positive-ignition engines fuelled with natural gas or LPG of those vehicles of category N1for which type-approval has been granted under Council Directive 70/220/EEC(*).(*)OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29).’ "

(b)
In section 2, the title and sections 2.1 to 2.32.1 are replaced by the following:‘2.   DEFINITIONS2.1.   For the purposes of this Directive, the following definitions shall apply:“approval of an engine (engine family)” means the approval of an engine type (engine family) with regard to the level of the emission of gaseous and particulate pollutants;“auxiliary emission control strategy (AECS)” means an emission control strategy that becomes active or that modifies the base emission control strategy for a specific purpose or purposes and in response to a specific set of ambient and/or operating conditions, e.g. vehicle speed, engine speed, gear used, intake temperature, or intake pressure;“base emission control strategy (BECS)” means an emission control strategy that is active throughout the speed and load operating range of the engine unless an AECS is activated. Examples for BECS are, but are not limited to:—engine timing map,—EGR map,—SCR catalyst reagent dosing map;“combined deNOx-particulate filter” means an exhaust aftertreatment system designed to concurrently reduce emissions of oxides of nitrogen (NOx) and particulate pollutants (PT);“continuous regeneration” means the regeneration process of an exhaust aftertreatment system that occurs either permanently or at least once per ETC test. Such a regeneration process will not require a special test procedure;“control area” means the area between the engine speeds A and C and between 25 to 100 per cent load;“declared maximum power (Pmax)” means the maximum power in EC kW (net power) as declared by the manufacturer in his application for type-approval;“defeat strategy” means:—an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or—a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,“deNOxsystem” means an exhaust aftertreatment system designed to reduce emissions of oxides of nitrogen (NOx) (e.g. there are presently passive and active lean NOxcatalysts, NOxadsorbers and Selective Catalytic Reduction (SCR) systems);“delay time” means the time between the change of the component to be measured at the reference point and a system response of 10 % of the final reading (t10). For the gaseous components, this is basically the transport time of the measured component from the sampling probe to the detector. For the delay time, the sampling probe is defined as the reference point;“diesel engine” means an engine which works on the compression-ignition principle;“ELR test” means a test cycle consisting of a sequence of load steps at constant engine speeds to be applied in accordance with section 6.2 of this Annex;“ESC test” means a test cycle consisting of 13 steady state modes to be applied in accordance with section 6.2 of this Annex;“ETC test” means a test cycle consisting of 1 800 second-by-second transient modes to be applied in accordance with section 6.2 of this Annex;“element of design” means in respect of a vehicle or engine,—any control system, including computer software, electronic control systems and computer logic,—any control system calibrations,—the result of systems interaction,or—any hardware items,“emissions-related defect” means a deficiency or deviation from normal production tolerances in design, materials or workmanship in a device, system or assembly that affects any parameter, specification or component belonging to the emission control system. A missing component may be considered to be an “emissions-related defect”;“emission control strategy (ECS)” means an element or set of elements of design that is incorporated into the overall design of an engine system or vehicle for the purposes of controlling exhaust emissions that includes one BECS and one set of AECS;“emission control system” means the exhaust aftertreatment system, the electronic management controller(s) of the engine system and any emission-related component of the engine system in the exhaust which supplies an input to or receives an output from this(these) controller(s), and when applicable the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit with respect to emissions management;“engine-aftertreatment system family” means, for testing over a service accumulation schedule to establish deterioration factors according to Annex II to Commission Directive 2005/78/EC implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto(**)and for checking the conformity of in-service vehicles/engines according to Annex III to Directive 2005/78/EC, a manufacturer’s grouping of engines that comply with the definition of engine family but which are further grouped into engines utilising a similar exhaust after-treatment system;“engine system” means the engine, the emission control system and the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other powertrain or vehicle control unit;“engine family” means a manufacturers grouping of engine systems which, through their design as defined in Annex II, Appendix 2 to this Directive, have similar exhaust emission characteristics; all members of the family must comply with the applicable emission limit values;“engine operating speed range” means the engine speed range, most frequently used during engine field operation, which lies between the low and high speeds, as set out in Annex III to this Directive;“engine speeds A, B and C” means the test speeds within the engine operating speed range to be used for the ESC test and the ELR test, as set out in Annex III, Appendix 1 to this Directive;“engine setting” means a specific engine/vehicle configuration that includes the emission control strategy (ECS), one single engine performance rating (the type-approved full-load curve) and, if used, one set of torque limiters;“engine type” means a category of engines which do not differ in such essential respects as engine characteristics as defined in Annex II to this Directive;“exhaust aftertreatment system” means a catalyst (oxidation or 3-way), particulate filter, deNOxsystem, combined deNOxparticulate filter or any other emission-reducing device that is installed downstream of the engine. This definition excludes exhaust gas recirculation, which, where fitted, is considered an integral part of the engine system;“gas engine” means a positive-ignition engine which is fuelled with natural gas (NG) or liquefied petroleum gas (LPG);“gaseous pollutants” means carbon monoxide, hydrocarbons (assuming a ratio of CH1,85for diesel, CH2,525for LPG and CH2,93for NG (NMHC) and an assumed molecule CH3O0,5for ethanol-fuelled diesel engines), methane (assuming a ratio of CH4for NG) and oxides of nitrogen, the last-named being expressed in nitrogen dioxide (NO2) equivalent;“high speed (nhi)” means the highest engine speed where 70 % of the declared maximum power occurs;“low speed (nlo)” means the lowest engine speed where 50 % of the declared maximum power occurs;“major functional failure”(***)means a permanent or temporary malfunction of any exhaust aftertreatment system that is expected to result in an immediate or delayed increase of the gaseous or particulate emissions of the engine system and which cannot be properly estimated by the OBD system;“malfunction” means:—any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,—any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.A manufacturer may nevertheless consider a deterioration or failure that would result in emissions not exceeding the OBD threshold limits as a malfunction;“malfunction indicator (MI)” means a visual indicator that clearly informs the driver of the vehicle in the event of a malfunction in the sense of this Directive;“multi-setting engine” means an engine containing more than one engine setting;“NG gas range” means one of the H or L range as defined in European Standard EN 437, dated November 1993;“net power” means the power in EC kW obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EC method of measuring power as set out in Commission Directive 80/1269/EEC(****);“OBD” means an on-board diagnostic system for emission control, which has the capability of detecting the occurrence of a malfunction and of identifying the likely area of malfunction by means of fault codes stored in computer memory;“OBD-engine family” means, for type-approval of the OBD system according to the requirements of Annex IV to Directive 2005/78/EC, a manufacturer's grouping of engine systems having common OBD system design parameters according to section 8 of this Annex;“opacimeter” means an instrument designed to measure the opacity of smoke particles by means of the light extinction principle;“parent engine” means an engine selected from an engine family in such a way that its emissions characteristics will be representative for that engine family;“particulate aftertreatment device” means an exhaust aftertreatment system designed to reduce emissions of particulate pollutants (PT) through a mechanical, aerodynamic, diffusional or inertial separation;“particulate pollutants” means any material collected on a specified filter medium after diluting the exhaust with clean filtered air so that the temperature does not exceed 325 K (52 °C);“per cent load” means the fraction of the maximum available torque at an engine speed;“periodic regeneration” means the regeneration process of an emission control device that occurs periodically in less than 100 hours of normal engine operation. During cycles where regeneration occurs, emission standards can be exceeded.“permanent emission default mode” means an AECS activated in the case of a malfunction of the ECS detected by the OBD system that results in the MI being activated and that does not require an input from the failed component or system;“power take-off unit” means an engine-driven output device for the purposes of powering auxiliary, vehicle mounted, equipment;“reagent” means any medium that is stored on-board the vehicle in a tank and provided to the exhaust aftertreatment system (if required) upon request of the emission control system;“recalibration” means a fine tuning of an NG engine in order to provide the same performance (power, fuel consumption) in a different range of natural gas;“reference speed (nref)” means the 100 per cent speed value to be used for denormalising the relative speed values of the ETC test, as set out in Annex III, Appendix 2 to this Directive;“response time” means the difference in time between a rapid change of the component to be measured at the reference point and the appropriate change in the response of the measuring system whereby the change of the measured component is at least 60 % FS and takes place in less than 0,1 second. The system response time (t90) consists of the delay time to the system and of the rise time of the system (see also ISO 16183);“rise time” means the time between the 10 % and 90 % response of the final reading (t90–t10). This is the instrument response after the component to be measured has reached the instrument. For the rise time, the sampling probe is defined as the reference point;“self adaptability” means any engine device allowing the air/fuel ratio to be kept constant;“smoke” means particles suspended in the exhaust stream of a diesel engine which absorb, reflect, or refract light;“test cycle” means a sequence of test points each with a defined speed and torque to be followed by the engine under steady state (ESC test) or transient operating conditions (ETC, ELR test);“torque limiter” means a device that temporarily limits the maximum torque of the engine;“transformation time” means the time between the change of the component to be measured at the sampling probe and a system response of 50 % of the final reading (t50). The transformation time is used for the signal alignment of different measurement instruments;“useful life” means, for vehicles and engines that are type-approved to either row B1, row B2 or row C of the table given in section 6.2.1 of this Annex, the relevant period of distance and/or time that is defined in Article 3 (durability of emission control systems) of this Directive over which compliance with the relevant gaseous, particulate and smoke emission limits has to be assured as part of the type-approval;“Wobbe Index (lower Wl; or upper Wu)” means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions:Text of image“λ-shift factor (Sλ)” means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane (see Annex VII for the calculation of Sλ).2.2.   Symbols, abbreviations and international standards2.2.1.   Symbols for test parametersSymbolUnitTermApm2Cross sectional area of the isokinetic sampling probeAem2Cross sectional area of the exhaust pipecppm/vol. %ConcentrationCd—Discharge coefficient of SSV-CVSC1—Carbon 1 equivalent hydrocarbondmDiameterD0m3/sIntercept of PDP calibration functionD—Dilution factorD—Bessel function constantE—Bessel function constantEE—Ethane efficiencyEM—Methane efficiencyEZg/kWhInterpolated NOxemission of the control pointf1/sFrequencyfa—Laboratory atmospheric factorfcs–1Bessel filter cut-off frequencyFs—Stoichiometric factorHMJ/m3Calorific valueHag/kgAbsolute humidity of the intake airHdg/kgAbsolute humidity of the dilution airi—Subscript denoting an individual mode or instantaneous measurementK—Bessel constantkm–1Light absorption coefficientkfFuel specific factor for dry to wet correctionkh,D—Humidity correction factor for NOxfor diesel engineskh,G—Humidity correction factor for NOxfor gas enginesKVCFV calibration functionkW,a—Dry to wet correction factor for the intake airkW,d—Dry to wet correction factor for the dilution airkW,e—Dry to wet correction factor for the diluted exhaust gaskW,r—Dry to wet correction factor for the raw exhaust gasL%Percent torque related to the maximum torque for the test engineLamEffective optical path lengthMrag/molMolecular mass of the intake airMreg/molMolecular mass of the exhaustmdkgMass of the dilution air sample passed through the particulate sampling filtersmedkgTotal diluted exhaust mass over the cyclemedfkgMass of equivalent diluted exhaust over the cyclemewkgTotal exhaust mass over the cyclemfmgParticulate sample mass collectedmf,dmgParticulate sample mass of the dilution air collectedmgasg/h or gGaseous emissions mass flow (rate)msekgSample mass over the cyclemsepkgMass of the diluted exhaust sample passed through the particulate sampling filtersmsetkgMass of the double diluted exhaust sample passed through the particulate sampling filtersmssdkgMass of secondary dilution airN%OpacityNP—Total revolutions of PDP over the cycleNP,i—Revolutions of PDP during a time intervalnmin–1Engine speednps–1PDP speednhimin–1High engine speednlomin–1Low engine speednrefmin–1Reference engine speed for ETC testpakPaSaturation vapour pressure of the engine intake airpbkPaTotal atmospheric pressurepdkPaSaturation vapour pressure of the dilution airppkPaAbsolute pressureprkPaWater vapour pressure after cooling bathpskPaDry atmospheric pressurep1kPaPressure depression at pump inletP(a)kWPower absorbed by auxiliaries to be fitted for testP(b)kWPower absorbed by auxiliaries to be removed for testP(n)kWNet power non-correctedP(m)kWPower measured on test bedqmawkg/h or kg/sIntake air mass flow rate on wet basisqmadkg/h or kg/sIntake air mass flow rate on dry basisqmdwkg/h or kg/sDilution air mass flow rate on wet basisqmdewkg/h or kg/sDiluted exhaust gas mass flow rate on wet basisqmdew,ikg/sInstantaneous CVS flow rate mass on wet basisqmedfkg/h or kg/sEquivalent diluted exhaust gas mass flow rate on wet basisqmewkg/h or kg/sExhaust gas mass flow rate on wet basisqmfkg/h or kg/sFuel mass flow rateqmpkg/h or kg/sParticulate sample mass flow rateqvsdm3/minSample flow rate into analyser benchqvtcm3/minTracer gas flow rateΩ—Bessel constantQsm3/sPDP/CFV-CVS volume flow rateQSSVm3/sSSV-CVS volume flow ratera—Ratio of cross sectional areas of isokinetic probe and exhaust piperd—Dilution ratiorD—Diameter ratio of SSV-CVSrp—Pressure ratio of SSV-CVSrs—Sample ratioRf—FID response factorρkg/m3densitySkWDynamometer settingSim–1Instantaneous smoke valueSλ—λ-shift factorTKAbsolute temperatureTaKAbsolute temperature of the intake airtsMeasuring timetesElectrical response timetfsFilter response time for Bessel functiontpsPhysical response timeΔtsTime interval between successive smoke data (= 1/sampling rate)ΔtisTime interval for instantaneous CVS flowτ%Smoke transmittanceu—Ratio between densities of gas component and exhaust gasV0m3/revPDP gas volume pumped per revolutionVslSystem volume of analyser benchW—Wobbe indexWactkWhActual cycle work of ETCWrefkWhReference cycle work of ETCWF—Weighting factorWFE—Effective weighting factorX0m3/revCalibration function of PDP volume flow rateYim–11 s Bessel averaged smoke value(**)OJ L 313, 29.11.2005, p. 1."(***)Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC."(****)OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32).’ "
—
engine timing map,
—
EGR map,
—
SCR catalyst reagent dosing map;
—
an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or
—
a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,
—
any control system, including computer software, electronic control systems and computer logic,
—
any control system calibrations,
—
the result of systems interaction,or
—
any hardware items,
—
any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,
—
any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.
Symbol
Unit
Term
Ap
m2
Cross sectional area of the isokinetic sampling probe
Ae
m2
Cross sectional area of the exhaust pipe
c
ppm/vol. %
Concentration
Cd
—
Discharge coefficient of SSV-CVS
C1
—
Carbon 1 equivalent hydrocarbon
d
m
Diameter
D0
m3/s
Intercept of PDP calibration function
D
—
Dilution factor
D
—
Bessel function constant
E
—
Bessel function constant
EE
—
Ethane efficiency
EM
—
Methane efficiency
EZ
g/kWh
Interpolated NOxemission of the control point
f
1/s
Frequency
fa
—
Laboratory atmospheric factor
fc
s–1
Bessel filter cut-off frequency
Fs
—
Stoichiometric factor
H
MJ/m3
Calorific value
Ha
g/kg
Absolute humidity of the intake air
Hd
g/kg
Absolute humidity of the dilution air
i
—
Subscript denoting an individual mode or instantaneous measurement
K
—
Bessel constant
k
m–1
Light absorption coefficient
kf

Fuel specific factor for dry to wet correction
kh,D
—
Humidity correction factor for NOxfor diesel engines
kh,G
—
Humidity correction factor for NOxfor gas engines
KV

CFV calibration function
kW,a
—
Dry to wet correction factor for the intake air
kW,d
—
Dry to wet correction factor for the dilution air
kW,e
—
Dry to wet correction factor for the diluted exhaust gas
kW,r
—
Dry to wet correction factor for the raw exhaust gas
L
%
Percent torque related to the maximum torque for the test engine
La
m
Effective optical path length
Mra
g/mol
Molecular mass of the intake air
Mre
g/mol
Molecular mass of the exhaust
md
kg
Mass of the dilution air sample passed through the particulate sampling filters
med
kg
Total diluted exhaust mass over the cycle
medf
kg
Mass of equivalent diluted exhaust over the cycle
mew
kg
Total exhaust mass over the cycle
mf
mg
Particulate sample mass collected
mf,d
mg
Particulate sample mass of the dilution air collected
mgas
g/h or g
Gaseous emissions mass flow (rate)
mse
kg
Sample mass over the cycle
msep
kg
Mass of the diluted exhaust sample passed through the particulate sampling filters
mset
kg
Mass of the double diluted exhaust sample passed through the particulate sampling filters
mssd
kg
Mass of secondary dilution air
N
%
Opacity
NP
—
Total revolutions of PDP over the cycle
NP,i
—
Revolutions of PDP during a time interval
n
min–1
Engine speed
np
s–1
PDP speed
nhi
min–1
High engine speed
nlo
min–1
Low engine speed
nref
min–1
Reference engine speed for ETC test
pa
kPa
Saturation vapour pressure of the engine intake air
pb
kPa
Total atmospheric pressure
pd
kPa
Saturation vapour pressure of the dilution air
pp
kPa
Absolute pressure
pr
kPa
Water vapour pressure after cooling bath
ps
kPa
Dry atmospheric pressure
p1
kPa
Pressure depression at pump inlet
P(a)
kW
Power absorbed by auxiliaries to be fitted for test
P(b)
kW
Power absorbed by auxiliaries to be removed for test
P(n)
kW
Net power non-corrected
P(m)
kW
Power measured on test bed
qmaw
kg/h or kg/s
Intake air mass flow rate on wet basis
qmad
kg/h or kg/s
Intake air mass flow rate on dry basis
qmdw
kg/h or kg/s
Dilution air mass flow rate on wet basis
qmdew
kg/h or kg/s
Diluted exhaust gas mass flow rate on wet basis
qmdew,i
kg/s
Instantaneous CVS flow rate mass on wet basis
qmedf
kg/h or kg/s
Equivalent diluted exhaust gas mass flow rate on wet basis
qmew
kg/h or kg/s
Exhaust gas mass flow rate on wet basis
qmf
kg/h or kg/s
Fuel mass flow rate
qmp
kg/h or kg/s
Particulate sample mass flow rate
qvs
dm3/min
Sample flow rate into analyser bench
qvt
cm3/min
Tracer gas flow rate
Ω
—
Bessel constant
Qs
m3/s
PDP/CFV-CVS volume flow rate
QSSV
m3/s
SSV-CVS volume flow rate
ra
—
Ratio of cross sectional areas of isokinetic probe and exhaust pipe
rd
—
Dilution ratio
rD
—
Diameter ratio of SSV-CVS
rp
—
Pressure ratio of SSV-CVS
rs
—
Sample ratio
Rf
—
FID response factor
ρ
kg/m3
density
S
kW
Dynamometer setting
Si
m–1
Instantaneous smoke value
Sλ
—
λ-shift factor
T
K
Absolute temperature
Ta
K
Absolute temperature of the intake air
t
s
Measuring time
te
s
Electrical response time
tf
s
Filter response time for Bessel function
tp
s
Physical response time
Δt
s
Time interval between successive smoke data (= 1/sampling rate)
Δti
s
Time interval for instantaneous CVS flow
τ
%
Smoke transmittance
u
—
Ratio between densities of gas component and exhaust gas
V0
m3/rev
PDP gas volume pumped per revolution
Vs
l
System volume of analyser bench
W
—
Wobbe index
Wact
kWh
Actual cycle work of ETC
Wref
kWh
Reference cycle work of ETC
WF
—
Weighting factor
WFE
—
Effective weighting factor
X0
m3/rev
Calibration function of PDP volume flow rate
Yi
m–1
1 s Bessel averaged smoke value

—
engine timing map,

—
EGR map,

—
SCR catalyst reagent dosing map;

—
an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or

—
a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,

—
any control system, including computer software, electronic control systems and computer logic,

—
any control system calibrations,

—
the result of systems interaction,or

—
any hardware items,

—
any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,

—
any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.

Symbol
Unit
Term

Ap
m2
Cross sectional area of the isokinetic sampling probe

Ae
m2
Cross sectional area of the exhaust pipe

c
ppm/vol. %
Concentration

Cd
—
Discharge coefficient of SSV-CVS

C1
—
Carbon 1 equivalent hydrocarbon

d
m
Diameter

D0
m3/s
Intercept of PDP calibration function

D
—
Dilution factor

D
—
Bessel function constant

E
—
Bessel function constant

EE
—
Ethane efficiency

EM
—
Methane efficiency

EZ
g/kWh
Interpolated NOxemission of the control point

f
1/s
Frequency

fa
—
Laboratory atmospheric factor

fc
s–1
Bessel filter cut-off frequency

Fs
—
Stoichiometric factor

H
MJ/m3
Calorific value

Ha
g/kg
Absolute humidity of the intake air

Hd
g/kg
Absolute humidity of the dilution air

i
—
Subscript denoting an individual mode or instantaneous measurement

K
—
Bessel constant

k
m–1
Light absorption coefficient

kf

Fuel specific factor for dry to wet correction

kh,D
—
Humidity correction factor for NOxfor diesel engines

kh,G
—
Humidity correction factor for NOxfor gas engines

KV

CFV calibration function

kW,a
—
Dry to wet correction factor for the intake air

kW,d
—
Dry to wet correction factor for the dilution air

kW,e
—
Dry to wet correction factor for the diluted exhaust gas

kW,r
—
Dry to wet correction factor for the raw exhaust gas

L
%
Percent torque related to the maximum torque for the test engine

La
m
Effective optical path length

Mra
g/mol
Molecular mass of the intake air

Mre
g/mol
Molecular mass of the exhaust

md
kg
Mass of the dilution air sample passed through the particulate sampling filters

med
kg
Total diluted exhaust mass over the cycle

medf
kg
Mass of equivalent diluted exhaust over the cycle

mew
kg
Total exhaust mass over the cycle

mf
mg
Particulate sample mass collected

mf,d
mg
Particulate sample mass of the dilution air collected

mgas
g/h or g
Gaseous emissions mass flow (rate)

mse
kg
Sample mass over the cycle

msep
kg
Mass of the diluted exhaust sample passed through the particulate sampling filters

mset
kg
Mass of the double diluted exhaust sample passed through the particulate sampling filters

mssd
kg
Mass of secondary dilution air

N
%
Opacity

NP
—
Total revolutions of PDP over the cycle

NP,i
—
Revolutions of PDP during a time interval

n
min–1
Engine speed

np
s–1
PDP speed

nhi
min–1
High engine speed

nlo
min–1
Low engine speed

nref
min–1
Reference engine speed for ETC test

pa
kPa
Saturation vapour pressure of the engine intake air

pb
kPa
Total atmospheric pressure

pd
kPa
Saturation vapour pressure of the dilution air

pp
kPa
Absolute pressure

pr
kPa
Water vapour pressure after cooling bath

ps
kPa
Dry atmospheric pressure

p1
kPa
Pressure depression at pump inlet

P(a)
kW
Power absorbed by auxiliaries to be fitted for test

P(b)
kW
Power absorbed by auxiliaries to be removed for test

P(n)
kW
Net power non-corrected

P(m)
kW
Power measured on test bed

qmaw
kg/h or kg/s
Intake air mass flow rate on wet basis

qmad
kg/h or kg/s
Intake air mass flow rate on dry basis

qmdw
kg/h or kg/s
Dilution air mass flow rate on wet basis

qmdew
kg/h or kg/s
Diluted exhaust gas mass flow rate on wet basis

qmdew,i
kg/s
Instantaneous CVS flow rate mass on wet basis

qmedf
kg/h or kg/s
Equivalent diluted exhaust gas mass flow rate on wet basis

qmew
kg/h or kg/s
Exhaust gas mass flow rate on wet basis

qmf
kg/h or kg/s
Fuel mass flow rate

qmp
kg/h or kg/s
Particulate sample mass flow rate

qvs
dm3/min
Sample flow rate into analyser bench

qvt
cm3/min
Tracer gas flow rate

Ω
—
Bessel constant

Qs
m3/s
PDP/CFV-CVS volume flow rate

QSSV
m3/s
SSV-CVS volume flow rate

ra
—
Ratio of cross sectional areas of isokinetic probe and exhaust pipe

rd
—
Dilution ratio

rD
—
Diameter ratio of SSV-CVS

rp
—
Pressure ratio of SSV-CVS

rs
—
Sample ratio

Rf
—
FID response factor

ρ
kg/m3
density

S
kW
Dynamometer setting

Si
m–1
Instantaneous smoke value

Sλ
—
λ-shift factor

T
K
Absolute temperature

Ta
K
Absolute temperature of the intake air

t
s
Measuring time

te
s
Electrical response time

tf
s
Filter response time for Bessel function

tp
s
Physical response time

Δt
s
Time interval between successive smoke data (= 1/sampling rate)

Δti
s
Time interval for instantaneous CVS flow

τ
%
Smoke transmittance

u
—
Ratio between densities of gas component and exhaust gas

V0
m3/rev
PDP gas volume pumped per revolution

Vs
l
System volume of analyser bench

W
—
Wobbe index

Wact
kWh
Actual cycle work of ETC

Wref
kWh
Reference cycle work of ETC

WF
—
Weighting factor

WFE
—
Effective weighting factor

X0
m3/rev
Calibration function of PDP volume flow rate

Yi
m–1
1 s Bessel averaged smoke value

(c)
Former sections 2.32.2 and 2.32.3 become sections 2.2.2 and 2.2.3 respectively.

(d)
The following sections 2.2.4 and 2.2.5 are added:‘2.2.4.   Symbols for the fuel compositionwALFhydrogen content of fuel, % masswBETcarbon content of fuel, % masswGAMsulphur content of fuel, % masswDELnitrogen content of fuel, % masswEPSoxygen content of fuel, % massαmolar hydrogen ratio (H/C)βmolar carbon ratio (C/C)γmolar sulphur ratio (S/C)δmolar nitrogen ratio (N/C)εmolar oxygen ratio (O/C)referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.2.2.5.   Standards referenced by this DirectiveISO 15031-1ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.ISO 15031-2ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.ISO 15031-3ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.SAE J1939-13SAE J1939-13: Off-Board Diagnostic Connector.ISO 15031-4ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.SAE J1939-73SAE J1939-73: Application Layer – Diagnostics.ISO 15031-5ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.ISO 15031-6ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.SAE J2012SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.ISO 15031-7ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.SAE J2186SAE J2186: E/E Data Link Security, dated October 1996.ISO 15765-4ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.SAE J1939SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.ISO 16185ISO 16185: 2000 Road vehicles – Engine family for homologation.ISO 2575ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.ISO 16183ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’
wALF
hydrogen content of fuel, % mass
wBET
carbon content of fuel, % mass
wGAM
sulphur content of fuel, % mass
wDEL
nitrogen content of fuel, % mass
wEPS
oxygen content of fuel, % mass
α
molar hydrogen ratio (H/C)
β
molar carbon ratio (C/C)
γ
molar sulphur ratio (S/C)
δ
molar nitrogen ratio (N/C)
ε
molar oxygen ratio (O/C)
referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.
ISO 15031-1
ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.
ISO 15031-2
ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.
ISO 15031-3
ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.
SAE J1939-13
SAE J1939-13: Off-Board Diagnostic Connector.
ISO 15031-4
ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.
SAE J1939-73
SAE J1939-73: Application Layer – Diagnostics.
ISO 15031-5
ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.
ISO 15031-6
ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.
SAE J2012
SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.
ISO 15031-7
ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.
SAE J2186
SAE J2186: E/E Data Link Security, dated October 1996.
ISO 15765-4
ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.
SAE J1939
SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.
ISO 16185
ISO 16185: 2000 Road vehicles – Engine family for homologation.
ISO 2575
ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.
ISO 16183
ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’

wALF
hydrogen content of fuel, % mass

wBET
carbon content of fuel, % mass

wGAM
sulphur content of fuel, % mass

wDEL
nitrogen content of fuel, % mass

wEPS
oxygen content of fuel, % mass

α
molar hydrogen ratio (H/C)

β
molar carbon ratio (C/C)

γ
molar sulphur ratio (S/C)

δ
molar nitrogen ratio (N/C)

ε
molar oxygen ratio (O/C)

referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.

ISO 15031-1
ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.

ISO 15031-2
ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.

ISO 15031-3
ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.

SAE J1939-13
SAE J1939-13: Off-Board Diagnostic Connector.

ISO 15031-4
ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.

SAE J1939-73
SAE J1939-73: Application Layer – Diagnostics.

ISO 15031-5
ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.

ISO 15031-6
ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.

SAE J2012
SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.

ISO 15031-7
ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.

SAE J2186
SAE J2186: E/E Data Link Security, dated October 1996.

ISO 15765-4
ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.

SAE J1939
SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.

ISO 16185
ISO 16185: 2000 Road vehicles – Engine family for homologation.

ISO 2575
ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.

ISO 16183
ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’

(e)
Section 3.1.1 is replaced by the following:3.1.1.   The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the engine manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’

(f)
Section 3.2.1 is replaced by the following:3.2.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’

(g)
The following section 3.2.3 is added:3.2.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’

(h)
Section 3.3.1 is replaced by the following:3.3.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.’

(i)
The following section 3.3.3 is added:3.3.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’

(j)
The following section 3.4 is added:‘3.4.   On-board diagnostic systemsThe application for approval of an engine equipped with an on-board diagnostic (OBD) system must be accompanied by the information required in section 9 of Appendix 1 to Annex II (description of the parent engine) and/or section 6 of Appendix 3 to Annex II (description of an engine type within the family) together with:3.4.1.1.   Detailed written information fully describing the functional operation characteristics of the OBD system, including a listing of all relevant parts of the engine's emission control system, i.e. sensors, actuators and components, that are monitored by the OBD system;Where applicable, a declaration by the manufacturer of the parameters that are used as a basis for major functional failure monitoring and, in addition:3.4.1.2.1.   The manufacturer shall provide the technical service with a description of potential failures within the emission control system that will have an effect on emissions. This information shall be subject to discussion and agreement between the technical service and the vehicle manufacturer.3.4.1.3.   Where applicable, a description of the communication interface (hardware and messages) between the engine electronic control unit (EECU) and any other powertrain or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control system.3.4.1.4.   Where appropriate, copies of other type-approvals with the relevant data to enable extensions of approvals.3.4.1.5.   If applicable, the particulars of the engine family as referred to in section 8 of this Annex.3.4.1.6.   The manufacturer must describe provisions taken to prevent tampering with and modification of the EECU or any interface parameter considered in section 3.4.1.3.’

(k)
In section 5.1.3 the footnote is deleted.

(l)
Section 6.1 is replaced by the following:‘6.1.   General6.1.1.   Emission control equipment6.1.1.1.   The components liable to affect, where appropriate, the emission of gaseous and particulate pollutants from diesel and gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive.The use of a defeat strategy is forbidden.6.1.2.1.   The use of a multi-setting engine is forbidden until appropriate and robust provisions for multi-setting engines are laid down in this Directive(*).6.1.3.   Emission control strategy6.1.3.1.   Any element of design and emission control strategy (ECS) liable to affect the emission of gaseous and particulate pollutants from diesel engines and the emission of gaseous pollutants from gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive. ECS consists of the base emission control strategy (BECS) and usually one or more auxiliary emission control strategies (AECS).6.1.4.   Requirements for base emission control strategy6.1.4.1.   The base emission control strategy (BECS) shall be so designed as to enable the engine, in normal use, to comply with the provisions of this Directive. Normal use is not restricted to the conditions of use as specified in paragraph 6.1.5.4.6.1.5.   Requirements for auxiliary emission control strategy6.1.5.1.   An auxiliary emission control strategy (AECS) may be installed to an engine or on a vehicle provided that the AECS:—operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or—is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.6.1.5.2.   An auxiliary emission control strategy (AECS) that operates within the conditions of use specified in section 6.1.5.4 and which results in the use of a different or modified emission control strategy (ECS) to that normally employed during the applicable emission test cycles will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure does not permanently reduce the effectiveness of the emission control system. In all other cases, such strategy shall be considered to be a defeat strategy.6.1.5.3.   An auxiliary emission control strategy (AECS) that operates outside the conditions of use specified in section 6.1.5.4 will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure is the minimum strategy necessary for the purposes of paragraph 6.1.5.6 with respect to environmental protection and other technical aspects. In all other cases, such a strategy shall be considered to be a defeat strategy.6.1.5.4.   As provided for in section 6.1.5.1, the following conditions of use apply under steady state and transient engine operations:—an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and—an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and—engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).6.1.5.5.   An auxiliary emission control strategy (AECS) may be installed to an engine, or on a vehicle, provided that the operation of the AECS is included in the applicable type-approval test and is activated according to section 6.1.5.6.6.1.5.6.   The AECS is activated:—only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or—for purposes such as operational safety, permanent emission default modes and limp-home strategies,or—for such purposes as excessive emissions prevention, cold start or warming-up,or—if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.6.1.6.   Requirements for torque limiters6.1.6.1.   A torque limiter will be permitted if it complies with the requirements of section 6.1.6.2. or 6.5.5. In all other cases, a torque limiter shall be considered to be a defeat strategy.6.1.6.2.   A torque limiter may be installed to an engine, or on a vehicle, provided that:—the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and—the torque limiter is active only temporarily,and—the torque limiter does not modify the emission control strategy (ECS),and—in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and—is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.6.1.7.   Special requirements for electronic emission control systems6.1.7.1.   Documentation requirementsThe manufacturer shall provide a documentation package that gives access to any element of design and emission control strategy (ECS), and torque limiter of the engine system and the means by which it controls its output variables, whether that control is direct or indirect. The documentation shall be made available in two parts:(a)the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;(b)additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.The additional material shall also contain a justification for the use of any AECS and include additional material and test data to demonstrate the effect on exhaust emissions of any AECS installed to the engine or on the vehicle. The justification for the use of an AECS may be based on test data and/or sound engineering analysis.This additional material shall remain strictly confidential, and be made available to the type-approval authority on request. The type-approval authority will keep this material confidential.6.1.8.   Specifically for the type-approval of engines according to row A of the tables in section 6.2.1 (engines not normally tested on ETC)6.1.8.1.   To verify whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, the type-approval authority and/or the technical service may additionally request a NOxscreening test using the ETC which may be carried out in combination with either the type-approval test or the procedures for checking the conformity of production.6.1.8.2.   In verifying whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, an additional margin of 10 %, related to the appropriate NOxlimit value, shall be accepted.6.1.9.   The transitional provisions for extension of type-approval are given in section 6.1.5 of Annex I to Directive 2001/27/EC.Until the 8 November 2006, the existing approval certificate number will remain valid. In case of extension, only the sequential number to denote the extension base approval number will change as follows:Example for the second extension of the fourth approval corresponding to application date A, issued by Germany:e1*88/77*2001/27A*0004*026.1.10.   Provisions for electronic system security6.1.10.1.   Any vehicle with an Emission Control Unit must include features to deter modification, except as authorised by the manufacturer. The manufacturer shall authorise modifications if these modifications are necessary for the diagnosis, servicing, inspection, retrofitting or repair of the vehicle. Any reprogrammable computer codes or operating parameters must be resistant to tampering and afford a level of protection at least as good as the provisions in ISO 15031-7 (SAE J2186) provided that the security exchange is conducted using the protocols and diagnostic connector as prescribed in section 6 of Annex IV to Directive 2005/78/EC. Any removable calibration memory chips must be potted, encased in a sealed container or protected by electronic algorithms and must not be changeable without the use of specialised tools and procedures.6.1.10.2.   Computer-coded engine operating parameters must not be changeable without the use of specialised tools and procedures (e.g. soldered or potted computer components or sealed (or soldered) computer enclosures).6.1.10.3.   Manufacturers must take adequate steps to protect the maximum fuel delivery setting from tampering while a vehicle is in-service.6.1.10.4.   Manufacturers may apply to the approval authority for an exemption from one of these requirements for those vehicles that are unlikely to require protection. The criteria that the approval authority will evaluate in considering an exemption will include, but are not limited to, the current availability of performance chips, the high-performance capability of the vehicle and the projected sales volume of the vehicle.6.1.10.5.   Manufacturers using programmable computer code systems (e.g. electrical erasable programmable read-only memory, EEPROM) must deter unauthorised reprogramming. Manufacturers must include enhanced tamper-protection strategies and write protect features requiring electronic access to an off-site computer maintained by the manufacturer. Alternative methods giving an equivalent level of tamper protection may be approved by the authority.(*)The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive."(**)Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”."(***)This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’ "
—
operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or
—
is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.
—
an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and
—
an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and
—
engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).
—
only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or
—
for purposes such as operational safety, permanent emission default modes and limp-home strategies,or
—
for such purposes as excessive emissions prevention, cold start or warming-up,or
—
if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.
—
the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and
—
the torque limiter is active only temporarily,and
—
the torque limiter does not modify the emission control strategy (ECS),and
—
in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and
—
is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.
(a)
the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;
(b)
additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.

—
operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or

—
is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.

—
an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and

—
an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and

—
engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).

—
only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or

—
for purposes such as operational safety, permanent emission default modes and limp-home strategies,or

—
for such purposes as excessive emissions prevention, cold start or warming-up,or

—
if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.

—
the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and

—
the torque limiter is active only temporarily,and

—
the torque limiter does not modify the emission control strategy (ECS),and

—
in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and

—
is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.

(a)
the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;

(b)
additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.

(m)
The introductory part of Section 6.2 is replaced by the following:‘6.2.   Specifications Concerning the Emission of Gaseous and Particulate Pollutants and SmokeFor type approval to row A of the tables in section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including deNOxcatalysts and/or particulate traps, shall additionally be tested on the ETC test.For type approval testing to either row B1 or B2 or row C of the tables in section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests.For gas engines, the gaseous emissions shall be determined on the ETC test.The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3.The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system.Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions, only the full flow dilution system or the partial flow dilution system meeting the requirements of ISO 16183 are recognised as equivalent reference systems. “Results” refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency of the sample pair averages shall be determined byF-test andt-test statistics as described in Appendix 4 to this Annex obtained under these laboratory, test cell and engine conditions. Outliers shall be determined in accordance with ISO 5725 and excluded from the database. 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.’

(n)
The following sections 6.3, 6.4 and 6.5 are added:‘6.3.   Durability and deterioration factors6.3.1.   For the purposes of this Directive, the manufacturer shall determine deterioration factors that will be used to demonstrate that the gaseous and particulate emissions of an engine family or engine-aftertreatment system family remain in conformity with the appropriate emission limits specified in the tables in section 6.2.1 of this Annex over the appropriate durability period laid down in Article 3 to this Directive.6.3.2.   The procedures for demonstrating the compliance of an engine or engine-aftertreatment system family with the relevant emission limits over the appropriate durability period are given in Annex II to Directive 2005/78/EC.6.4.   On-Board Diagnostic (OBD) system6.4.1.   As laid down in Articles 4(1) and 4(2) of this Directive, diesel engines or vehicles equipped with a diesel engine must be fitted with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.As laid down in Article 4(2) of this Directive, gas engines or vehicles equipped with a gas engine must be fitted, with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.6.4.2.   Small batch engine productionAs an alternative to the requirements of this section, engine manufacturers whose world-wide annual production of a type of engine, belonging to an OBD engine family,—is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;—is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.The type-approval authority must inform the Commission of the circumstances of each type-approval granted under this provision.6.5.   Requirements to ensure correct operation of NOxcontrol measures(*)6.5.1.   General6.5.1.1.   This section is applicable to all engine systems irrespective of the technology used to comply with the emission limit values given in the tables in section 6.2.1 of this Annex.6.5.1.2.   Application datesThe Requirements of sections 6.5.3, 6.5.4 and 6.5.5 shall apply from 1 October 2006 for new type approvals and from 1 October 2007 for all registrations of new vehicles.6.5.1.3.   Any engine system covered by this section shall be designed, constructed and installed so as to be capable of meeting these requirements over the useful life of the engine.6.5.1.4.   Information that fully describes the functional operational characteristics of an engine system covered by this section shall be provided by the manufacturer in Annex II to this Directive.6.5.1.5.   In its application for type-approval, if the engine system requires a reagent, the manufacturer shall specify the characteristics of all reagent(s) consumed by any exhaust aftertreatment system, e.g. type and concentrations, operational temperature conditions, reference to international standards etc.6.5.1.6.   With reference to section 6.1, any engine system covered by this section shall retain its emission control function during all conditions regularly pertaining in the territory of the European Union, especially at low ambient temperatures.6.5.1.7.   For the purpose of type-approval, the manufacturer shall demonstrate to the Technical Service that for engine systems that require a reagent, any emission of ammonia does not exceed, over the applicable emissions test cycle, a mean value of 25 ppm.6.5.1.8.   For engine systems requiring a reagent, each separate reagent tank installed on a vehicle shall include a means for taking a sample of any fluid inside the tank. The sampling point shall be easily accessible without the use of any specialised tool or device.6.5.2.   Maintenance requirements6.5.2.1.   The manufacturer shall furnish or cause to be furnished to all owners of new heavy-duty vehicles or new heavy-duty engines written instructions that shall state that if the vehicle emission control system is not functioning correctly, the driver shall be informed of a problem by the malfunction indicator (MI) and the engine shall consequentially operate with a reduced performance.6.5.2.2.   The instructions will indicate requirements for the proper use and maintenance of vehicles, including where relevant the use of consumable reagents.6.5.2.3.   The instructions shall be written in clear and non-technical language and in the language of the country in which a new heavy-duty vehicle or new heavy-duty engine is sold or registered.6.5.2.4.   The instructions shall specify if consumable reagents have to be refilled by the vehicle operator between normal maintenance intervals and shall indicate a likely rate of reagent consumption according to the type of new heavy-duty vehicle.6.5.2.5.   The instructions shall specify that use of and refilling of a required reagent of the correct specifications when indicated is mandatory for the vehicle to comply with the certificate of conformity issued for that vehicle or engine type.6.5.2.6.   The instructions shall state that it may be a criminal offence to use a vehicle that does not consume any reagent if it is required for the reduction of pollutant emissions and that, in consequence, any favourable conditions for the purchase or operation of the vehicle obtained in the country of registration or other country in which the vehicle is used may become invalid.6.5.3.   Engine system NOxcontrol6.5.3.1.   Incorrect operation of the engine system with respect to NOxemissions control (for example due to lack of any required reagent, incorrect EGR flow or deactivation of EGR) shall be determined through monitoring of the NOxlevel by sensors positioned in the exhaust stream.6.5.3.2.   Engine systems shall be equipped with a method for determining the NOxlevel in the exhaust stream. Any deviation in NOxlevel more than 1,5 g/kwh above the applicable limit value given in table I of section 6.2.1 of Annex I to this Directive, shall result in the driver being informed by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC).6.5.3.3.   In addition, a non-erasable fault code identifying the reason why NOxexceeds the levels specified in the paragraph above shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for at least 400 days or 9 600 hours of engine operation.6.5.3.4.   If the NOxlevel exceeds the OBD threshold limit values given in the table in Article 4(3) of this Directive(**), a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle. When the torque limiter is activated the driver shall continue to be alerted according to the requirements of section 6.5.3.2.6.5.3.5.   In the case of engine systems that rely on the use of EGR and no other aftertreatment system for NOxemissions control, the manufacturer may utilise an alternative method to the requirements of paragraph 6.5.3.1 for the determination of the NOxlevel. At the time of type approval the manufacturer shall demonstrate that the alternative method is equally timely and accurate in determining the NOxlevel compared to the requirements of paragraph 6.5.3.1 and that it triggers the same consequences as those referred to in sections 6.5.3.2, 6.5.3.3 and 6.5.3.4.6.5.4.   Reagent control6.5.4.1.   For vehicles that require the use of a reagent to fulfil the requirements of this section, the driver shall be informed of the level of reagent in the on-vehicle reagent storage tank through a specific mechanical or electronic indication on the vehicle’s dashboard. This shall include a warning when the level of reagent goes:—below 10 % of the tank or a higher percentage at the choice of the manufacturer,or—below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.The reagent indicator shall be placed in close proximity to the fuel level indicator.6.5.4.2.   The driver shall be informed, according to the requirements of section 3.6.5 of Annex IV to Directive 2005/78/EC, if the reagent tank becomes empty.6.5.4.3.   As soon as the reagent tank becomes empty, the requirements of section 6.5.5 shall apply in addition to the requirements of section 6.5.4.2.6.5.4.4.   A manufacturer may choose to comply with the sections 6.5.4.5 to 6.5.4.13 as an alternative to complying with the requirements of section 6.5.3.6.5.4.5.   Engine systems shall include a means of determining that a fluid corresponding to the reagent characteristics declared by the manufacturer and recorded in Annex II to this Directive is present on the vehicle.6.5.4.6.   If the fluid in the reagent tank does not correspond to the minimum requirements declared by the manufacturer as recorded in Annex II to this Directive the additional requirements of section 6.5.4.13 shall apply.6.5.4.7.   Engine systems shall include a means for determining reagent consumption and providing off-board access to consumption information.6.5.4.8.   Average reagent consumption and average demanded reagent consumption by the engine system either over the previous complete 48 hour period of engine operation or the period needed for a demanded reagent consumption of at least 15 litres, whichever is longer, shall be available via the serial port of the standard diagnostic connector (see section 6.8.3 of Annex IV to Directive 2005/78/EC).6.5.4.9.   In order to monitor reagent consumption, at least the following parameters within the engine shall be monitored:—level of reagent in on-vehicle storage tank,—flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.6.5.4.10.   Any deviation more than 50 % in average reagent consumption and average demanded reagent consumption by the engine system over the period defined in section 6.5.4.8 shall result in application of the measures laid down in paragraph 6.5.4.13.6.5.4.11.   In the case of interruption in reagent dosing activity the measures laid down in paragraph 6.5.4.13 shall apply. This is not required where such interruption is demanded by the engine ECU because engine operating conditions are such that the engine’s emission performance does not require reagent dosing, provided that the manufacturer has clearly informed the approval authority when such operating conditions apply.6.5.4.12.   If the NOxlevel exceeds 7,0 g/kWh on the ETC test cycle the measures laid down in section 6.5.4.13 shall apply.6.5.4.13.   Where reference is made to this section, the driver shall be alerted by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC) and a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle.A non-erasable fault code identifying the reason for torque limiter activation shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for a minimum of 400 days or 9 600 hours of engine operation.6.5.5.   Measures to discourage tampering of exhaust aftertreatment systems6.5.5.1.   Any engine system covered by this section shall include a torque limiter that will alert the driver that the engine system is operating incorrectly or the vehicle is being operated in an incorrect manner and thereby encourage the prompt rectification of any fault(s).6.5.5.2.   The torque limiter shall be activated when the vehicle becomes stationary for the first time after the conditions of either sections 6.5.3.4, 6.5.4.3, 6.5.4.6, 6.5.4.10, 6.5.4.11 or 6.5.4.12 have occurred.6.5.5.3.   Where the torque limiter comes into effect, the engine torque shall not, in any case, exceed a constant value of:—60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,—75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.6.5.5.4.   The scheme of torque limitation is set out in sections 6.5.5.5 to 6.5.5.6.6.5.5.5.   Detailed written information fully describing the functional operation characteristics of the torque limiter shall be specified according to the documentation requirements of section 6.1.7.1 of this Annex.6.5.5.6.   The torque limiter shall be deactivated when the engine speed is at idle if the conditions for its activation have ceased to exist. The torque limiter shall not be automatically deactivated without the reason for its activation being remedied.6.5.5.7.   Demonstration of torque limiter6.5.5.7.1.   As part of the application for type-approval provided for in section 3 of this Annex, the manufacturer shall demonstrate the operation of the torque limiter either by tests on an engine dynamometer or by a vehicle test.6.5.5.7.2.   If an engine dynamometer test is to be carried out the manufacturer shall run consecutive ETC test cycles in order to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.6.5.5.7.3.   If a vehicle test is to be carried out, the vehicle shall be driven over the road or test track to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.(*)The Commission intends to review this section by 31 December 2006."(**)The Commission intends to review those values by 31 December 2005.’ "
—
is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;
—
is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.
—
below 10 % of the tank or a higher percentage at the choice of the manufacturer,or
—
below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.
—
level of reagent in on-vehicle storage tank,
—
flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.
—
60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,
—
75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.

—
is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;

—
is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.

—
below 10 % of the tank or a higher percentage at the choice of the manufacturer,or

—
below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.

—
level of reagent in on-vehicle storage tank,

—
flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.

—
60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,

—
75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.

(o)
Section 8.1 is replaced by the following:‘8.1.   Parameters defining the engine familyThe engine family, as determined by the engine manufacturer must comply with the provisions of ISO 16185.’

(p)
The following section 8.3 is added:‘8.3.   Parameters for defining an OBD-engine familyThe OBD-engine family may be defined by basic design parameters that must be common to engine systems within the family.In order that engine systems may be considered to belong to the same OBD-engine family, the following list of basic parameters must be common,—the methods of OBD monitoring,—the methods of malfunction detection.unless these methods have been shown as equivalent by the manufacturer by means of relevant engineering demonstration or other appropriate procedures.Note:engines that do not belong to the same engine family may still belong to the same OBD-engine family provided the above mentioned criteria are satisfied.’
—
the methods of OBD monitoring,
—
the methods of malfunction detection.

—
the methods of OBD monitoring,

—
the methods of malfunction detection.

(q)
Section 9.1 is replaced by the following:9.1.   Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. In applying Appendices 1, 2 or 3, the measured emission of the gaseous and particulate pollutants from engines subject to checking for conformity of production shall be adjusted by application of the appropriate deterioration factors (DF’s) for that engine as recorded in section 1.5 of the Appendix to Annex VI.Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer.’

(r)
The following section 9.1.2 is added:‘9.1.2.   On-Board Diagnostics (OBD)9.1.2.1.   If a verification of the conformity of production of the OBD system is to be carried out, it must be conducted in accordance with the following:9.1.2.2.   When the approval authority determines that the quality of production seems unsatisfactory an engine is randomly taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on an engine that has been run-in up to a maximum of 100 hours.9.1.2.3.   The production is deemed to conform if this engine meets the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.9.1.2.4   If the engine taken from the series does not satisfy the requirements of section 9.1.2.2, a further random sample of four engines must be taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on engines that have been run-in up to a maximum of 100 hours.9.1.2.5.   The production is deemed to conform if at least three engines out of the further random sample of four engines meet the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.’

(s)
The following section 10 is added:‘10.   CONFORMITY OF IN-SERVICE VEHICLES/ENGINES10.1.   For the purpose of this Directive, the conformity of in-service vehicles/engines must be checked periodically over the useful life period of an engine installed in a vehicle.10.2.   With reference to type-approvals granted for emissions, additional measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use.10.3.   The procedures to be followed regarding the conformity of in-service vehicles/engines are given in Annex III to Directive 2005/78/EC.’

(t)
Appendix 1, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’
L
=
the natural logarithm of the limit value for the pollutant
xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample
s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)
n
=
the current sample number.’

L
=
the natural logarithm of the limit value for the pollutant

xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample

s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)

n
=
the current sample number.’

(u)
In Appendix 2, section 3 and the introductory phrase of section 4 are replaced by the following:3.   The values of the pollutants given in section 6.2.1 of Annex I, after having applied the relevant DF, are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m0and m denote the minimum and maximum sample size respectively (m0= 3 and m = 32) and let n denote the current sample number.4.   If the natural logarithms of the measured values (after having applied the relevant DF) in the series are x1, x2, … xiand L is the natural logarithm of the limit value for the pollutant, then, define:’

(v)
In Appendix 3, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’
L
=
the natural logarithm of the limit value for the pollutant
xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample
s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)
n
=
the current sample number.’

L
=
the natural logarithm of the limit value for the pollutant

xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample

s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)

n
=
the current sample number.’

(w)
A following Appendix 4 is added:‘Appendix 4DETERMINATION OF SYSTEM EQUIVALENCEThe determination of system equivalency according to section 6.2 of this Annex shall be based on a 7 sample pair (or larger) correlation study between the candidate system and one of the accepted reference systems of this Directive using the appropriate test cycle(s). The equivalency criteria to be applied shall be the F-test and the two-sided Student t-test.This statistical method examines the hypothesis that the population standard deviation and mean value for an emission measured with the candidate system do not differ from the standard deviation and population mean value for that emission measured with the reference system. The hypothesis shall be tested on the basis of a 5 % significance level of the F and t values. The critical F and t values for 7 to 10 sample pairs are given in the table below. If the F and t values calculated according to the formulae below are greater than the critical F and t values, the candidate system is not equivalent.The following procedure shall be followed. The subscripts R and C refer to the reference and candidate system, respectively:(a)Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.(b)Calculate the mean values xRand xCand the standard deviations sRand sC.(c)Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)(d)Calculate the t value, as follows:Text of image(e)Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.(f)Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101(g)Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
(a)
Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.
(b)
Calculate the mean values xRand xCand the standard deviations sRand sC.
(c)
Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)
(d)
Calculate the t value, as follows:Text of image
(e)
Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.
(f)
Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101
for the F-test
:
df = nR– 1 / nC– 1
for the t-test
:
df = nC+ nR– 2
Sample Size
F-test
t-test

df
Fcrit
df
tcrit
7
6/6
4,284
12
2,179
8
7/7
3,787
14
2,145
9
8/8
3,438
16
2,120
10
9/9
3,179
18
2,101
(g)
Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,
—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

(a)
Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.

(b)
Calculate the mean values xRand xCand the standard deviations sRand sC.

(c)
Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)

(d)
Calculate the t value, as follows:Text of image

(e)
Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.

(f)
Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101
for the F-test
:
df = nR– 1 / nC– 1
for the t-test
:
df = nC+ nR– 2
Sample Size
F-test
t-test

df
Fcrit
df
tcrit
7
6/6
4,284
12
2,179
8
7/7
3,787
14
2,145
9
8/8
3,438
16
2,120
10
9/9
3,179
18
2,101

for the F-test
:
df = nR– 1 / nC– 1

for the t-test
:
df = nC+ nR– 2

Sample Size
F-test
t-test


df
Fcrit
df
tcrit

7
6/6
4,284
12
2,179

8
7/7
3,787
14
2,145

9
8/8
3,438
16
2,120

10
9/9
3,179
18
2,101

(g)
Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,
—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,

—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’



(a)
Section 1 is replaced by the following:‘1.   SCOPEThis Directive applies to the control of gaseous and particulate pollutants, useful life of emission control devices, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants, useful life, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with positive-ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive-ignition engines as specified in Article 1 with the exception of compression-ignition engines of those vehicles of category N1, N2and M2and of positive-ignition engines fuelled with natural gas or LPG of those vehicles of category N1for which type-approval has been granted under Council Directive 70/220/EEC(*).(*)OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29).’ "



(b)
In section 2, the title and sections 2.1 to 2.32.1 are replaced by the following:‘2.   DEFINITIONS2.1.   For the purposes of this Directive, the following definitions shall apply:“approval of an engine (engine family)” means the approval of an engine type (engine family) with regard to the level of the emission of gaseous and particulate pollutants;“auxiliary emission control strategy (AECS)” means an emission control strategy that becomes active or that modifies the base emission control strategy for a specific purpose or purposes and in response to a specific set of ambient and/or operating conditions, e.g. vehicle speed, engine speed, gear used, intake temperature, or intake pressure;“base emission control strategy (BECS)” means an emission control strategy that is active throughout the speed and load operating range of the engine unless an AECS is activated. Examples for BECS are, but are not limited to:—engine timing map,—EGR map,—SCR catalyst reagent dosing map;“combined deNOx-particulate filter” means an exhaust aftertreatment system designed to concurrently reduce emissions of oxides of nitrogen (NOx) and particulate pollutants (PT);“continuous regeneration” means the regeneration process of an exhaust aftertreatment system that occurs either permanently or at least once per ETC test. Such a regeneration process will not require a special test procedure;“control area” means the area between the engine speeds A and C and between 25 to 100 per cent load;“declared maximum power (Pmax)” means the maximum power in EC kW (net power) as declared by the manufacturer in his application for type-approval;“defeat strategy” means:—an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or—a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,“deNOxsystem” means an exhaust aftertreatment system designed to reduce emissions of oxides of nitrogen (NOx) (e.g. there are presently passive and active lean NOxcatalysts, NOxadsorbers and Selective Catalytic Reduction (SCR) systems);“delay time” means the time between the change of the component to be measured at the reference point and a system response of 10 % of the final reading (t10). For the gaseous components, this is basically the transport time of the measured component from the sampling probe to the detector. For the delay time, the sampling probe is defined as the reference point;“diesel engine” means an engine which works on the compression-ignition principle;“ELR test” means a test cycle consisting of a sequence of load steps at constant engine speeds to be applied in accordance with section 6.2 of this Annex;“ESC test” means a test cycle consisting of 13 steady state modes to be applied in accordance with section 6.2 of this Annex;“ETC test” means a test cycle consisting of 1 800 second-by-second transient modes to be applied in accordance with section 6.2 of this Annex;“element of design” means in respect of a vehicle or engine,—any control system, including computer software, electronic control systems and computer logic,—any control system calibrations,—the result of systems interaction,or—any hardware items,“emissions-related defect” means a deficiency or deviation from normal production tolerances in design, materials or workmanship in a device, system or assembly that affects any parameter, specification or component belonging to the emission control system. A missing component may be considered to be an “emissions-related defect”;“emission control strategy (ECS)” means an element or set of elements of design that is incorporated into the overall design of an engine system or vehicle for the purposes of controlling exhaust emissions that includes one BECS and one set of AECS;“emission control system” means the exhaust aftertreatment system, the electronic management controller(s) of the engine system and any emission-related component of the engine system in the exhaust which supplies an input to or receives an output from this(these) controller(s), and when applicable the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit with respect to emissions management;“engine-aftertreatment system family” means, for testing over a service accumulation schedule to establish deterioration factors according to Annex II to Commission Directive 2005/78/EC implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto(**)and for checking the conformity of in-service vehicles/engines according to Annex III to Directive 2005/78/EC, a manufacturer’s grouping of engines that comply with the definition of engine family but which are further grouped into engines utilising a similar exhaust after-treatment system;“engine system” means the engine, the emission control system and the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other powertrain or vehicle control unit;“engine family” means a manufacturers grouping of engine systems which, through their design as defined in Annex II, Appendix 2 to this Directive, have similar exhaust emission characteristics; all members of the family must comply with the applicable emission limit values;“engine operating speed range” means the engine speed range, most frequently used during engine field operation, which lies between the low and high speeds, as set out in Annex III to this Directive;“engine speeds A, B and C” means the test speeds within the engine operating speed range to be used for the ESC test and the ELR test, as set out in Annex III, Appendix 1 to this Directive;“engine setting” means a specific engine/vehicle configuration that includes the emission control strategy (ECS), one single engine performance rating (the type-approved full-load curve) and, if used, one set of torque limiters;“engine type” means a category of engines which do not differ in such essential respects as engine characteristics as defined in Annex II to this Directive;“exhaust aftertreatment system” means a catalyst (oxidation or 3-way), particulate filter, deNOxsystem, combined deNOxparticulate filter or any other emission-reducing device that is installed downstream of the engine. This definition excludes exhaust gas recirculation, which, where fitted, is considered an integral part of the engine system;“gas engine” means a positive-ignition engine which is fuelled with natural gas (NG) or liquefied petroleum gas (LPG);“gaseous pollutants” means carbon monoxide, hydrocarbons (assuming a ratio of CH1,85for diesel, CH2,525for LPG and CH2,93for NG (NMHC) and an assumed molecule CH3O0,5for ethanol-fuelled diesel engines), methane (assuming a ratio of CH4for NG) and oxides of nitrogen, the last-named being expressed in nitrogen dioxide (NO2) equivalent;“high speed (nhi)” means the highest engine speed where 70 % of the declared maximum power occurs;“low speed (nlo)” means the lowest engine speed where 50 % of the declared maximum power occurs;“major functional failure”(***)means a permanent or temporary malfunction of any exhaust aftertreatment system that is expected to result in an immediate or delayed increase of the gaseous or particulate emissions of the engine system and which cannot be properly estimated by the OBD system;“malfunction” means:—any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,—any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.A manufacturer may nevertheless consider a deterioration or failure that would result in emissions not exceeding the OBD threshold limits as a malfunction;“malfunction indicator (MI)” means a visual indicator that clearly informs the driver of the vehicle in the event of a malfunction in the sense of this Directive;“multi-setting engine” means an engine containing more than one engine setting;“NG gas range” means one of the H or L range as defined in European Standard EN 437, dated November 1993;“net power” means the power in EC kW obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EC method of measuring power as set out in Commission Directive 80/1269/EEC(****);“OBD” means an on-board diagnostic system for emission control, which has the capability of detecting the occurrence of a malfunction and of identifying the likely area of malfunction by means of fault codes stored in computer memory;“OBD-engine family” means, for type-approval of the OBD system according to the requirements of Annex IV to Directive 2005/78/EC, a manufacturer's grouping of engine systems having common OBD system design parameters according to section 8 of this Annex;“opacimeter” means an instrument designed to measure the opacity of smoke particles by means of the light extinction principle;“parent engine” means an engine selected from an engine family in such a way that its emissions characteristics will be representative for that engine family;“particulate aftertreatment device” means an exhaust aftertreatment system designed to reduce emissions of particulate pollutants (PT) through a mechanical, aerodynamic, diffusional or inertial separation;“particulate pollutants” means any material collected on a specified filter medium after diluting the exhaust with clean filtered air so that the temperature does not exceed 325 K (52 °C);“per cent load” means the fraction of the maximum available torque at an engine speed;“periodic regeneration” means the regeneration process of an emission control device that occurs periodically in less than 100 hours of normal engine operation. During cycles where regeneration occurs, emission standards can be exceeded.“permanent emission default mode” means an AECS activated in the case of a malfunction of the ECS detected by the OBD system that results in the MI being activated and that does not require an input from the failed component or system;“power take-off unit” means an engine-driven output device for the purposes of powering auxiliary, vehicle mounted, equipment;“reagent” means any medium that is stored on-board the vehicle in a tank and provided to the exhaust aftertreatment system (if required) upon request of the emission control system;“recalibration” means a fine tuning of an NG engine in order to provide the same performance (power, fuel consumption) in a different range of natural gas;“reference speed (nref)” means the 100 per cent speed value to be used for denormalising the relative speed values of the ETC test, as set out in Annex III, Appendix 2 to this Directive;“response time” means the difference in time between a rapid change of the component to be measured at the reference point and the appropriate change in the response of the measuring system whereby the change of the measured component is at least 60 % FS and takes place in less than 0,1 second. The system response time (t90) consists of the delay time to the system and of the rise time of the system (see also ISO 16183);“rise time” means the time between the 10 % and 90 % response of the final reading (t90–t10). This is the instrument response after the component to be measured has reached the instrument. For the rise time, the sampling probe is defined as the reference point;“self adaptability” means any engine device allowing the air/fuel ratio to be kept constant;“smoke” means particles suspended in the exhaust stream of a diesel engine which absorb, reflect, or refract light;“test cycle” means a sequence of test points each with a defined speed and torque to be followed by the engine under steady state (ESC test) or transient operating conditions (ETC, ELR test);“torque limiter” means a device that temporarily limits the maximum torque of the engine;“transformation time” means the time between the change of the component to be measured at the sampling probe and a system response of 50 % of the final reading (t50). The transformation time is used for the signal alignment of different measurement instruments;“useful life” means, for vehicles and engines that are type-approved to either row B1, row B2 or row C of the table given in section 6.2.1 of this Annex, the relevant period of distance and/or time that is defined in Article 3 (durability of emission control systems) of this Directive over which compliance with the relevant gaseous, particulate and smoke emission limits has to be assured as part of the type-approval;“Wobbe Index (lower Wl; or upper Wu)” means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions:Text of image“λ-shift factor (Sλ)” means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane (see Annex VII for the calculation of Sλ).2.2.   Symbols, abbreviations and international standards2.2.1.   Symbols for test parametersSymbolUnitTermApm2Cross sectional area of the isokinetic sampling probeAem2Cross sectional area of the exhaust pipecppm/vol. %ConcentrationCd—Discharge coefficient of SSV-CVSC1—Carbon 1 equivalent hydrocarbondmDiameterD0m3/sIntercept of PDP calibration functionD—Dilution factorD—Bessel function constantE—Bessel function constantEE—Ethane efficiencyEM—Methane efficiencyEZg/kWhInterpolated NOxemission of the control pointf1/sFrequencyfa—Laboratory atmospheric factorfcs–1Bessel filter cut-off frequencyFs—Stoichiometric factorHMJ/m3Calorific valueHag/kgAbsolute humidity of the intake airHdg/kgAbsolute humidity of the dilution airi—Subscript denoting an individual mode or instantaneous measurementK—Bessel constantkm–1Light absorption coefficientkfFuel specific factor for dry to wet correctionkh,D—Humidity correction factor for NOxfor diesel engineskh,G—Humidity correction factor for NOxfor gas enginesKVCFV calibration functionkW,a—Dry to wet correction factor for the intake airkW,d—Dry to wet correction factor for the dilution airkW,e—Dry to wet correction factor for the diluted exhaust gaskW,r—Dry to wet correction factor for the raw exhaust gasL%Percent torque related to the maximum torque for the test engineLamEffective optical path lengthMrag/molMolecular mass of the intake airMreg/molMolecular mass of the exhaustmdkgMass of the dilution air sample passed through the particulate sampling filtersmedkgTotal diluted exhaust mass over the cyclemedfkgMass of equivalent diluted exhaust over the cyclemewkgTotal exhaust mass over the cyclemfmgParticulate sample mass collectedmf,dmgParticulate sample mass of the dilution air collectedmgasg/h or gGaseous emissions mass flow (rate)msekgSample mass over the cyclemsepkgMass of the diluted exhaust sample passed through the particulate sampling filtersmsetkgMass of the double diluted exhaust sample passed through the particulate sampling filtersmssdkgMass of secondary dilution airN%OpacityNP—Total revolutions of PDP over the cycleNP,i—Revolutions of PDP during a time intervalnmin–1Engine speednps–1PDP speednhimin–1High engine speednlomin–1Low engine speednrefmin–1Reference engine speed for ETC testpakPaSaturation vapour pressure of the engine intake airpbkPaTotal atmospheric pressurepdkPaSaturation vapour pressure of the dilution airppkPaAbsolute pressureprkPaWater vapour pressure after cooling bathpskPaDry atmospheric pressurep1kPaPressure depression at pump inletP(a)kWPower absorbed by auxiliaries to be fitted for testP(b)kWPower absorbed by auxiliaries to be removed for testP(n)kWNet power non-correctedP(m)kWPower measured on test bedqmawkg/h or kg/sIntake air mass flow rate on wet basisqmadkg/h or kg/sIntake air mass flow rate on dry basisqmdwkg/h or kg/sDilution air mass flow rate on wet basisqmdewkg/h or kg/sDiluted exhaust gas mass flow rate on wet basisqmdew,ikg/sInstantaneous CVS flow rate mass on wet basisqmedfkg/h or kg/sEquivalent diluted exhaust gas mass flow rate on wet basisqmewkg/h or kg/sExhaust gas mass flow rate on wet basisqmfkg/h or kg/sFuel mass flow rateqmpkg/h or kg/sParticulate sample mass flow rateqvsdm3/minSample flow rate into analyser benchqvtcm3/minTracer gas flow rateΩ—Bessel constantQsm3/sPDP/CFV-CVS volume flow rateQSSVm3/sSSV-CVS volume flow ratera—Ratio of cross sectional areas of isokinetic probe and exhaust piperd—Dilution ratiorD—Diameter ratio of SSV-CVSrp—Pressure ratio of SSV-CVSrs—Sample ratioRf—FID response factorρkg/m3densitySkWDynamometer settingSim–1Instantaneous smoke valueSλ—λ-shift factorTKAbsolute temperatureTaKAbsolute temperature of the intake airtsMeasuring timetesElectrical response timetfsFilter response time for Bessel functiontpsPhysical response timeΔtsTime interval between successive smoke data (= 1/sampling rate)ΔtisTime interval for instantaneous CVS flowτ%Smoke transmittanceu—Ratio between densities of gas component and exhaust gasV0m3/revPDP gas volume pumped per revolutionVslSystem volume of analyser benchW—Wobbe indexWactkWhActual cycle work of ETCWrefkWhReference cycle work of ETCWF—Weighting factorWFE—Effective weighting factorX0m3/revCalibration function of PDP volume flow rateYim–11 s Bessel averaged smoke value(**)OJ L 313, 29.11.2005, p. 1."(***)Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC."(****)OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32).’ "
—
engine timing map,
—
EGR map,
—
SCR catalyst reagent dosing map;
—
an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or
—
a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,
—
any control system, including computer software, electronic control systems and computer logic,
—
any control system calibrations,
—
the result of systems interaction,or
—
any hardware items,
—
any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,
—
any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.
Symbol
Unit
Term
Ap
m2
Cross sectional area of the isokinetic sampling probe
Ae
m2
Cross sectional area of the exhaust pipe
c
ppm/vol. %
Concentration
Cd
—
Discharge coefficient of SSV-CVS
C1
—
Carbon 1 equivalent hydrocarbon
d
m
Diameter
D0
m3/s
Intercept of PDP calibration function
D
—
Dilution factor
D
—
Bessel function constant
E
—
Bessel function constant
EE
—
Ethane efficiency
EM
—
Methane efficiency
EZ
g/kWh
Interpolated NOxemission of the control point
f
1/s
Frequency
fa
—
Laboratory atmospheric factor
fc
s–1
Bessel filter cut-off frequency
Fs
—
Stoichiometric factor
H
MJ/m3
Calorific value
Ha
g/kg
Absolute humidity of the intake air
Hd
g/kg
Absolute humidity of the dilution air
i
—
Subscript denoting an individual mode or instantaneous measurement
K
—
Bessel constant
k
m–1
Light absorption coefficient
kf

Fuel specific factor for dry to wet correction
kh,D
—
Humidity correction factor for NOxfor diesel engines
kh,G
—
Humidity correction factor for NOxfor gas engines
KV

CFV calibration function
kW,a
—
Dry to wet correction factor for the intake air
kW,d
—
Dry to wet correction factor for the dilution air
kW,e
—
Dry to wet correction factor for the diluted exhaust gas
kW,r
—
Dry to wet correction factor for the raw exhaust gas
L
%
Percent torque related to the maximum torque for the test engine
La
m
Effective optical path length
Mra
g/mol
Molecular mass of the intake air
Mre
g/mol
Molecular mass of the exhaust
md
kg
Mass of the dilution air sample passed through the particulate sampling filters
med
kg
Total diluted exhaust mass over the cycle
medf
kg
Mass of equivalent diluted exhaust over the cycle
mew
kg
Total exhaust mass over the cycle
mf
mg
Particulate sample mass collected
mf,d
mg
Particulate sample mass of the dilution air collected
mgas
g/h or g
Gaseous emissions mass flow (rate)
mse
kg
Sample mass over the cycle
msep
kg
Mass of the diluted exhaust sample passed through the particulate sampling filters
mset
kg
Mass of the double diluted exhaust sample passed through the particulate sampling filters
mssd
kg
Mass of secondary dilution air
N
%
Opacity
NP
—
Total revolutions of PDP over the cycle
NP,i
—
Revolutions of PDP during a time interval
n
min–1
Engine speed
np
s–1
PDP speed
nhi
min–1
High engine speed
nlo
min–1
Low engine speed
nref
min–1
Reference engine speed for ETC test
pa
kPa
Saturation vapour pressure of the engine intake air
pb
kPa
Total atmospheric pressure
pd
kPa
Saturation vapour pressure of the dilution air
pp
kPa
Absolute pressure
pr
kPa
Water vapour pressure after cooling bath
ps
kPa
Dry atmospheric pressure
p1
kPa
Pressure depression at pump inlet
P(a)
kW
Power absorbed by auxiliaries to be fitted for test
P(b)
kW
Power absorbed by auxiliaries to be removed for test
P(n)
kW
Net power non-corrected
P(m)
kW
Power measured on test bed
qmaw
kg/h or kg/s
Intake air mass flow rate on wet basis
qmad
kg/h or kg/s
Intake air mass flow rate on dry basis
qmdw
kg/h or kg/s
Dilution air mass flow rate on wet basis
qmdew
kg/h or kg/s
Diluted exhaust gas mass flow rate on wet basis
qmdew,i
kg/s
Instantaneous CVS flow rate mass on wet basis
qmedf
kg/h or kg/s
Equivalent diluted exhaust gas mass flow rate on wet basis
qmew
kg/h or kg/s
Exhaust gas mass flow rate on wet basis
qmf
kg/h or kg/s
Fuel mass flow rate
qmp
kg/h or kg/s
Particulate sample mass flow rate
qvs
dm3/min
Sample flow rate into analyser bench
qvt
cm3/min
Tracer gas flow rate
Ω
—
Bessel constant
Qs
m3/s
PDP/CFV-CVS volume flow rate
QSSV
m3/s
SSV-CVS volume flow rate
ra
—
Ratio of cross sectional areas of isokinetic probe and exhaust pipe
rd
—
Dilution ratio
rD
—
Diameter ratio of SSV-CVS
rp
—
Pressure ratio of SSV-CVS
rs
—
Sample ratio
Rf
—
FID response factor
ρ
kg/m3
density
S
kW
Dynamometer setting
Si
m–1
Instantaneous smoke value
Sλ
—
λ-shift factor
T
K
Absolute temperature
Ta
K
Absolute temperature of the intake air
t
s
Measuring time
te
s
Electrical response time
tf
s
Filter response time for Bessel function
tp
s
Physical response time
Δt
s
Time interval between successive smoke data (= 1/sampling rate)
Δti
s
Time interval for instantaneous CVS flow
τ
%
Smoke transmittance
u
—
Ratio between densities of gas component and exhaust gas
V0
m3/rev
PDP gas volume pumped per revolution
Vs
l
System volume of analyser bench
W
—
Wobbe index
Wact
kWh
Actual cycle work of ETC
Wref
kWh
Reference cycle work of ETC
WF
—
Weighting factor
WFE
—
Effective weighting factor
X0
m3/rev
Calibration function of PDP volume flow rate
Yi
m–1
1 s Bessel averaged smoke value

—
engine timing map,

—
EGR map,

—
SCR catalyst reagent dosing map;

—
an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or

—
a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,

—
any control system, including computer software, electronic control systems and computer logic,

—
any control system calibrations,

—
the result of systems interaction,or

—
any hardware items,

—
any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,

—
any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.

Symbol
Unit
Term

Ap
m2
Cross sectional area of the isokinetic sampling probe

Ae
m2
Cross sectional area of the exhaust pipe

c
ppm/vol. %
Concentration

Cd
—
Discharge coefficient of SSV-CVS

C1
—
Carbon 1 equivalent hydrocarbon

d
m
Diameter

D0
m3/s
Intercept of PDP calibration function

D
—
Dilution factor

D
—
Bessel function constant

E
—
Bessel function constant

EE
—
Ethane efficiency

EM
—
Methane efficiency

EZ
g/kWh
Interpolated NOxemission of the control point

f
1/s
Frequency

fa
—
Laboratory atmospheric factor

fc
s–1
Bessel filter cut-off frequency

Fs
—
Stoichiometric factor

H
MJ/m3
Calorific value

Ha
g/kg
Absolute humidity of the intake air

Hd
g/kg
Absolute humidity of the dilution air

i
—
Subscript denoting an individual mode or instantaneous measurement

K
—
Bessel constant

k
m–1
Light absorption coefficient

kf

Fuel specific factor for dry to wet correction

kh,D
—
Humidity correction factor for NOxfor diesel engines

kh,G
—
Humidity correction factor for NOxfor gas engines

KV

CFV calibration function

kW,a
—
Dry to wet correction factor for the intake air

kW,d
—
Dry to wet correction factor for the dilution air

kW,e
—
Dry to wet correction factor for the diluted exhaust gas

kW,r
—
Dry to wet correction factor for the raw exhaust gas

L
%
Percent torque related to the maximum torque for the test engine

La
m
Effective optical path length

Mra
g/mol
Molecular mass of the intake air

Mre
g/mol
Molecular mass of the exhaust

md
kg
Mass of the dilution air sample passed through the particulate sampling filters

med
kg
Total diluted exhaust mass over the cycle

medf
kg
Mass of equivalent diluted exhaust over the cycle

mew
kg
Total exhaust mass over the cycle

mf
mg
Particulate sample mass collected

mf,d
mg
Particulate sample mass of the dilution air collected

mgas
g/h or g
Gaseous emissions mass flow (rate)

mse
kg
Sample mass over the cycle

msep
kg
Mass of the diluted exhaust sample passed through the particulate sampling filters

mset
kg
Mass of the double diluted exhaust sample passed through the particulate sampling filters

mssd
kg
Mass of secondary dilution air

N
%
Opacity

NP
—
Total revolutions of PDP over the cycle

NP,i
—
Revolutions of PDP during a time interval

n
min–1
Engine speed

np
s–1
PDP speed

nhi
min–1
High engine speed

nlo
min–1
Low engine speed

nref
min–1
Reference engine speed for ETC test

pa
kPa
Saturation vapour pressure of the engine intake air

pb
kPa
Total atmospheric pressure

pd
kPa
Saturation vapour pressure of the dilution air

pp
kPa
Absolute pressure

pr
kPa
Water vapour pressure after cooling bath

ps
kPa
Dry atmospheric pressure

p1
kPa
Pressure depression at pump inlet

P(a)
kW
Power absorbed by auxiliaries to be fitted for test

P(b)
kW
Power absorbed by auxiliaries to be removed for test

P(n)
kW
Net power non-corrected

P(m)
kW
Power measured on test bed

qmaw
kg/h or kg/s
Intake air mass flow rate on wet basis

qmad
kg/h or kg/s
Intake air mass flow rate on dry basis

qmdw
kg/h or kg/s
Dilution air mass flow rate on wet basis

qmdew
kg/h or kg/s
Diluted exhaust gas mass flow rate on wet basis

qmdew,i
kg/s
Instantaneous CVS flow rate mass on wet basis

qmedf
kg/h or kg/s
Equivalent diluted exhaust gas mass flow rate on wet basis

qmew
kg/h or kg/s
Exhaust gas mass flow rate on wet basis

qmf
kg/h or kg/s
Fuel mass flow rate

qmp
kg/h or kg/s
Particulate sample mass flow rate

qvs
dm3/min
Sample flow rate into analyser bench

qvt
cm3/min
Tracer gas flow rate

Ω
—
Bessel constant

Qs
m3/s
PDP/CFV-CVS volume flow rate

QSSV
m3/s
SSV-CVS volume flow rate

ra
—
Ratio of cross sectional areas of isokinetic probe and exhaust pipe

rd
—
Dilution ratio

rD
—
Diameter ratio of SSV-CVS

rp
—
Pressure ratio of SSV-CVS

rs
—
Sample ratio

Rf
—
FID response factor

ρ
kg/m3
density

S
kW
Dynamometer setting

Si
m–1
Instantaneous smoke value

Sλ
—
λ-shift factor

T
K
Absolute temperature

Ta
K
Absolute temperature of the intake air

t
s
Measuring time

te
s
Electrical response time

tf
s
Filter response time for Bessel function

tp
s
Physical response time

Δt
s
Time interval between successive smoke data (= 1/sampling rate)

Δti
s
Time interval for instantaneous CVS flow

τ
%
Smoke transmittance

u
—
Ratio between densities of gas component and exhaust gas

V0
m3/rev
PDP gas volume pumped per revolution

Vs
l
System volume of analyser bench

W
—
Wobbe index

Wact
kWh
Actual cycle work of ETC

Wref
kWh
Reference cycle work of ETC

WF
—
Weighting factor

WFE
—
Effective weighting factor

X0
m3/rev
Calibration function of PDP volume flow rate

Yi
m–1
1 s Bessel averaged smoke value



—
engine timing map,



—
EGR map,



—
SCR catalyst reagent dosing map;



—
an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or



—
a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,



—
any control system, including computer software, electronic control systems and computer logic,



—
any control system calibrations,



—
the result of systems interaction,or



—
any hardware items,



—
any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,



—
any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.



Symbol
Unit
Term

Ap
m2
Cross sectional area of the isokinetic sampling probe

Ae
m2
Cross sectional area of the exhaust pipe

c
ppm/vol. %
Concentration

Cd
—
Discharge coefficient of SSV-CVS

C1
—
Carbon 1 equivalent hydrocarbon

d
m
Diameter

D0
m3/s
Intercept of PDP calibration function

D
—
Dilution factor

D
—
Bessel function constant

E
—
Bessel function constant

EE
—
Ethane efficiency

EM
—
Methane efficiency

EZ
g/kWh
Interpolated NOxemission of the control point

f
1/s
Frequency

fa
—
Laboratory atmospheric factor

fc
s–1
Bessel filter cut-off frequency

Fs
—
Stoichiometric factor

H
MJ/m3
Calorific value

Ha
g/kg
Absolute humidity of the intake air

Hd
g/kg
Absolute humidity of the dilution air

i
—
Subscript denoting an individual mode or instantaneous measurement

K
—
Bessel constant

k
m–1
Light absorption coefficient

kf

Fuel specific factor for dry to wet correction

kh,D
—
Humidity correction factor for NOxfor diesel engines

kh,G
—
Humidity correction factor for NOxfor gas engines

KV

CFV calibration function

kW,a
—
Dry to wet correction factor for the intake air

kW,d
—
Dry to wet correction factor for the dilution air

kW,e
—
Dry to wet correction factor for the diluted exhaust gas

kW,r
—
Dry to wet correction factor for the raw exhaust gas

L
%
Percent torque related to the maximum torque for the test engine

La
m
Effective optical path length

Mra
g/mol
Molecular mass of the intake air

Mre
g/mol
Molecular mass of the exhaust

md
kg
Mass of the dilution air sample passed through the particulate sampling filters

med
kg
Total diluted exhaust mass over the cycle

medf
kg
Mass of equivalent diluted exhaust over the cycle

mew
kg
Total exhaust mass over the cycle

mf
mg
Particulate sample mass collected

mf,d
mg
Particulate sample mass of the dilution air collected

mgas
g/h or g
Gaseous emissions mass flow (rate)

mse
kg
Sample mass over the cycle

msep
kg
Mass of the diluted exhaust sample passed through the particulate sampling filters

mset
kg
Mass of the double diluted exhaust sample passed through the particulate sampling filters

mssd
kg
Mass of secondary dilution air

N
%
Opacity

NP
—
Total revolutions of PDP over the cycle

NP,i
—
Revolutions of PDP during a time interval

n
min–1
Engine speed

np
s–1
PDP speed

nhi
min–1
High engine speed

nlo
min–1
Low engine speed

nref
min–1
Reference engine speed for ETC test

pa
kPa
Saturation vapour pressure of the engine intake air

pb
kPa
Total atmospheric pressure

pd
kPa
Saturation vapour pressure of the dilution air

pp
kPa
Absolute pressure

pr
kPa
Water vapour pressure after cooling bath

ps
kPa
Dry atmospheric pressure

p1
kPa
Pressure depression at pump inlet

P(a)
kW
Power absorbed by auxiliaries to be fitted for test

P(b)
kW
Power absorbed by auxiliaries to be removed for test

P(n)
kW
Net power non-corrected

P(m)
kW
Power measured on test bed

qmaw
kg/h or kg/s
Intake air mass flow rate on wet basis

qmad
kg/h or kg/s
Intake air mass flow rate on dry basis

qmdw
kg/h or kg/s
Dilution air mass flow rate on wet basis

qmdew
kg/h or kg/s
Diluted exhaust gas mass flow rate on wet basis

qmdew,i
kg/s
Instantaneous CVS flow rate mass on wet basis

qmedf
kg/h or kg/s
Equivalent diluted exhaust gas mass flow rate on wet basis

qmew
kg/h or kg/s
Exhaust gas mass flow rate on wet basis

qmf
kg/h or kg/s
Fuel mass flow rate

qmp
kg/h or kg/s
Particulate sample mass flow rate

qvs
dm3/min
Sample flow rate into analyser bench

qvt
cm3/min
Tracer gas flow rate

Ω
—
Bessel constant

Qs
m3/s
PDP/CFV-CVS volume flow rate

QSSV
m3/s
SSV-CVS volume flow rate

ra
—
Ratio of cross sectional areas of isokinetic probe and exhaust pipe

rd
—
Dilution ratio

rD
—
Diameter ratio of SSV-CVS

rp
—
Pressure ratio of SSV-CVS

rs
—
Sample ratio

Rf
—
FID response factor

ρ
kg/m3
density

S
kW
Dynamometer setting

Si
m–1
Instantaneous smoke value

Sλ
—
λ-shift factor

T
K
Absolute temperature

Ta
K
Absolute temperature of the intake air

t
s
Measuring time

te
s
Electrical response time

tf
s
Filter response time for Bessel function

tp
s
Physical response time

Δt
s
Time interval between successive smoke data (= 1/sampling rate)

Δti
s
Time interval for instantaneous CVS flow

τ
%
Smoke transmittance

u
—
Ratio between densities of gas component and exhaust gas

V0
m3/rev
PDP gas volume pumped per revolution

Vs
l
System volume of analyser bench

W
—
Wobbe index

Wact
kWh
Actual cycle work of ETC

Wref
kWh
Reference cycle work of ETC

WF
—
Weighting factor

WFE
—
Effective weighting factor

X0
m3/rev
Calibration function of PDP volume flow rate

Yi
m–1
1 s Bessel averaged smoke value



(c)
Former sections 2.32.2 and 2.32.3 become sections 2.2.2 and 2.2.3 respectively.



(d)
The following sections 2.2.4 and 2.2.5 are added:‘2.2.4.   Symbols for the fuel compositionwALFhydrogen content of fuel, % masswBETcarbon content of fuel, % masswGAMsulphur content of fuel, % masswDELnitrogen content of fuel, % masswEPSoxygen content of fuel, % massαmolar hydrogen ratio (H/C)βmolar carbon ratio (C/C)γmolar sulphur ratio (S/C)δmolar nitrogen ratio (N/C)εmolar oxygen ratio (O/C)referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.2.2.5.   Standards referenced by this DirectiveISO 15031-1ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.ISO 15031-2ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.ISO 15031-3ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.SAE J1939-13SAE J1939-13: Off-Board Diagnostic Connector.ISO 15031-4ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.SAE J1939-73SAE J1939-73: Application Layer – Diagnostics.ISO 15031-5ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.ISO 15031-6ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.SAE J2012SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.ISO 15031-7ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.SAE J2186SAE J2186: E/E Data Link Security, dated October 1996.ISO 15765-4ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.SAE J1939SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.ISO 16185ISO 16185: 2000 Road vehicles – Engine family for homologation.ISO 2575ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.ISO 16183ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’
wALF
hydrogen content of fuel, % mass
wBET
carbon content of fuel, % mass
wGAM
sulphur content of fuel, % mass
wDEL
nitrogen content of fuel, % mass
wEPS
oxygen content of fuel, % mass
α
molar hydrogen ratio (H/C)
β
molar carbon ratio (C/C)
γ
molar sulphur ratio (S/C)
δ
molar nitrogen ratio (N/C)
ε
molar oxygen ratio (O/C)
referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.
ISO 15031-1
ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.
ISO 15031-2
ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.
ISO 15031-3
ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.
SAE J1939-13
SAE J1939-13: Off-Board Diagnostic Connector.
ISO 15031-4
ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.
SAE J1939-73
SAE J1939-73: Application Layer – Diagnostics.
ISO 15031-5
ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.
ISO 15031-6
ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.
SAE J2012
SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.
ISO 15031-7
ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.
SAE J2186
SAE J2186: E/E Data Link Security, dated October 1996.
ISO 15765-4
ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.
SAE J1939
SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.
ISO 16185
ISO 16185: 2000 Road vehicles – Engine family for homologation.
ISO 2575
ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.
ISO 16183
ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’

wALF
hydrogen content of fuel, % mass

wBET
carbon content of fuel, % mass

wGAM
sulphur content of fuel, % mass

wDEL
nitrogen content of fuel, % mass

wEPS
oxygen content of fuel, % mass

α
molar hydrogen ratio (H/C)

β
molar carbon ratio (C/C)

γ
molar sulphur ratio (S/C)

δ
molar nitrogen ratio (N/C)

ε
molar oxygen ratio (O/C)

referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.

ISO 15031-1
ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.

ISO 15031-2
ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.

ISO 15031-3
ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.

SAE J1939-13
SAE J1939-13: Off-Board Diagnostic Connector.

ISO 15031-4
ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.

SAE J1939-73
SAE J1939-73: Application Layer – Diagnostics.

ISO 15031-5
ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.

ISO 15031-6
ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.

SAE J2012
SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.

ISO 15031-7
ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.

SAE J2186
SAE J2186: E/E Data Link Security, dated October 1996.

ISO 15765-4
ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.

SAE J1939
SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.

ISO 16185
ISO 16185: 2000 Road vehicles – Engine family for homologation.

ISO 2575
ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.

ISO 16183
ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’



wALF
hydrogen content of fuel, % mass

wBET
carbon content of fuel, % mass

wGAM
sulphur content of fuel, % mass

wDEL
nitrogen content of fuel, % mass

wEPS
oxygen content of fuel, % mass

α
molar hydrogen ratio (H/C)

β
molar carbon ratio (C/C)

γ
molar sulphur ratio (S/C)

δ
molar nitrogen ratio (N/C)

ε
molar oxygen ratio (O/C)

referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.



ISO 15031-1
ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.

ISO 15031-2
ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.

ISO 15031-3
ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.

SAE J1939-13
SAE J1939-13: Off-Board Diagnostic Connector.

ISO 15031-4
ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.

SAE J1939-73
SAE J1939-73: Application Layer – Diagnostics.

ISO 15031-5
ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.

ISO 15031-6
ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.

SAE J2012
SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.

ISO 15031-7
ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.

SAE J2186
SAE J2186: E/E Data Link Security, dated October 1996.

ISO 15765-4
ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.

SAE J1939
SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.

ISO 16185
ISO 16185: 2000 Road vehicles – Engine family for homologation.

ISO 2575
ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.

ISO 16183
ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’



(e)
Section 3.1.1 is replaced by the following:3.1.1.   The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the engine manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’



(f)
Section 3.2.1 is replaced by the following:3.2.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’



(g)
The following section 3.2.3 is added:3.2.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’



(h)
Section 3.3.1 is replaced by the following:3.3.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.’



(i)
The following section 3.3.3 is added:3.3.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’



(j)
The following section 3.4 is added:‘3.4.   On-board diagnostic systemsThe application for approval of an engine equipped with an on-board diagnostic (OBD) system must be accompanied by the information required in section 9 of Appendix 1 to Annex II (description of the parent engine) and/or section 6 of Appendix 3 to Annex II (description of an engine type within the family) together with:3.4.1.1.   Detailed written information fully describing the functional operation characteristics of the OBD system, including a listing of all relevant parts of the engine's emission control system, i.e. sensors, actuators and components, that are monitored by the OBD system;Where applicable, a declaration by the manufacturer of the parameters that are used as a basis for major functional failure monitoring and, in addition:3.4.1.2.1.   The manufacturer shall provide the technical service with a description of potential failures within the emission control system that will have an effect on emissions. This information shall be subject to discussion and agreement between the technical service and the vehicle manufacturer.3.4.1.3.   Where applicable, a description of the communication interface (hardware and messages) between the engine electronic control unit (EECU) and any other powertrain or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control system.3.4.1.4.   Where appropriate, copies of other type-approvals with the relevant data to enable extensions of approvals.3.4.1.5.   If applicable, the particulars of the engine family as referred to in section 8 of this Annex.3.4.1.6.   The manufacturer must describe provisions taken to prevent tampering with and modification of the EECU or any interface parameter considered in section 3.4.1.3.’



(k)
In section 5.1.3 the footnote is deleted.



(l)
Section 6.1 is replaced by the following:‘6.1.   General6.1.1.   Emission control equipment6.1.1.1.   The components liable to affect, where appropriate, the emission of gaseous and particulate pollutants from diesel and gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive.The use of a defeat strategy is forbidden.6.1.2.1.   The use of a multi-setting engine is forbidden until appropriate and robust provisions for multi-setting engines are laid down in this Directive(*).6.1.3.   Emission control strategy6.1.3.1.   Any element of design and emission control strategy (ECS) liable to affect the emission of gaseous and particulate pollutants from diesel engines and the emission of gaseous pollutants from gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive. ECS consists of the base emission control strategy (BECS) and usually one or more auxiliary emission control strategies (AECS).6.1.4.   Requirements for base emission control strategy6.1.4.1.   The base emission control strategy (BECS) shall be so designed as to enable the engine, in normal use, to comply with the provisions of this Directive. Normal use is not restricted to the conditions of use as specified in paragraph 6.1.5.4.6.1.5.   Requirements for auxiliary emission control strategy6.1.5.1.   An auxiliary emission control strategy (AECS) may be installed to an engine or on a vehicle provided that the AECS:—operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or—is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.6.1.5.2.   An auxiliary emission control strategy (AECS) that operates within the conditions of use specified in section 6.1.5.4 and which results in the use of a different or modified emission control strategy (ECS) to that normally employed during the applicable emission test cycles will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure does not permanently reduce the effectiveness of the emission control system. In all other cases, such strategy shall be considered to be a defeat strategy.6.1.5.3.   An auxiliary emission control strategy (AECS) that operates outside the conditions of use specified in section 6.1.5.4 will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure is the minimum strategy necessary for the purposes of paragraph 6.1.5.6 with respect to environmental protection and other technical aspects. In all other cases, such a strategy shall be considered to be a defeat strategy.6.1.5.4.   As provided for in section 6.1.5.1, the following conditions of use apply under steady state and transient engine operations:—an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and—an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and—engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).6.1.5.5.   An auxiliary emission control strategy (AECS) may be installed to an engine, or on a vehicle, provided that the operation of the AECS is included in the applicable type-approval test and is activated according to section 6.1.5.6.6.1.5.6.   The AECS is activated:—only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or—for purposes such as operational safety, permanent emission default modes and limp-home strategies,or—for such purposes as excessive emissions prevention, cold start or warming-up,or—if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.6.1.6.   Requirements for torque limiters6.1.6.1.   A torque limiter will be permitted if it complies with the requirements of section 6.1.6.2. or 6.5.5. In all other cases, a torque limiter shall be considered to be a defeat strategy.6.1.6.2.   A torque limiter may be installed to an engine, or on a vehicle, provided that:—the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and—the torque limiter is active only temporarily,and—the torque limiter does not modify the emission control strategy (ECS),and—in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and—is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.6.1.7.   Special requirements for electronic emission control systems6.1.7.1.   Documentation requirementsThe manufacturer shall provide a documentation package that gives access to any element of design and emission control strategy (ECS), and torque limiter of the engine system and the means by which it controls its output variables, whether that control is direct or indirect. The documentation shall be made available in two parts:(a)the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;(b)additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.The additional material shall also contain a justification for the use of any AECS and include additional material and test data to demonstrate the effect on exhaust emissions of any AECS installed to the engine or on the vehicle. The justification for the use of an AECS may be based on test data and/or sound engineering analysis.This additional material shall remain strictly confidential, and be made available to the type-approval authority on request. The type-approval authority will keep this material confidential.6.1.8.   Specifically for the type-approval of engines according to row A of the tables in section 6.2.1 (engines not normally tested on ETC)6.1.8.1.   To verify whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, the type-approval authority and/or the technical service may additionally request a NOxscreening test using the ETC which may be carried out in combination with either the type-approval test or the procedures for checking the conformity of production.6.1.8.2.   In verifying whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, an additional margin of 10 %, related to the appropriate NOxlimit value, shall be accepted.6.1.9.   The transitional provisions for extension of type-approval are given in section 6.1.5 of Annex I to Directive 2001/27/EC.Until the 8 November 2006, the existing approval certificate number will remain valid. In case of extension, only the sequential number to denote the extension base approval number will change as follows:Example for the second extension of the fourth approval corresponding to application date A, issued by Germany:e1*88/77*2001/27A*0004*026.1.10.   Provisions for electronic system security6.1.10.1.   Any vehicle with an Emission Control Unit must include features to deter modification, except as authorised by the manufacturer. The manufacturer shall authorise modifications if these modifications are necessary for the diagnosis, servicing, inspection, retrofitting or repair of the vehicle. Any reprogrammable computer codes or operating parameters must be resistant to tampering and afford a level of protection at least as good as the provisions in ISO 15031-7 (SAE J2186) provided that the security exchange is conducted using the protocols and diagnostic connector as prescribed in section 6 of Annex IV to Directive 2005/78/EC. Any removable calibration memory chips must be potted, encased in a sealed container or protected by electronic algorithms and must not be changeable without the use of specialised tools and procedures.6.1.10.2.   Computer-coded engine operating parameters must not be changeable without the use of specialised tools and procedures (e.g. soldered or potted computer components or sealed (or soldered) computer enclosures).6.1.10.3.   Manufacturers must take adequate steps to protect the maximum fuel delivery setting from tampering while a vehicle is in-service.6.1.10.4.   Manufacturers may apply to the approval authority for an exemption from one of these requirements for those vehicles that are unlikely to require protection. The criteria that the approval authority will evaluate in considering an exemption will include, but are not limited to, the current availability of performance chips, the high-performance capability of the vehicle and the projected sales volume of the vehicle.6.1.10.5.   Manufacturers using programmable computer code systems (e.g. electrical erasable programmable read-only memory, EEPROM) must deter unauthorised reprogramming. Manufacturers must include enhanced tamper-protection strategies and write protect features requiring electronic access to an off-site computer maintained by the manufacturer. Alternative methods giving an equivalent level of tamper protection may be approved by the authority.(*)The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive."(**)Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”."(***)This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’ "
—
operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or
—
is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.
—
an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and
—
an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and
—
engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).
—
only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or
—
for purposes such as operational safety, permanent emission default modes and limp-home strategies,or
—
for such purposes as excessive emissions prevention, cold start or warming-up,or
—
if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.
—
the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and
—
the torque limiter is active only temporarily,and
—
the torque limiter does not modify the emission control strategy (ECS),and
—
in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and
—
is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.
(a)
the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;
(b)
additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.

—
operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or

—
is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.

—
an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and

—
an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and

—
engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).

—
only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or

—
for purposes such as operational safety, permanent emission default modes and limp-home strategies,or

—
for such purposes as excessive emissions prevention, cold start or warming-up,or

—
if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.

—
the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and

—
the torque limiter is active only temporarily,and

—
the torque limiter does not modify the emission control strategy (ECS),and

—
in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and

—
is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.

(a)
the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;

(b)
additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.



—
operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or



—
is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.



—
an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and



—
an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and



—
engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).



—
only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or



—
for purposes such as operational safety, permanent emission default modes and limp-home strategies,or



—
for such purposes as excessive emissions prevention, cold start or warming-up,or



—
if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.



—
the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and



—
the torque limiter is active only temporarily,and



—
the torque limiter does not modify the emission control strategy (ECS),and



—
in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and



—
is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.



(a)
the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;



(b)
additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.



(m)
The introductory part of Section 6.2 is replaced by the following:‘6.2.   Specifications Concerning the Emission of Gaseous and Particulate Pollutants and SmokeFor type approval to row A of the tables in section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including deNOxcatalysts and/or particulate traps, shall additionally be tested on the ETC test.For type approval testing to either row B1 or B2 or row C of the tables in section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests.For gas engines, the gaseous emissions shall be determined on the ETC test.The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3.The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system.Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions, only the full flow dilution system or the partial flow dilution system meeting the requirements of ISO 16183 are recognised as equivalent reference systems. “Results” refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency of the sample pair averages shall be determined byF-test andt-test statistics as described in Appendix 4 to this Annex obtained under these laboratory, test cell and engine conditions. Outliers shall be determined in accordance with ISO 5725 and excluded from the database. 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.’



(n)
The following sections 6.3, 6.4 and 6.5 are added:‘6.3.   Durability and deterioration factors6.3.1.   For the purposes of this Directive, the manufacturer shall determine deterioration factors that will be used to demonstrate that the gaseous and particulate emissions of an engine family or engine-aftertreatment system family remain in conformity with the appropriate emission limits specified in the tables in section 6.2.1 of this Annex over the appropriate durability period laid down in Article 3 to this Directive.6.3.2.   The procedures for demonstrating the compliance of an engine or engine-aftertreatment system family with the relevant emission limits over the appropriate durability period are given in Annex II to Directive 2005/78/EC.6.4.   On-Board Diagnostic (OBD) system6.4.1.   As laid down in Articles 4(1) and 4(2) of this Directive, diesel engines or vehicles equipped with a diesel engine must be fitted with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.As laid down in Article 4(2) of this Directive, gas engines or vehicles equipped with a gas engine must be fitted, with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.6.4.2.   Small batch engine productionAs an alternative to the requirements of this section, engine manufacturers whose world-wide annual production of a type of engine, belonging to an OBD engine family,—is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;—is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.The type-approval authority must inform the Commission of the circumstances of each type-approval granted under this provision.6.5.   Requirements to ensure correct operation of NOxcontrol measures(*)6.5.1.   General6.5.1.1.   This section is applicable to all engine systems irrespective of the technology used to comply with the emission limit values given in the tables in section 6.2.1 of this Annex.6.5.1.2.   Application datesThe Requirements of sections 6.5.3, 6.5.4 and 6.5.5 shall apply from 1 October 2006 for new type approvals and from 1 October 2007 for all registrations of new vehicles.6.5.1.3.   Any engine system covered by this section shall be designed, constructed and installed so as to be capable of meeting these requirements over the useful life of the engine.6.5.1.4.   Information that fully describes the functional operational characteristics of an engine system covered by this section shall be provided by the manufacturer in Annex II to this Directive.6.5.1.5.   In its application for type-approval, if the engine system requires a reagent, the manufacturer shall specify the characteristics of all reagent(s) consumed by any exhaust aftertreatment system, e.g. type and concentrations, operational temperature conditions, reference to international standards etc.6.5.1.6.   With reference to section 6.1, any engine system covered by this section shall retain its emission control function during all conditions regularly pertaining in the territory of the European Union, especially at low ambient temperatures.6.5.1.7.   For the purpose of type-approval, the manufacturer shall demonstrate to the Technical Service that for engine systems that require a reagent, any emission of ammonia does not exceed, over the applicable emissions test cycle, a mean value of 25 ppm.6.5.1.8.   For engine systems requiring a reagent, each separate reagent tank installed on a vehicle shall include a means for taking a sample of any fluid inside the tank. The sampling point shall be easily accessible without the use of any specialised tool or device.6.5.2.   Maintenance requirements6.5.2.1.   The manufacturer shall furnish or cause to be furnished to all owners of new heavy-duty vehicles or new heavy-duty engines written instructions that shall state that if the vehicle emission control system is not functioning correctly, the driver shall be informed of a problem by the malfunction indicator (MI) and the engine shall consequentially operate with a reduced performance.6.5.2.2.   The instructions will indicate requirements for the proper use and maintenance of vehicles, including where relevant the use of consumable reagents.6.5.2.3.   The instructions shall be written in clear and non-technical language and in the language of the country in which a new heavy-duty vehicle or new heavy-duty engine is sold or registered.6.5.2.4.   The instructions shall specify if consumable reagents have to be refilled by the vehicle operator between normal maintenance intervals and shall indicate a likely rate of reagent consumption according to the type of new heavy-duty vehicle.6.5.2.5.   The instructions shall specify that use of and refilling of a required reagent of the correct specifications when indicated is mandatory for the vehicle to comply with the certificate of conformity issued for that vehicle or engine type.6.5.2.6.   The instructions shall state that it may be a criminal offence to use a vehicle that does not consume any reagent if it is required for the reduction of pollutant emissions and that, in consequence, any favourable conditions for the purchase or operation of the vehicle obtained in the country of registration or other country in which the vehicle is used may become invalid.6.5.3.   Engine system NOxcontrol6.5.3.1.   Incorrect operation of the engine system with respect to NOxemissions control (for example due to lack of any required reagent, incorrect EGR flow or deactivation of EGR) shall be determined through monitoring of the NOxlevel by sensors positioned in the exhaust stream.6.5.3.2.   Engine systems shall be equipped with a method for determining the NOxlevel in the exhaust stream. Any deviation in NOxlevel more than 1,5 g/kwh above the applicable limit value given in table I of section 6.2.1 of Annex I to this Directive, shall result in the driver being informed by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC).6.5.3.3.   In addition, a non-erasable fault code identifying the reason why NOxexceeds the levels specified in the paragraph above shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for at least 400 days or 9 600 hours of engine operation.6.5.3.4.   If the NOxlevel exceeds the OBD threshold limit values given in the table in Article 4(3) of this Directive(**), a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle. When the torque limiter is activated the driver shall continue to be alerted according to the requirements of section 6.5.3.2.6.5.3.5.   In the case of engine systems that rely on the use of EGR and no other aftertreatment system for NOxemissions control, the manufacturer may utilise an alternative method to the requirements of paragraph 6.5.3.1 for the determination of the NOxlevel. At the time of type approval the manufacturer shall demonstrate that the alternative method is equally timely and accurate in determining the NOxlevel compared to the requirements of paragraph 6.5.3.1 and that it triggers the same consequences as those referred to in sections 6.5.3.2, 6.5.3.3 and 6.5.3.4.6.5.4.   Reagent control6.5.4.1.   For vehicles that require the use of a reagent to fulfil the requirements of this section, the driver shall be informed of the level of reagent in the on-vehicle reagent storage tank through a specific mechanical or electronic indication on the vehicle’s dashboard. This shall include a warning when the level of reagent goes:—below 10 % of the tank or a higher percentage at the choice of the manufacturer,or—below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.The reagent indicator shall be placed in close proximity to the fuel level indicator.6.5.4.2.   The driver shall be informed, according to the requirements of section 3.6.5 of Annex IV to Directive 2005/78/EC, if the reagent tank becomes empty.6.5.4.3.   As soon as the reagent tank becomes empty, the requirements of section 6.5.5 shall apply in addition to the requirements of section 6.5.4.2.6.5.4.4.   A manufacturer may choose to comply with the sections 6.5.4.5 to 6.5.4.13 as an alternative to complying with the requirements of section 6.5.3.6.5.4.5.   Engine systems shall include a means of determining that a fluid corresponding to the reagent characteristics declared by the manufacturer and recorded in Annex II to this Directive is present on the vehicle.6.5.4.6.   If the fluid in the reagent tank does not correspond to the minimum requirements declared by the manufacturer as recorded in Annex II to this Directive the additional requirements of section 6.5.4.13 shall apply.6.5.4.7.   Engine systems shall include a means for determining reagent consumption and providing off-board access to consumption information.6.5.4.8.   Average reagent consumption and average demanded reagent consumption by the engine system either over the previous complete 48 hour period of engine operation or the period needed for a demanded reagent consumption of at least 15 litres, whichever is longer, shall be available via the serial port of the standard diagnostic connector (see section 6.8.3 of Annex IV to Directive 2005/78/EC).6.5.4.9.   In order to monitor reagent consumption, at least the following parameters within the engine shall be monitored:—level of reagent in on-vehicle storage tank,—flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.6.5.4.10.   Any deviation more than 50 % in average reagent consumption and average demanded reagent consumption by the engine system over the period defined in section 6.5.4.8 shall result in application of the measures laid down in paragraph 6.5.4.13.6.5.4.11.   In the case of interruption in reagent dosing activity the measures laid down in paragraph 6.5.4.13 shall apply. This is not required where such interruption is demanded by the engine ECU because engine operating conditions are such that the engine’s emission performance does not require reagent dosing, provided that the manufacturer has clearly informed the approval authority when such operating conditions apply.6.5.4.12.   If the NOxlevel exceeds 7,0 g/kWh on the ETC test cycle the measures laid down in section 6.5.4.13 shall apply.6.5.4.13.   Where reference is made to this section, the driver shall be alerted by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC) and a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle.A non-erasable fault code identifying the reason for torque limiter activation shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for a minimum of 400 days or 9 600 hours of engine operation.6.5.5.   Measures to discourage tampering of exhaust aftertreatment systems6.5.5.1.   Any engine system covered by this section shall include a torque limiter that will alert the driver that the engine system is operating incorrectly or the vehicle is being operated in an incorrect manner and thereby encourage the prompt rectification of any fault(s).6.5.5.2.   The torque limiter shall be activated when the vehicle becomes stationary for the first time after the conditions of either sections 6.5.3.4, 6.5.4.3, 6.5.4.6, 6.5.4.10, 6.5.4.11 or 6.5.4.12 have occurred.6.5.5.3.   Where the torque limiter comes into effect, the engine torque shall not, in any case, exceed a constant value of:—60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,—75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.6.5.5.4.   The scheme of torque limitation is set out in sections 6.5.5.5 to 6.5.5.6.6.5.5.5.   Detailed written information fully describing the functional operation characteristics of the torque limiter shall be specified according to the documentation requirements of section 6.1.7.1 of this Annex.6.5.5.6.   The torque limiter shall be deactivated when the engine speed is at idle if the conditions for its activation have ceased to exist. The torque limiter shall not be automatically deactivated without the reason for its activation being remedied.6.5.5.7.   Demonstration of torque limiter6.5.5.7.1.   As part of the application for type-approval provided for in section 3 of this Annex, the manufacturer shall demonstrate the operation of the torque limiter either by tests on an engine dynamometer or by a vehicle test.6.5.5.7.2.   If an engine dynamometer test is to be carried out the manufacturer shall run consecutive ETC test cycles in order to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.6.5.5.7.3.   If a vehicle test is to be carried out, the vehicle shall be driven over the road or test track to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.(*)The Commission intends to review this section by 31 December 2006."(**)The Commission intends to review those values by 31 December 2005.’ "
—
is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;
—
is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.
—
below 10 % of the tank or a higher percentage at the choice of the manufacturer,or
—
below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.
—
level of reagent in on-vehicle storage tank,
—
flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.
—
60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,
—
75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.

—
is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;

—
is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.

—
below 10 % of the tank or a higher percentage at the choice of the manufacturer,or

—
below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.

—
level of reagent in on-vehicle storage tank,

—
flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.

—
60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,

—
75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.



—
is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;



—
is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.



—
below 10 % of the tank or a higher percentage at the choice of the manufacturer,or



—
below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.



—
level of reagent in on-vehicle storage tank,



—
flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.



—
60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,



—
75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.



(o)
Section 8.1 is replaced by the following:‘8.1.   Parameters defining the engine familyThe engine family, as determined by the engine manufacturer must comply with the provisions of ISO 16185.’



(p)
The following section 8.3 is added:‘8.3.   Parameters for defining an OBD-engine familyThe OBD-engine family may be defined by basic design parameters that must be common to engine systems within the family.In order that engine systems may be considered to belong to the same OBD-engine family, the following list of basic parameters must be common,—the methods of OBD monitoring,—the methods of malfunction detection.unless these methods have been shown as equivalent by the manufacturer by means of relevant engineering demonstration or other appropriate procedures.Note:engines that do not belong to the same engine family may still belong to the same OBD-engine family provided the above mentioned criteria are satisfied.’
—
the methods of OBD monitoring,
—
the methods of malfunction detection.

—
the methods of OBD monitoring,

—
the methods of malfunction detection.



—
the methods of OBD monitoring,



—
the methods of malfunction detection.



(q)
Section 9.1 is replaced by the following:9.1.   Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. In applying Appendices 1, 2 or 3, the measured emission of the gaseous and particulate pollutants from engines subject to checking for conformity of production shall be adjusted by application of the appropriate deterioration factors (DF’s) for that engine as recorded in section 1.5 of the Appendix to Annex VI.Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer.’



(r)
The following section 9.1.2 is added:‘9.1.2.   On-Board Diagnostics (OBD)9.1.2.1.   If a verification of the conformity of production of the OBD system is to be carried out, it must be conducted in accordance with the following:9.1.2.2.   When the approval authority determines that the quality of production seems unsatisfactory an engine is randomly taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on an engine that has been run-in up to a maximum of 100 hours.9.1.2.3.   The production is deemed to conform if this engine meets the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.9.1.2.4   If the engine taken from the series does not satisfy the requirements of section 9.1.2.2, a further random sample of four engines must be taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on engines that have been run-in up to a maximum of 100 hours.9.1.2.5.   The production is deemed to conform if at least three engines out of the further random sample of four engines meet the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.’



(s)
The following section 10 is added:‘10.   CONFORMITY OF IN-SERVICE VEHICLES/ENGINES10.1.   For the purpose of this Directive, the conformity of in-service vehicles/engines must be checked periodically over the useful life period of an engine installed in a vehicle.10.2.   With reference to type-approvals granted for emissions, additional measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use.10.3.   The procedures to be followed regarding the conformity of in-service vehicles/engines are given in Annex III to Directive 2005/78/EC.’



(t)
Appendix 1, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’
L
=
the natural logarithm of the limit value for the pollutant
xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample
s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)
n
=
the current sample number.’

L
=
the natural logarithm of the limit value for the pollutant

xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample

s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)

n
=
the current sample number.’



L
=
the natural logarithm of the limit value for the pollutant

xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample

s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)

n
=
the current sample number.’



(u)
In Appendix 2, section 3 and the introductory phrase of section 4 are replaced by the following:3.   The values of the pollutants given in section 6.2.1 of Annex I, after having applied the relevant DF, are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m0and m denote the minimum and maximum sample size respectively (m0= 3 and m = 32) and let n denote the current sample number.4.   If the natural logarithms of the measured values (after having applied the relevant DF) in the series are x1, x2, … xiand L is the natural logarithm of the limit value for the pollutant, then, define:’



(v)
In Appendix 3, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’
L
=
the natural logarithm of the limit value for the pollutant
xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample
s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)
n
=
the current sample number.’

L
=
the natural logarithm of the limit value for the pollutant

xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample

s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)

n
=
the current sample number.’



L
=
the natural logarithm of the limit value for the pollutant

xi
=
the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample

s
=
an estimate of the production standard deviation (after taking the natural logarithm of the measurements)

n
=
the current sample number.’



(w)
A following Appendix 4 is added:‘Appendix 4DETERMINATION OF SYSTEM EQUIVALENCEThe determination of system equivalency according to section 6.2 of this Annex shall be based on a 7 sample pair (or larger) correlation study between the candidate system and one of the accepted reference systems of this Directive using the appropriate test cycle(s). The equivalency criteria to be applied shall be the F-test and the two-sided Student t-test.This statistical method examines the hypothesis that the population standard deviation and mean value for an emission measured with the candidate system do not differ from the standard deviation and population mean value for that emission measured with the reference system. The hypothesis shall be tested on the basis of a 5 % significance level of the F and t values. The critical F and t values for 7 to 10 sample pairs are given in the table below. If the F and t values calculated according to the formulae below are greater than the critical F and t values, the candidate system is not equivalent.The following procedure shall be followed. The subscripts R and C refer to the reference and candidate system, respectively:(a)Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.(b)Calculate the mean values xRand xCand the standard deviations sRand sC.(c)Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)(d)Calculate the t value, as follows:Text of image(e)Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.(f)Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101(g)Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
(a)
Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.
(b)
Calculate the mean values xRand xCand the standard deviations sRand sC.
(c)
Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)
(d)
Calculate the t value, as follows:Text of image
(e)
Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.
(f)
Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101
for the F-test
:
df = nR– 1 / nC– 1
for the t-test
:
df = nC+ nR– 2
Sample Size
F-test
t-test

df
Fcrit
df
tcrit
7
6/6
4,284
12
2,179
8
7/7
3,787
14
2,145
9
8/8
3,438
16
2,120
10
9/9
3,179
18
2,101
(g)
Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,
—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

(a)
Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.

(b)
Calculate the mean values xRand xCand the standard deviations sRand sC.

(c)
Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)

(d)
Calculate the t value, as follows:Text of image

(e)
Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.

(f)
Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101
for the F-test
:
df = nR– 1 / nC– 1
for the t-test
:
df = nC+ nR– 2
Sample Size
F-test
t-test

df
Fcrit
df
tcrit
7
6/6
4,284
12
2,179
8
7/7
3,787
14
2,145
9
8/8
3,438
16
2,120
10
9/9
3,179
18
2,101

for the F-test
:
df = nR– 1 / nC– 1

for the t-test
:
df = nC+ nR– 2

Sample Size
F-test
t-test


df
Fcrit
df
tcrit

7
6/6
4,284
12
2,179

8
7/7
3,787
14
2,145

9
8/8
3,438
16
2,120

10
9/9
3,179
18
2,101

(g)
Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,
—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,

—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’



(a)
Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.



(b)
Calculate the mean values xRand xCand the standard deviations sRand sC.



(c)
Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)



(d)
Calculate the t value, as follows:Text of image



(e)
Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.



(f)
Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101
for the F-test
:
df = nR– 1 / nC– 1
for the t-test
:
df = nC+ nR– 2
Sample Size
F-test
t-test

df
Fcrit
df
tcrit
7
6/6
4,284
12
2,179
8
7/7
3,787
14
2,145
9
8/8
3,438
16
2,120
10
9/9
3,179
18
2,101

for the F-test
:
df = nR– 1 / nC– 1

for the t-test
:
df = nC+ nR– 2

Sample Size
F-test
t-test


df
Fcrit
df
tcrit

7
6/6
4,284
12
2,179

8
7/7
3,787
14
2,145

9
8/8
3,438
16
2,120

10
9/9
3,179
18
2,101



for the F-test
:
df = nR– 1 / nC– 1

for the t-test
:
df = nC+ nR– 2



Sample Size
F-test
t-test


df
Fcrit
df
tcrit

7
6/6
4,284
12
2,179

8
7/7
3,787
14
2,145

9
8/8
3,438
16
2,120

10
9/9
3,179
18
2,101



(g)
Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’
—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,
—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,

—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’



—
if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,



—
if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’



(2)
Annex II is amended as follows:(a)The following section 0.7 is inserted:0.7.   Name and address of the manufacturer’s representative:’(b)Former section 0.7 and sections 0.8 and 0.9 become sections 0.8, 0.9 and 0.10 respectively.(c)The following section 0.11 is added:0.11   In the case of a vehicle equipped with an on-board diagnostic (OBD) system, written description and/or drawing of the MI:’(d)Appendix 1 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(e)In Appendix 2, the fourth line of the first column of the table in section 2.1.1 is replaced by the following:‘Fuel flow per stroke (mm3)’(f)Appendix 3 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(g)The following Appendix 5 is added:‘Appendix 5OBD-RELATED INFORMATIONIn accordance with the provisions of section 5 of Annex IV to Directive 2005/78/EC, the following additional information must be provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment, unless such information is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Where appropriate, the information given in this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive):1.1.   A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.1.2.   A description of the type of the OBD demonstration cycle used for the original type-approval of the vehicle for the component monitored by the OBD system.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.1.3.1.   The information required by this section may, for example, be defined by completing a table as follows, which shall be attached to this Annex:ComponentFault codeMonitoring strategyFault detection criteriaMI activation criteriaSecondary parametersPreconditioningDemonstration testSCR catalystPxxxxNOxsensor 1 and 2 signalsDifference between sensor 1 and sensor 2 signals3rdcycleEngine speed, engine load, catalyst temperature, reagent activityThree OBD test cycles (3 short ESC cycles)OBD test cycle (short ESC cycle)1.3.2.   The information required by this Appendix may be limited to the complete list of the fault codes recorded by the OBD system where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable as in the case of replacement or service components. This information may, for example, be defined by completing the two first columns of the table of section 1.3.1 above.The complete information package should be made available to the type-approval authority as part of the additional material requested in section 6.1.7.1 of Annex I to this Directive, “documentation requirements”.1.3.3.   The information required by this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive).Where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable in the case of replacement or service components, the information provided in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive) can be limited to the one mentioned in section 1.3.2.’
(a)
The following section 0.7 is inserted:0.7.   Name and address of the manufacturer’s representative:’
(b)
Former section 0.7 and sections 0.8 and 0.9 become sections 0.8, 0.9 and 0.10 respectively.
(c)
The following section 0.11 is added:0.11   In the case of a vehicle equipped with an on-board diagnostic (OBD) system, written description and/or drawing of the MI:’
(d)
Appendix 1 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "
(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’
(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "
(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’
(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1):
—
Number of ETC test cycles during regeneration (n2)’
(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’
(vi)
The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "
(e)
In Appendix 2, the fourth line of the first column of the table in section 2.1.1 is replaced by the following:‘Fuel flow per stroke (mm3)’
(f)
Appendix 3 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "
(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’
(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "
(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’
(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1)
—
Number of ETC test cycles during regeneration (n2)’
(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’
(vi)
The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "
(g)
The following Appendix 5 is added:‘Appendix 5OBD-RELATED INFORMATIONIn accordance with the provisions of section 5 of Annex IV to Directive 2005/78/EC, the following additional information must be provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment, unless such information is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Where appropriate, the information given in this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive):1.1.   A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.1.2.   A description of the type of the OBD demonstration cycle used for the original type-approval of the vehicle for the component monitored by the OBD system.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.1.3.1.   The information required by this section may, for example, be defined by completing a table as follows, which shall be attached to this Annex:ComponentFault codeMonitoring strategyFault detection criteriaMI activation criteriaSecondary parametersPreconditioningDemonstration testSCR catalystPxxxxNOxsensor 1 and 2 signalsDifference between sensor 1 and sensor 2 signals3rdcycleEngine speed, engine load, catalyst temperature, reagent activityThree OBD test cycles (3 short ESC cycles)OBD test cycle (short ESC cycle)1.3.2.   The information required by this Appendix may be limited to the complete list of the fault codes recorded by the OBD system where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable as in the case of replacement or service components. This information may, for example, be defined by completing the two first columns of the table of section 1.3.1 above.The complete information package should be made available to the type-approval authority as part of the additional material requested in section 6.1.7.1 of Annex I to this Directive, “documentation requirements”.1.3.3.   The information required by this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive).Where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable in the case of replacement or service components, the information provided in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive) can be limited to the one mentioned in section 1.3.2.’
Component
Fault code
Monitoring strategy
Fault detection criteria
MI activation criteria
Secondary parameters
Preconditioning
Demonstration test
SCR catalyst
Pxxxx
NOxsensor 1 and 2 signals
Difference between sensor 1 and sensor 2 signals
3rdcycle
Engine speed, engine load, catalyst temperature, reagent activity
Three OBD test cycles (3 short ESC cycles)
OBD test cycle (short ESC cycle)

(a)
The following section 0.7 is inserted:0.7.   Name and address of the manufacturer’s representative:’

(b)
Former section 0.7 and sections 0.8 and 0.9 become sections 0.8, 0.9 and 0.10 respectively.

(c)
The following section 0.11 is added:0.11   In the case of a vehicle equipped with an on-board diagnostic (OBD) system, written description and/or drawing of the MI:’

(d)
Appendix 1 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "
(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’
(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "
(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’
(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1):
—
Number of ETC test cycles during regeneration (n2)’
(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’
(vi)
The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "

(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’

(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "

(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’

(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1):
—
Number of ETC test cycles during regeneration (n2)’

—
Number of ETC test cycles between 2 regenerations (n1):

—
Number of ETC test cycles during regeneration (n2)’

(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’

(vi)
The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "

(e)
In Appendix 2, the fourth line of the first column of the table in section 2.1.1 is replaced by the following:‘Fuel flow per stroke (mm3)’

(f)
Appendix 3 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "
(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’
(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "
(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’
(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1)
—
Number of ETC test cycles during regeneration (n2)’
(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’
(vi)
The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "

(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’

(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "

(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’

(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1)
—
Number of ETC test cycles during regeneration (n2)’

—
Number of ETC test cycles between 2 regenerations (n1)

—
Number of ETC test cycles during regeneration (n2)’

(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’

(vi)
The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "

(g)
The following Appendix 5 is added:‘Appendix 5OBD-RELATED INFORMATIONIn accordance with the provisions of section 5 of Annex IV to Directive 2005/78/EC, the following additional information must be provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment, unless such information is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Where appropriate, the information given in this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive):1.1.   A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.1.2.   A description of the type of the OBD demonstration cycle used for the original type-approval of the vehicle for the component monitored by the OBD system.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.1.3.1.   The information required by this section may, for example, be defined by completing a table as follows, which shall be attached to this Annex:ComponentFault codeMonitoring strategyFault detection criteriaMI activation criteriaSecondary parametersPreconditioningDemonstration testSCR catalystPxxxxNOxsensor 1 and 2 signalsDifference between sensor 1 and sensor 2 signals3rdcycleEngine speed, engine load, catalyst temperature, reagent activityThree OBD test cycles (3 short ESC cycles)OBD test cycle (short ESC cycle)1.3.2.   The information required by this Appendix may be limited to the complete list of the fault codes recorded by the OBD system where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable as in the case of replacement or service components. This information may, for example, be defined by completing the two first columns of the table of section 1.3.1 above.The complete information package should be made available to the type-approval authority as part of the additional material requested in section 6.1.7.1 of Annex I to this Directive, “documentation requirements”.1.3.3.   The information required by this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive).Where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable in the case of replacement or service components, the information provided in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive) can be limited to the one mentioned in section 1.3.2.’
Component
Fault code
Monitoring strategy
Fault detection criteria
MI activation criteria
Secondary parameters
Preconditioning
Demonstration test
SCR catalyst
Pxxxx
NOxsensor 1 and 2 signals
Difference between sensor 1 and sensor 2 signals
3rdcycle
Engine speed, engine load, catalyst temperature, reagent activity
Three OBD test cycles (3 short ESC cycles)
OBD test cycle (short ESC cycle)

Component
Fault code
Monitoring strategy
Fault detection criteria
MI activation criteria
Secondary parameters
Preconditioning
Demonstration test

SCR catalyst
Pxxxx
NOxsensor 1 and 2 signals
Difference between sensor 1 and sensor 2 signals
3rdcycle
Engine speed, engine load, catalyst temperature, reagent activity
Three OBD test cycles (3 short ESC cycles)
OBD test cycle (short ESC cycle)



(a)
The following section 0.7 is inserted:0.7.   Name and address of the manufacturer’s representative:’



(b)
Former section 0.7 and sections 0.8 and 0.9 become sections 0.8, 0.9 and 0.10 respectively.



(c)
The following section 0.11 is added:0.11   In the case of a vehicle equipped with an on-board diagnostic (OBD) system, written description and/or drawing of the MI:’



(d)
Appendix 1 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "
(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’
(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "
(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’
(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1):
—
Number of ETC test cycles during regeneration (n2)’
(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’
(vi)
The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "

(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’

(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "

(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’

(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1):
—
Number of ETC test cycles during regeneration (n2)’

—
Number of ETC test cycles between 2 regenerations (n1):

—
Number of ETC test cycles during regeneration (n2)’

(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’

(vi)
The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "



(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’



(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’ "



(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’



(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1):
—
Number of ETC test cycles during regeneration (n2)’

—
Number of ETC test cycles between 2 regenerations (n1):

—
Number of ETC test cycles during regeneration (n2)’



—
Number of ETC test cycles between 2 regenerations (n1):



—
Number of ETC test cycles during regeneration (n2)’



(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’



(vi)
The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "



(e)
In Appendix 2, the fourth line of the first column of the table in section 2.1.1 is replaced by the following:‘Fuel flow per stroke (mm3)’



(f)
Appendix 3 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "
(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’
(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "
(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’
(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1)
—
Number of ETC test cycles during regeneration (n2)’
(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’
(vi)
The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "

(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’

(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "

(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’

(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1)
—
Number of ETC test cycles during regeneration (n2)’

—
Number of ETC test cycles between 2 regenerations (n1)

—
Number of ETC test cycles during regeneration (n2)’

(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’

(vi)
The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "



(i)
The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’



(ii)
The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’ "



(iii)
Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’



(iv)
The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’
—
Number of ETC test cycles between 2 regenerations (n1)
—
Number of ETC test cycles during regeneration (n2)’

—
Number of ETC test cycles between 2 regenerations (n1)

—
Number of ETC test cycles during regeneration (n2)’



—
Number of ETC test cycles between 2 regenerations (n1)



—
Number of ETC test cycles during regeneration (n2)’



(v)
The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’



(vi)
The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "(*)Delete where inapplicable.’ "



(g)
The following Appendix 5 is added:‘Appendix 5OBD-RELATED INFORMATIONIn accordance with the provisions of section 5 of Annex IV to Directive 2005/78/EC, the following additional information must be provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment, unless such information is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Where appropriate, the information given in this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive):1.1.   A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.1.2.   A description of the type of the OBD demonstration cycle used for the original type-approval of the vehicle for the component monitored by the OBD system.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.1.3.1.   The information required by this section may, for example, be defined by completing a table as follows, which shall be attached to this Annex:ComponentFault codeMonitoring strategyFault detection criteriaMI activation criteriaSecondary parametersPreconditioningDemonstration testSCR catalystPxxxxNOxsensor 1 and 2 signalsDifference between sensor 1 and sensor 2 signals3rdcycleEngine speed, engine load, catalyst temperature, reagent activityThree OBD test cycles (3 short ESC cycles)OBD test cycle (short ESC cycle)1.3.2.   The information required by this Appendix may be limited to the complete list of the fault codes recorded by the OBD system where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable as in the case of replacement or service components. This information may, for example, be defined by completing the two first columns of the table of section 1.3.1 above.The complete information package should be made available to the type-approval authority as part of the additional material requested in section 6.1.7.1 of Annex I to this Directive, “documentation requirements”.1.3.3.   The information required by this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive).Where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable in the case of replacement or service components, the information provided in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive) can be limited to the one mentioned in section 1.3.2.’
Component
Fault code
Monitoring strategy
Fault detection criteria
MI activation criteria
Secondary parameters
Preconditioning
Demonstration test
SCR catalyst
Pxxxx
NOxsensor 1 and 2 signals
Difference between sensor 1 and sensor 2 signals
3rdcycle
Engine speed, engine load, catalyst temperature, reagent activity
Three OBD test cycles (3 short ESC cycles)
OBD test cycle (short ESC cycle)

Component
Fault code
Monitoring strategy
Fault detection criteria
MI activation criteria
Secondary parameters
Preconditioning
Demonstration test

SCR catalyst
Pxxxx
NOxsensor 1 and 2 signals
Difference between sensor 1 and sensor 2 signals
3rdcycle
Engine speed, engine load, catalyst temperature, reagent activity
Three OBD test cycles (3 short ESC cycles)
OBD test cycle (short ESC cycle)



Component
Fault code
Monitoring strategy
Fault detection criteria
MI activation criteria
Secondary parameters
Preconditioning
Demonstration test

SCR catalyst
Pxxxx
NOxsensor 1 and 2 signals
Difference between sensor 1 and sensor 2 signals
3rdcycle
Engine speed, engine load, catalyst temperature, reagent activity
Three OBD test cycles (3 short ESC cycles)
OBD test cycle (short ESC cycle)



(3)
Annex III is amended as follows:(a)Section 1.3.1 is replaced by the following:‘1.3.1.   ESC TestDuring a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw or diluted exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. For particulate measurement, the exhaust gas shall be diluted with conditioned ambient air using either a partial flow or full flow dilution system. The particulates shall be collected on a single suitable filter in proportion to the weighting factors of each mode. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NOxshall be measured at three test points within the control area selected by the Technical Service and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NOxcontrol check ensures the effectiveness of the emission control of the engine within the typical engine operating range.’(b)Section 1.3.3 is replaced by the following:‘1.3.3.   ETC TestDuring a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined either after diluting the total exhaust gas with conditioned ambient air (CVS system with double dilution for particulates) or by determining the gaseous components in the raw exhaust gas and the particulates with a partial flow dilution system. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. For a CVS system, the concentration of NOxand HC shall be determined over the cycle by integration of the analyser signal, whereas the concentration of CO, CO2, and NMHC may be determined by integration of the analyser signal or by bag sampling. If measured in the raw exhaust gas, all gaseous components shall be determined over the cycle by integration of the analyser signal. For particulates, a proportional sample shall be collected on a suitable filter. The raw or diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex.’(c)Section 2.1 is replaced by the following:‘2.1.   Engine Test Conditions2.1.1.   The absolute temperature (Ta) of the engine air at the inlet to the engine expressed in Kelvin, and the dry atmospheric pressure (ps), expressed in kPa shall be measured and the parameterfashall be determined according to the following provisions. In multi-cylinder engines having distinct groups of intake manifolds, for example, in a “V” engine configuration, the average temperature of the distinct groups shall be taken.(a)for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image(b)for spark-ignition engines:Text of image2.1.2.   Test ValidityFor a test to be recognised as valid, the parameterfashall be such that:0,96 ≤fa≤ 1,06’(d)Section 2.8 is replaced by the following:If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle shall be representative of the emissions in the field. In the case of an engine equipped with a exhaust aftertreatment system that requires the consumption of a reagent, the reagent used for all tests shall comply with section 2.2.1.13 of Appendix 1 to Annex II.2.8.1.   For an exhaust aftertreatment system based on a continuous regeneration process the emissions shall be measured on a stabilised aftertreatment system.The regeneration process shall occur at least once during the ETC test and the manufacturer shall declare the normal conditions under which regeneration occurs (soot load, temperature, exhaust back-pressure, etc).In order to verify the regeneration process at least 5 ETC tests shall be conducted. During the tests the exhaust temperature and pressure shall be recorded (temperature before and after the aftertreatment system, exhaust back pressure, etc).The aftertreatment system is considered to be satisfactory if the conditions declared by the manufacturer occur during the test during a sufficient time.The final test result shall be the arithmetic mean of the different ETC test results.If the exhaust aftertreatment has a security mode that shifts to a periodic regeneration mode it should be checked following section 2.8.2. For that specific case the emission limits in table 2 of Annex I could be exceeded and would not be weighted.2.8.2.   For an exhaust aftertreatment based on a periodic regeneration process, the emissions shall be measured on at least two ETC tests, one during and one outside a regeneration event on a stabilised aftertreatment system, and the results be weighted.The regeneration process shall occur at least once during the ETC test. The engine may be equipped with a switch capable of preventing or permitting the regeneration process provided this operation has no effect on the original engine calibration.The manufacturer shall declare the normal parameter conditions under which the regeneration process occurs (soot load, temperature, exhaust back-pressure etc) and its duration time (n2). The manufacturer shall also provide all the data to determine the time between two regenerations (n1). The exact procedure to determine this time shall be agreed by the Technical Service based upon good engineering judgement.The manufacturer shall provide an aftertreatment system that has been loaded in order to achieve regeneration during an ETC test. Regeneration shall not occur during this engine conditioning phase.Average emissions between regeneration phases shall be determined from the arithmetic mean of several approximately equidistant ETC tests. It is recommended to run at least one ETC as close as possible prior to a regeneration test and one ETC immediately after a regeneration test. As an alternative, the manufacturer may provide data to show that the emissions remain constant (± 15 %) between regeneration phases. In this case, the emissions of only one ETC test may be used.During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NOxemissions, temperature before and after the aftertreatment system, exhaust back pressure etc).During the regeneration process, the emission limits in table 2 of Annex I can be exceeded.The measured emissions shall be weighted according to section 5.5 and 6.3 of Appendix 2 to this Annex and the final result shall not exceed the limits in table 2 of Annex I.’(e)Appendix 1 is amended as follows:(i)Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’(ii)Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’(iii)The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’(iv)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "(v)Former section 6 is renumbered as section 7.(f)Appendix 2 is amended as follows:(i)Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’(ii)The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’(iii)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’(g)Appendix 4 is amended as follows:(i)Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’(ii)Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’(iii)Sections 2.3 and 2.4 are deleted.(iv)Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "(h)Appendix 5 is amended as follows:(i)The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’(ii)Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’(iii)The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’(iv)Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’(v)Former section 1.6 becomes section 1.6.7.(vi)The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’(vii)Former section 2.4 becomes Section 2.5.(viii)Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’(i)The following Appendix 6 is added:‘Appendix 6CARBON FLOW CHECK1.   INTRODUCTIONAll but a tiny part of the carbon in the exhaust comes from the fuel, and all but a minimal part of this is manifest in the exhaust gas as CO2. This is the basis for a system verification check based on CO2measurements.The flow of carbon into the exhaust measurement systems is determined from the fuel flow rate. The flow of carbon at various sampling points in the emissions and particulate sampling systems is determined from the CO2concentrations and gas flow rates at those points.In this sense, the engine provides a known source of carbon flow, and observing the same carbon flow in the exhaust pipe and at the outlet of the partial flow PM sampling system verifies leak integrity and flow measurement accuracy. This check has the advantage that the components are operating under actual engine test conditions of temperature and flow.The following diagram shows the sampling points at which the carbon flows shall be checked. The specific equations for the carbon flows at each of the sample points are given below.Measuring points for carbon flow checkAirFuelCO2 RAWENGINEPartial Flow SystemCO2 PFS2.   CALCULATIONS2.1.   Carbon flow rate into the engine (location 1)The carbon mass flow rate into the engine for a fuel CHαOεis given by:Text of imageqmCf = 12,011 12,011 + α + 15,9994 × ε × qmfwhere:qmf= fuel mass flow rate, kg/s2.2.   Carbon flow rate in the raw exhaust (location 2)The carbon mass flow rate in the exhaust pipe of the engine shall be determined from the raw CO2concentration and the exhaust gas mass flow rate:Text of imageqmCe = (cCO2,r – cCO2,a 100) × qmew × 12,011 Mrewhere:cCO2,r=wet CO2concentration in the raw exhaust gas, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmew=exhaust gas mass flow rate on wet basis, kg/sMre=molecular mass of exhaust gasIf CO2is measured on a dry basis it shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex.2.3.   Carbon flow rate in the dilution system (location 3)The carbon flow rate shall be determined from the dilute CO2concentration, the exhaust gas mass flow rate and the sample flow rate:Text of imageqmCp = (cCO2,d – cCO2,a 100) × qmdew × 12,011 Mre × qmew qmpwhere:cCO2,d=wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmdew=diluted exhaust gas mass flow rate on wet basis, kg/sqmew=exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)qmp=sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)Mre=molecular mass of exhaust gasIf CO2is measured on a dry basis, it shall be converted to wet basis according to section 5.2 of Appendix 1 to this Annex.2.4.   The molecular mass (Mre) of the exhaust gas shall be calculated as follows:Text of imageMre = 1 + qmf qmaw qmf qmaw × α 4 + ε 2 + δ 2 12,011 + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γ + Ha × 10–3 2 × 1,00794 + 15,9994 + 1 Mra 1 + Ha × 10–3where:qmf=fuel mass flow rate, kg/sqmaw=intake air mass flow rate on wet basis, kg/sHa=humidity of intake air, g water per kg dry airMra=molecular mass of dry intake air (= 28,9 g/mol)α, δ, ε, γ=molar ratios referring to a fuel CHαOδNεSγAlternatively, the following molecular masses may be used:Mre(diesel)=28,9 g/molMre(LPG)=28,6 g/molMre(NG)=28,3 g/mol’
(a)
Section 1.3.1 is replaced by the following:‘1.3.1.   ESC TestDuring a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw or diluted exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. For particulate measurement, the exhaust gas shall be diluted with conditioned ambient air using either a partial flow or full flow dilution system. The particulates shall be collected on a single suitable filter in proportion to the weighting factors of each mode. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NOxshall be measured at three test points within the control area selected by the Technical Service and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NOxcontrol check ensures the effectiveness of the emission control of the engine within the typical engine operating range.’
(b)
Section 1.3.3 is replaced by the following:‘1.3.3.   ETC TestDuring a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined either after diluting the total exhaust gas with conditioned ambient air (CVS system with double dilution for particulates) or by determining the gaseous components in the raw exhaust gas and the particulates with a partial flow dilution system. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. For a CVS system, the concentration of NOxand HC shall be determined over the cycle by integration of the analyser signal, whereas the concentration of CO, CO2, and NMHC may be determined by integration of the analyser signal or by bag sampling. If measured in the raw exhaust gas, all gaseous components shall be determined over the cycle by integration of the analyser signal. For particulates, a proportional sample shall be collected on a suitable filter. The raw or diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex.’
(c)
Section 2.1 is replaced by the following:‘2.1.   Engine Test Conditions2.1.1.   The absolute temperature (Ta) of the engine air at the inlet to the engine expressed in Kelvin, and the dry atmospheric pressure (ps), expressed in kPa shall be measured and the parameterfashall be determined according to the following provisions. In multi-cylinder engines having distinct groups of intake manifolds, for example, in a “V” engine configuration, the average temperature of the distinct groups shall be taken.(a)for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image(b)for spark-ignition engines:Text of image2.1.2.   Test ValidityFor a test to be recognised as valid, the parameterfashall be such that:0,96 ≤fa≤ 1,06’
(a)
for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image
(b)
for spark-ignition engines:Text of image
(d)
Section 2.8 is replaced by the following:If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle shall be representative of the emissions in the field. In the case of an engine equipped with a exhaust aftertreatment system that requires the consumption of a reagent, the reagent used for all tests shall comply with section 2.2.1.13 of Appendix 1 to Annex II.2.8.1.   For an exhaust aftertreatment system based on a continuous regeneration process the emissions shall be measured on a stabilised aftertreatment system.The regeneration process shall occur at least once during the ETC test and the manufacturer shall declare the normal conditions under which regeneration occurs (soot load, temperature, exhaust back-pressure, etc).In order to verify the regeneration process at least 5 ETC tests shall be conducted. During the tests the exhaust temperature and pressure shall be recorded (temperature before and after the aftertreatment system, exhaust back pressure, etc).The aftertreatment system is considered to be satisfactory if the conditions declared by the manufacturer occur during the test during a sufficient time.The final test result shall be the arithmetic mean of the different ETC test results.If the exhaust aftertreatment has a security mode that shifts to a periodic regeneration mode it should be checked following section 2.8.2. For that specific case the emission limits in table 2 of Annex I could be exceeded and would not be weighted.2.8.2.   For an exhaust aftertreatment based on a periodic regeneration process, the emissions shall be measured on at least two ETC tests, one during and one outside a regeneration event on a stabilised aftertreatment system, and the results be weighted.The regeneration process shall occur at least once during the ETC test. The engine may be equipped with a switch capable of preventing or permitting the regeneration process provided this operation has no effect on the original engine calibration.The manufacturer shall declare the normal parameter conditions under which the regeneration process occurs (soot load, temperature, exhaust back-pressure etc) and its duration time (n2). The manufacturer shall also provide all the data to determine the time between two regenerations (n1). The exact procedure to determine this time shall be agreed by the Technical Service based upon good engineering judgement.The manufacturer shall provide an aftertreatment system that has been loaded in order to achieve regeneration during an ETC test. Regeneration shall not occur during this engine conditioning phase.Average emissions between regeneration phases shall be determined from the arithmetic mean of several approximately equidistant ETC tests. It is recommended to run at least one ETC as close as possible prior to a regeneration test and one ETC immediately after a regeneration test. As an alternative, the manufacturer may provide data to show that the emissions remain constant (± 15 %) between regeneration phases. In this case, the emissions of only one ETC test may be used.During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NOxemissions, temperature before and after the aftertreatment system, exhaust back pressure etc).During the regeneration process, the emission limits in table 2 of Annex I can be exceeded.The measured emissions shall be weighted according to section 5.5 and 6.3 of Appendix 2 to this Annex and the final result shall not exceed the limits in table 2 of Annex I.’
(e)
Appendix 1 is amended as follows:(i)Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’(ii)Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’(iii)The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’(iv)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "(v)Former section 6 is renumbered as section 7.
(i)
Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’
(ii)
Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’
(iii)
The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
(iv)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "
pr
=
water vapour pressure after cooling bath, kPa,
pb
=
total atmospheric pressure, kPa,
Ha
=
intake air humidity, g water per kg dry air,
kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS
Ha
=
intake air humidity, g water per kg dry air
Hd
=
dilution air humidity, g water per kg dry air
(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air
(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h
(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h
Fuel

NOx
CO
THC/NMHC
CO2
CH4
Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553
Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553
Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561
Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553
CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565
Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553
Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559
Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553
Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558
Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553
Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
cwE
=
wet concentration of the tracer gas in the raw exhaust
cwD
=
wet concentration of the tracer gas in the diluted exhaust
cwA
=
wet concentration of the tracer gas in the dilution air
c(CO2)D
=
CO2concentration of the diluted exhaust
c(CO2)A
=
CO2concentration of the dilution air
(v)
Former section 6 is renumbered as section 7.
(f)
Appendix 2 is amended as follows:(i)Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’(ii)The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’(iii)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(i)
Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’
—
start collecting or analysing dilution air,
—
start collecting or analysing diluted exhaust gas,
—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,
—
start recording the feedback data of speed and torque of the dynamometer.
—
start analysing the raw exhaust gas concentrations,
—
start measuring the exhaust gas or intake air and fuel flow rate,
—
start recording the feedback data of speed and torque of the dynamometer.
—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,
—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,
—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.
y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)
m
=
slope of the regression line
x
=
reference value of speed (min-1), torque (Nm), or power (kW)
b
=
y intercept of the regression line

Speed
Torque
Power
Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power
Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)
Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)
Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater
Conditions
Points to be deleted
Full load demand and torque feedback < 95 % torque reference
Torque and/or power
Full load demand and speed feedback < 95 % speed reference
Speed and/or power
No load, not an idle point, and torque feedback > torque reference
Torque and/or power
No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power
No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power
No load and speed feedback > 105 % speed reference
Speed and/or power’
(ii)
The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’
V0
=
volume of gas pumped per revolution under test conditions, m3/rev
NP
=
total revolutions of pump per test
pb
=
atmospheric pressure in the test cell, kPa
p1
=
pressure depression below atmospheric at pump inlet, kPa
T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K
t
=
cycle time, s
Kv
=
calibration coefficient of the critical flow venturi for standard conditions,
pp
=
absolute pressure at venturi inlet, kPa
T
=
absolute temperature at venturi inlet, K
A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of
d
=
diameter of the SSV throat, m
Cd
=
discharge coefficient of the SSV
pp
=
absolute pressure at venturi inlet, kPa
T
=
temperature at the venturi inlet, K
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
qmew,i
=
instantaneous exhaust mass flow, kg/s
qvt
=
tracer gas flow, cm3/min
cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm
ρe
=
density of the exhaust gas, kg/m3(cf. table 3)
ca
=
background concentration of the tracer gas in the intake air, ppm
A/Fst
=
stoichiometric air to fuel ratio, kg/kg
λ
=
excess air ratio
cCO2
=
dry CO2concentration, %
cCO
=
dry CO concentration, ppm
cHC
=
HC concentration, ppm
(iii)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg
(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)
(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4
(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC
ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective pollutant measured in the dilution air, ppm
D
=
dilution factor
(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4
(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5
(a)
all components, except NOx:Text of imageMgas = mgas Wact
(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.
n1
=
number of ETC tests between two regenerations
n2
=
number of ETC during a regeneration (minimum of one ETC test)
Mgas,n2
=
emissions during a regeneration
Mgas,n1
=
emissions after a regeneration.
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
med
=
mass of diluted exhaust gas over the cycle, kg
mset
=
mass of double diluted exhaust gas through particulate filter, kg
mssd
=
mass of secondary dilution air, kg
mPT, msep, med
=
see above
md
=
mass of primary dilution air sampled by background particulate sampler, kg
mf,d
=
mass of the collected background particulates of the primary dilution air, mg
D
=
dilution factor as determined in section 5.4.1.
(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.
n1
=
number of ETC tests between two regeneration events
n2
=
number of ETC tests during a regeneration (minimum of one ETC)
Text of imagePTn2
=
emissions during a regeneration
Text of imagePTn1
=
emissions outside a regeneration.’
(g)
Appendix 4 is amended as follows:(i)Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’(ii)Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’(iii)Sections 2.3 and 2.4 are deleted.(iv)Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
(i)
Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or
—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or
—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
(ii)
Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’
Measuring Instrument
Accuracy
Fuel Consumption
± 2  % of Engine's Maximum Value
Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater
Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater
Temperatures ≤ 600 K (327 °C)
± 2  K Absolute
Temperatures ≥ 600 K (327 °C)
± 1  % of Reading
Atmospheric Pressure
± 0,1  kPa Absolute
Exhaust Gas Pressure
± 0,2  kPa Absolute
Intake Depression
± 0,05  kPa Absolute
Other Pressures
± 0,1  kPa Absolute
Relative Humidity
± 3  % Absolute
Absolute Humidity
± 5  % of Reading
Dilution Air Flow
± 2  % of Reading
Diluted Exhaust Gas Flow
± 2  % of Reading’
(iii)
Sections 2.3 and 2.4 are deleted.
(iv)
Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
± 3 % of reading
λ < 2
± 5 % of reading
2 ≤ λ < 5
± 10 % of reading
5 ≤ λ
—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,
—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.
Filter Diameter (mm)
Minimum loading (mg)
47
0,11
70
0,25
90
0,41
110
0,62
(h)
Appendix 5 is amended as follows:(i)The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’(ii)Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’(iii)The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’(iv)Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’(v)Former section 1.6 becomes section 1.6.7.(vi)The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’(vii)Former section 2.4 becomes Section 2.5.(viii)Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
(i)
The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’
(ii)
Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’
Vs
=
system volume, l
qvs
=
system flow rate, l/min
(iii)
The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’
(iv)
Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’
—
Each normally used operating range shall be calibrated
—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero
—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established
—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale
—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used
—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger
—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.
(v)
Former section 1.6 becomes section 1.6.7.
(vi)
The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
T
=
temperature at the venturi inlet, K
d
=
diameter of the SSV throat, m
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
d
=
diameter of the SSV throat, m
μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s
b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2
S
=
empirical constant = 110,4K
(vii)
Former section 2.4 becomes Section 2.5.
(viii)
Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.
—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.
—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.
—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.
—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.
—
A pre-test check shall be performed within 2 hours before the test run in the following way:
—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.
—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.
—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:
—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.
—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.
—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).
—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.
(i)
The following Appendix 6 is added:‘Appendix 6CARBON FLOW CHECK1.   INTRODUCTIONAll but a tiny part of the carbon in the exhaust comes from the fuel, and all but a minimal part of this is manifest in the exhaust gas as CO2. This is the basis for a system verification check based on CO2measurements.The flow of carbon into the exhaust measurement systems is determined from the fuel flow rate. The flow of carbon at various sampling points in the emissions and particulate sampling systems is determined from the CO2concentrations and gas flow rates at those points.In this sense, the engine provides a known source of carbon flow, and observing the same carbon flow in the exhaust pipe and at the outlet of the partial flow PM sampling system verifies leak integrity and flow measurement accuracy. This check has the advantage that the components are operating under actual engine test conditions of temperature and flow.The following diagram shows the sampling points at which the carbon flows shall be checked. The specific equations for the carbon flows at each of the sample points are given below.Measuring points for carbon flow checkAirFuelCO2 RAWENGINEPartial Flow SystemCO2 PFS2.   CALCULATIONS2.1.   Carbon flow rate into the engine (location 1)The carbon mass flow rate into the engine for a fuel CHαOεis given by:Text of imageqmCf = 12,011 12,011 + α + 15,9994 × ε × qmfwhere:qmf= fuel mass flow rate, kg/s2.2.   Carbon flow rate in the raw exhaust (location 2)The carbon mass flow rate in the exhaust pipe of the engine shall be determined from the raw CO2concentration and the exhaust gas mass flow rate:Text of imageqmCe = (cCO2,r – cCO2,a 100) × qmew × 12,011 Mrewhere:cCO2,r=wet CO2concentration in the raw exhaust gas, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmew=exhaust gas mass flow rate on wet basis, kg/sMre=molecular mass of exhaust gasIf CO2is measured on a dry basis it shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex.2.3.   Carbon flow rate in the dilution system (location 3)The carbon flow rate shall be determined from the dilute CO2concentration, the exhaust gas mass flow rate and the sample flow rate:Text of imageqmCp = (cCO2,d – cCO2,a 100) × qmdew × 12,011 Mre × qmew qmpwhere:cCO2,d=wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmdew=diluted exhaust gas mass flow rate on wet basis, kg/sqmew=exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)qmp=sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)Mre=molecular mass of exhaust gasIf CO2is measured on a dry basis, it shall be converted to wet basis according to section 5.2 of Appendix 1 to this Annex.2.4.   The molecular mass (Mre) of the exhaust gas shall be calculated as follows:Text of imageMre = 1 + qmf qmaw qmf qmaw × α 4 + ε 2 + δ 2 12,011 + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γ + Ha × 10–3 2 × 1,00794 + 15,9994 + 1 Mra 1 + Ha × 10–3where:qmf=fuel mass flow rate, kg/sqmaw=intake air mass flow rate on wet basis, kg/sHa=humidity of intake air, g water per kg dry airMra=molecular mass of dry intake air (= 28,9 g/mol)α, δ, ε, γ=molar ratios referring to a fuel CHαOδNεSγAlternatively, the following molecular masses may be used:Mre(diesel)=28,9 g/molMre(LPG)=28,6 g/molMre(NG)=28,3 g/mol’
cCO2,r
=
wet CO2concentration in the raw exhaust gas, %
cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)
qmew
=
exhaust gas mass flow rate on wet basis, kg/s
Mre
=
molecular mass of exhaust gas
cCO2,d
=
wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %
cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)
qmdew
=
diluted exhaust gas mass flow rate on wet basis, kg/s
qmew
=
exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)
qmp
=
sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)
Mre
=
molecular mass of exhaust gas
qmf
=
fuel mass flow rate, kg/s
qmaw
=
intake air mass flow rate on wet basis, kg/s
Ha
=
humidity of intake air, g water per kg dry air
Mra
=
molecular mass of dry intake air (= 28,9 g/mol)
α, δ, ε, γ
=
molar ratios referring to a fuel CHαOδNεSγ
Mre(diesel)
=
28,9 g/mol
Mre(LPG)
=
28,6 g/mol
Mre(NG)
=
28,3 g/mol’

(a)
Section 1.3.1 is replaced by the following:‘1.3.1.   ESC TestDuring a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw or diluted exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. For particulate measurement, the exhaust gas shall be diluted with conditioned ambient air using either a partial flow or full flow dilution system. The particulates shall be collected on a single suitable filter in proportion to the weighting factors of each mode. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NOxshall be measured at three test points within the control area selected by the Technical Service and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NOxcontrol check ensures the effectiveness of the emission control of the engine within the typical engine operating range.’

(b)
Section 1.3.3 is replaced by the following:‘1.3.3.   ETC TestDuring a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined either after diluting the total exhaust gas with conditioned ambient air (CVS system with double dilution for particulates) or by determining the gaseous components in the raw exhaust gas and the particulates with a partial flow dilution system. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. For a CVS system, the concentration of NOxand HC shall be determined over the cycle by integration of the analyser signal, whereas the concentration of CO, CO2, and NMHC may be determined by integration of the analyser signal or by bag sampling. If measured in the raw exhaust gas, all gaseous components shall be determined over the cycle by integration of the analyser signal. For particulates, a proportional sample shall be collected on a suitable filter. The raw or diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex.’

(c)
Section 2.1 is replaced by the following:‘2.1.   Engine Test Conditions2.1.1.   The absolute temperature (Ta) of the engine air at the inlet to the engine expressed in Kelvin, and the dry atmospheric pressure (ps), expressed in kPa shall be measured and the parameterfashall be determined according to the following provisions. In multi-cylinder engines having distinct groups of intake manifolds, for example, in a “V” engine configuration, the average temperature of the distinct groups shall be taken.(a)for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image(b)for spark-ignition engines:Text of image2.1.2.   Test ValidityFor a test to be recognised as valid, the parameterfashall be such that:0,96 ≤fa≤ 1,06’
(a)
for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image
(b)
for spark-ignition engines:Text of image

(a)
for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image

(b)
for spark-ignition engines:Text of image

(d)
Section 2.8 is replaced by the following:If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle shall be representative of the emissions in the field. In the case of an engine equipped with a exhaust aftertreatment system that requires the consumption of a reagent, the reagent used for all tests shall comply with section 2.2.1.13 of Appendix 1 to Annex II.2.8.1.   For an exhaust aftertreatment system based on a continuous regeneration process the emissions shall be measured on a stabilised aftertreatment system.The regeneration process shall occur at least once during the ETC test and the manufacturer shall declare the normal conditions under which regeneration occurs (soot load, temperature, exhaust back-pressure, etc).In order to verify the regeneration process at least 5 ETC tests shall be conducted. During the tests the exhaust temperature and pressure shall be recorded (temperature before and after the aftertreatment system, exhaust back pressure, etc).The aftertreatment system is considered to be satisfactory if the conditions declared by the manufacturer occur during the test during a sufficient time.The final test result shall be the arithmetic mean of the different ETC test results.If the exhaust aftertreatment has a security mode that shifts to a periodic regeneration mode it should be checked following section 2.8.2. For that specific case the emission limits in table 2 of Annex I could be exceeded and would not be weighted.2.8.2.   For an exhaust aftertreatment based on a periodic regeneration process, the emissions shall be measured on at least two ETC tests, one during and one outside a regeneration event on a stabilised aftertreatment system, and the results be weighted.The regeneration process shall occur at least once during the ETC test. The engine may be equipped with a switch capable of preventing or permitting the regeneration process provided this operation has no effect on the original engine calibration.The manufacturer shall declare the normal parameter conditions under which the regeneration process occurs (soot load, temperature, exhaust back-pressure etc) and its duration time (n2). The manufacturer shall also provide all the data to determine the time between two regenerations (n1). The exact procedure to determine this time shall be agreed by the Technical Service based upon good engineering judgement.The manufacturer shall provide an aftertreatment system that has been loaded in order to achieve regeneration during an ETC test. Regeneration shall not occur during this engine conditioning phase.Average emissions between regeneration phases shall be determined from the arithmetic mean of several approximately equidistant ETC tests. It is recommended to run at least one ETC as close as possible prior to a regeneration test and one ETC immediately after a regeneration test. As an alternative, the manufacturer may provide data to show that the emissions remain constant (± 15 %) between regeneration phases. In this case, the emissions of only one ETC test may be used.During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NOxemissions, temperature before and after the aftertreatment system, exhaust back pressure etc).During the regeneration process, the emission limits in table 2 of Annex I can be exceeded.The measured emissions shall be weighted according to section 5.5 and 6.3 of Appendix 2 to this Annex and the final result shall not exceed the limits in table 2 of Annex I.’

(e)
Appendix 1 is amended as follows:(i)Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’(ii)Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’(iii)The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’(iv)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "(v)Former section 6 is renumbered as section 7.
(i)
Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’
(ii)
Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’
(iii)
The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
(iv)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "
pr
=
water vapour pressure after cooling bath, kPa,
pb
=
total atmospheric pressure, kPa,
Ha
=
intake air humidity, g water per kg dry air,
kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS
Ha
=
intake air humidity, g water per kg dry air
Hd
=
dilution air humidity, g water per kg dry air
(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air
(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h
(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h
Fuel

NOx
CO
THC/NMHC
CO2
CH4
Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553
Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553
Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561
Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553
CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565
Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553
Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559
Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553
Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558
Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553
Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
cwE
=
wet concentration of the tracer gas in the raw exhaust
cwD
=
wet concentration of the tracer gas in the diluted exhaust
cwA
=
wet concentration of the tracer gas in the dilution air
c(CO2)D
=
CO2concentration of the diluted exhaust
c(CO2)A
=
CO2concentration of the dilution air
(v)
Former section 6 is renumbered as section 7.

(i)
Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’

(ii)
Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’

(iii)
The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.

—
pressure differential devices, like flow nozzle,

—
ultrasonic flowmeter,

—
vortex flowmeter.

(iv)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "
pr
=
water vapour pressure after cooling bath, kPa,
pb
=
total atmospheric pressure, kPa,
Ha
=
intake air humidity, g water per kg dry air,
kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS
Ha
=
intake air humidity, g water per kg dry air
Hd
=
dilution air humidity, g water per kg dry air
(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air
(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h
(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h
Fuel

NOx
CO
THC/NMHC
CO2
CH4
Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553
Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553
Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561
Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553
CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565
Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553
Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559
Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553
Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558
Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553
Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
cwE
=
wet concentration of the tracer gas in the raw exhaust
cwD
=
wet concentration of the tracer gas in the diluted exhaust
cwA
=
wet concentration of the tracer gas in the dilution air
c(CO2)D
=
CO2concentration of the diluted exhaust
c(CO2)A
=
CO2concentration of the dilution air

pr
=
water vapour pressure after cooling bath, kPa,

pb
=
total atmospheric pressure, kPa,

Ha
=
intake air humidity, g water per kg dry air,

kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS

Ha
=
intake air humidity, g water per kg dry air

Hd
=
dilution air humidity, g water per kg dry air

(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air

Ta
=
temperature of the intake air, K

Ha
=
humidity of the intake air, g water per kg dry air

(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.

(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h

ugas
=
ratio between density of exhaust component and density of exhaust gas

cgas
=
concentration of the respective component in the raw exhaust gas, ppm

qmew
=
exhaust mass flow rate, kg/h

(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h

ugas
=
ratio between density of exhaust component and density of air

cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm

qmdew
=
diluted exhaust mass flow rate, kg/h

Fuel

NOx
CO
THC/NMHC
CO2
CH4

Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553

Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553

Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561

Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553

CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565

Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553

Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559

Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553

Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558

Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553

Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa

—
uvalues of dilute exhaust based on ideal gas properties and density of air

—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %

—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

cwE
=
wet concentration of the tracer gas in the raw exhaust

cwD
=
wet concentration of the tracer gas in the diluted exhaust

cwA
=
wet concentration of the tracer gas in the dilution air

c(CO2)D
=
CO2concentration of the diluted exhaust

c(CO2)A
=
CO2concentration of the dilution air

(v)
Former section 6 is renumbered as section 7.

(f)
Appendix 2 is amended as follows:(i)Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’(ii)The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’(iii)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(i)
Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’
—
start collecting or analysing dilution air,
—
start collecting or analysing diluted exhaust gas,
—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,
—
start recording the feedback data of speed and torque of the dynamometer.
—
start analysing the raw exhaust gas concentrations,
—
start measuring the exhaust gas or intake air and fuel flow rate,
—
start recording the feedback data of speed and torque of the dynamometer.
—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,
—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,
—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.
y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)
m
=
slope of the regression line
x
=
reference value of speed (min-1), torque (Nm), or power (kW)
b
=
y intercept of the regression line

Speed
Torque
Power
Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power
Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)
Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)
Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater
Conditions
Points to be deleted
Full load demand and torque feedback < 95 % torque reference
Torque and/or power
Full load demand and speed feedback < 95 % speed reference
Speed and/or power
No load, not an idle point, and torque feedback > torque reference
Torque and/or power
No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power
No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power
No load and speed feedback > 105 % speed reference
Speed and/or power’
(ii)
The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’
V0
=
volume of gas pumped per revolution under test conditions, m3/rev
NP
=
total revolutions of pump per test
pb
=
atmospheric pressure in the test cell, kPa
p1
=
pressure depression below atmospheric at pump inlet, kPa
T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K
t
=
cycle time, s
Kv
=
calibration coefficient of the critical flow venturi for standard conditions,
pp
=
absolute pressure at venturi inlet, kPa
T
=
absolute temperature at venturi inlet, K
A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of
d
=
diameter of the SSV throat, m
Cd
=
discharge coefficient of the SSV
pp
=
absolute pressure at venturi inlet, kPa
T
=
temperature at the venturi inlet, K
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
qmew,i
=
instantaneous exhaust mass flow, kg/s
qvt
=
tracer gas flow, cm3/min
cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm
ρe
=
density of the exhaust gas, kg/m3(cf. table 3)
ca
=
background concentration of the tracer gas in the intake air, ppm
A/Fst
=
stoichiometric air to fuel ratio, kg/kg
λ
=
excess air ratio
cCO2
=
dry CO2concentration, %
cCO
=
dry CO concentration, ppm
cHC
=
HC concentration, ppm
(iii)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg
(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)
(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4
(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC
ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective pollutant measured in the dilution air, ppm
D
=
dilution factor
(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4
(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5
(a)
all components, except NOx:Text of imageMgas = mgas Wact
(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.
n1
=
number of ETC tests between two regenerations
n2
=
number of ETC during a regeneration (minimum of one ETC test)
Mgas,n2
=
emissions during a regeneration
Mgas,n1
=
emissions after a regeneration.
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
med
=
mass of diluted exhaust gas over the cycle, kg
mset
=
mass of double diluted exhaust gas through particulate filter, kg
mssd
=
mass of secondary dilution air, kg
mPT, msep, med
=
see above
md
=
mass of primary dilution air sampled by background particulate sampler, kg
mf,d
=
mass of the collected background particulates of the primary dilution air, mg
D
=
dilution factor as determined in section 5.4.1.
(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.
n1
=
number of ETC tests between two regeneration events
n2
=
number of ETC tests during a regeneration (minimum of one ETC)
Text of imagePTn2
=
emissions during a regeneration
Text of imagePTn1
=
emissions outside a regeneration.’

(i)
Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’
—
start collecting or analysing dilution air,
—
start collecting or analysing diluted exhaust gas,
—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,
—
start recording the feedback data of speed and torque of the dynamometer.
—
start analysing the raw exhaust gas concentrations,
—
start measuring the exhaust gas or intake air and fuel flow rate,
—
start recording the feedback data of speed and torque of the dynamometer.
—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,
—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,
—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.
y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)
m
=
slope of the regression line
x
=
reference value of speed (min-1), torque (Nm), or power (kW)
b
=
y intercept of the regression line

Speed
Torque
Power
Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power
Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)
Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)
Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater
Conditions
Points to be deleted
Full load demand and torque feedback < 95 % torque reference
Torque and/or power
Full load demand and speed feedback < 95 % speed reference
Speed and/or power
No load, not an idle point, and torque feedback > torque reference
Torque and/or power
No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power
No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power
No load and speed feedback > 105 % speed reference
Speed and/or power’

—
start collecting or analysing dilution air,

—
start collecting or analysing diluted exhaust gas,

—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,

—
start recording the feedback data of speed and torque of the dynamometer.

—
start analysing the raw exhaust gas concentrations,

—
start measuring the exhaust gas or intake air and fuel flow rate,

—
start recording the feedback data of speed and torque of the dynamometer.

—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,

—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,

—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.

y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)

m
=
slope of the regression line

x
=
reference value of speed (min-1), torque (Nm), or power (kW)

b
=
y intercept of the regression line


Speed
Torque
Power

Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power

Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)

Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)

Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater

Conditions
Points to be deleted

Full load demand and torque feedback < 95 % torque reference
Torque and/or power

Full load demand and speed feedback < 95 % speed reference
Speed and/or power

No load, not an idle point, and torque feedback > torque reference
Torque and/or power

No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power

No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power

No load and speed feedback > 105 % speed reference
Speed and/or power’

(ii)
The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’
V0
=
volume of gas pumped per revolution under test conditions, m3/rev
NP
=
total revolutions of pump per test
pb
=
atmospheric pressure in the test cell, kPa
p1
=
pressure depression below atmospheric at pump inlet, kPa
T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K
t
=
cycle time, s
Kv
=
calibration coefficient of the critical flow venturi for standard conditions,
pp
=
absolute pressure at venturi inlet, kPa
T
=
absolute temperature at venturi inlet, K
A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of
d
=
diameter of the SSV throat, m
Cd
=
discharge coefficient of the SSV
pp
=
absolute pressure at venturi inlet, kPa
T
=
temperature at the venturi inlet, K
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
qmew,i
=
instantaneous exhaust mass flow, kg/s
qvt
=
tracer gas flow, cm3/min
cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm
ρe
=
density of the exhaust gas, kg/m3(cf. table 3)
ca
=
background concentration of the tracer gas in the intake air, ppm
A/Fst
=
stoichiometric air to fuel ratio, kg/kg
λ
=
excess air ratio
cCO2
=
dry CO2concentration, %
cCO
=
dry CO concentration, ppm
cHC
=
HC concentration, ppm

V0
=
volume of gas pumped per revolution under test conditions, m3/rev

NP
=
total revolutions of pump per test

pb
=
atmospheric pressure in the test cell, kPa

p1
=
pressure depression below atmospheric at pump inlet, kPa

T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K

t
=
cycle time, s

Kv
=
calibration coefficient of the critical flow venturi for standard conditions,

pp
=
absolute pressure at venturi inlet, kPa

T
=
absolute temperature at venturi inlet, K

A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of

d
=
diameter of the SSV throat, m

Cd
=
discharge coefficient of the SSV

pp
=
absolute pressure at venturi inlet, kPa

T
=
temperature at the venturi inlet, K

rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D

—
pressure differential devices, like flow nozzle,

—
ultrasonic flowmeter,

—
vortex flowmeter.

qmew,i
=
instantaneous exhaust mass flow, kg/s

qvt
=
tracer gas flow, cm3/min

cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm

ρe
=
density of the exhaust gas, kg/m3(cf. table 3)

ca
=
background concentration of the tracer gas in the intake air, ppm

A/Fst
=
stoichiometric air to fuel ratio, kg/kg

λ
=
excess air ratio

cCO2
=
dry CO2concentration, %

cCO
=
dry CO concentration, ppm

cHC
=
HC concentration, ppm

(iii)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg
(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)
(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4
(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC
ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective pollutant measured in the dilution air, ppm
D
=
dilution factor
(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4
(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5
(a)
all components, except NOx:Text of imageMgas = mgas Wact
(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.
n1
=
number of ETC tests between two regenerations
n2
=
number of ETC during a regeneration (minimum of one ETC test)
Mgas,n2
=
emissions during a regeneration
Mgas,n1
=
emissions after a regeneration.
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
med
=
mass of diluted exhaust gas over the cycle, kg
mset
=
mass of double diluted exhaust gas through particulate filter, kg
mssd
=
mass of secondary dilution air, kg
mPT, msep, med
=
see above
md
=
mass of primary dilution air sampled by background particulate sampler, kg
mf,d
=
mass of the collected background particulates of the primary dilution air, mg
D
=
dilution factor as determined in section 5.4.1.
(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.
n1
=
number of ETC tests between two regeneration events
n2
=
number of ETC tests during a regeneration (minimum of one ETC)
Text of imagePTn2
=
emissions during a regeneration
Text of imagePTn1
=
emissions outside a regeneration.’

(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements

ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6

cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements

(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

cgas
=
average background corrected concentration of the respective component, ppm

med
=
total diluted exhaust mass over the cycle, kg

(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)

ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective component measured in the dilution air, ppm

qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s

med
=
total mass of diluted exhaust gas over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

D
=
dilution factor (see section 5.4.1)

(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4

(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC

cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC

cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC

ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective pollutant measured in the dilution air, ppm

D
=
dilution factor

(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4

(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5

cCO2
=
concentration of CO2in the diluted exhaust gas, % vol

cHC
=
concentration of HC in the diluted exhaust gas, ppm C1

cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1

cCO
=
concentration of CO in the diluted exhaust gas, ppm

FS
=
stoichiometric factor

FS(diesel)
=
13,4

FS(LPG)
=
11,6

FS(NG)
=
9,5

(a)
all components, except NOx:Text of imageMgas = mgas Wact

(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.

n1
=
number of ETC tests between two regenerations

n2
=
number of ETC during a regeneration (minimum of one ETC test)

Mgas,n2
=
emissions during a regeneration

Mgas,n1
=
emissions after a regeneration.

mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

med
=
mass of diluted exhaust gas over the cycle, kg

mset
=
mass of double diluted exhaust gas through particulate filter, kg

mssd
=
mass of secondary dilution air, kg

mPT, msep, med
=
see above

md
=
mass of primary dilution air sampled by background particulate sampler, kg

mf,d
=
mass of the collected background particulates of the primary dilution air, mg

D
=
dilution factor as determined in section 5.4.1.

(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements

mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

medf
=
mass of equivalent diluted exhaust gas over the cycle, kg

qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

rd,i
=
instantaneous dilution ratio

qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s

qmdw,i
=
instantaneous dilution air mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements

(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.

mf
=
particulate mass sampled over the cycle, mg

rs
=
average sample ratio over the test cycle

mse
=
sample mass over the cycle, kg

mew
=
total exhaust mass flow over the cycle, kg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.

n1
=
number of ETC tests between two regeneration events

n2
=
number of ETC tests during a regeneration (minimum of one ETC)

Text of imagePTn2
=
emissions during a regeneration

Text of imagePTn1
=
emissions outside a regeneration.’

(g)
Appendix 4 is amended as follows:(i)Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’(ii)Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’(iii)Sections 2.3 and 2.4 are deleted.(iv)Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
(i)
Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or
—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or
—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
(ii)
Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’
Measuring Instrument
Accuracy
Fuel Consumption
± 2  % of Engine's Maximum Value
Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater
Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater
Temperatures ≤ 600 K (327 °C)
± 2  K Absolute
Temperatures ≥ 600 K (327 °C)
± 1  % of Reading
Atmospheric Pressure
± 0,1  kPa Absolute
Exhaust Gas Pressure
± 0,2  kPa Absolute
Intake Depression
± 0,05  kPa Absolute
Other Pressures
± 0,1  kPa Absolute
Relative Humidity
± 3  % Absolute
Absolute Humidity
± 5  % of Reading
Dilution Air Flow
± 2  % of Reading
Diluted Exhaust Gas Flow
± 2  % of Reading’
(iii)
Sections 2.3 and 2.4 are deleted.
(iv)
Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
± 3 % of reading
λ < 2
± 5 % of reading
2 ≤ λ < 5
± 10 % of reading
5 ≤ λ
—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,
—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.
Filter Diameter (mm)
Minimum loading (mg)
47
0,11
70
0,25
90
0,41
110
0,62

(i)
Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or
—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or
—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’

—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or

—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or

—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’

(ii)
Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’
Measuring Instrument
Accuracy
Fuel Consumption
± 2  % of Engine's Maximum Value
Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater
Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater
Temperatures ≤ 600 K (327 °C)
± 2  K Absolute
Temperatures ≥ 600 K (327 °C)
± 1  % of Reading
Atmospheric Pressure
± 0,1  kPa Absolute
Exhaust Gas Pressure
± 0,2  kPa Absolute
Intake Depression
± 0,05  kPa Absolute
Other Pressures
± 0,1  kPa Absolute
Relative Humidity
± 3  % Absolute
Absolute Humidity
± 5  % of Reading
Dilution Air Flow
± 2  % of Reading
Diluted Exhaust Gas Flow
± 2  % of Reading’

Measuring Instrument
Accuracy

Fuel Consumption
± 2  % of Engine's Maximum Value

Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater

Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater

Temperatures ≤ 600 K (327 °C)
± 2  K Absolute

Temperatures ≥ 600 K (327 °C)
± 1  % of Reading

Atmospheric Pressure
± 0,1  kPa Absolute

Exhaust Gas Pressure
± 0,2  kPa Absolute

Intake Depression
± 0,05  kPa Absolute

Other Pressures
± 0,1  kPa Absolute

Relative Humidity
± 3  % Absolute

Absolute Humidity
± 5  % of Reading

Dilution Air Flow
± 2  % of Reading

Diluted Exhaust Gas Flow
± 2  % of Reading’

(iii)
Sections 2.3 and 2.4 are deleted.

(iv)
Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
± 3 % of reading
λ < 2
± 5 % of reading
2 ≤ λ < 5
± 10 % of reading
5 ≤ λ
—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,
—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.
Filter Diameter (mm)
Minimum loading (mg)
47
0,11
70
0,25
90
0,41
110
0,62

± 3 % of reading
λ < 2

± 5 % of reading
2 ≤ λ < 5

± 10 % of reading
5 ≤ λ

—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,

—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.

Filter Diameter (mm)
Minimum loading (mg)

47
0,11

70
0,25

90
0,41

110
0,62

(h)
Appendix 5 is amended as follows:(i)The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’(ii)Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’(iii)The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’(iv)Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’(v)Former section 1.6 becomes section 1.6.7.(vi)The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’(vii)Former section 2.4 becomes Section 2.5.(viii)Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
(i)
The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’
(ii)
Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’
Vs
=
system volume, l
qvs
=
system flow rate, l/min
(iii)
The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’
(iv)
Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’
—
Each normally used operating range shall be calibrated
—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero
—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established
—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale
—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used
—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger
—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.
(v)
Former section 1.6 becomes section 1.6.7.
(vi)
The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
T
=
temperature at the venturi inlet, K
d
=
diameter of the SSV throat, m
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
d
=
diameter of the SSV throat, m
μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s
b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2
S
=
empirical constant = 110,4K
(vii)
Former section 2.4 becomes Section 2.5.
(viii)
Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.
—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.
—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.
—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.
—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.
—
A pre-test check shall be performed within 2 hours before the test run in the following way:
—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.
—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.
—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:
—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.
—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.
—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).
—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

(i)
The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’

(ii)
Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’
Vs
=
system volume, l
qvs
=
system flow rate, l/min

Vs
=
system volume, l

qvs
=
system flow rate, l/min

(iii)
The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’

(iv)
Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’
—
Each normally used operating range shall be calibrated
—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero
—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established
—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale
—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used
—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger
—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.

—
Each normally used operating range shall be calibrated

—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero

—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established

—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale

—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used

—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger

—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.

(v)
Former section 1.6 becomes section 1.6.7.

(vi)
The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
T
=
temperature at the venturi inlet, K
d
=
diameter of the SSV throat, m
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
d
=
diameter of the SSV throat, m
μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s
b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2
S
=
empirical constant = 110,4K

QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

T
=
temperature at the venturi inlet, K

d
=
diameter of the SSV throat, m

rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D

A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)

QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

d
=
diameter of the SSV throat, m

μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s

b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2

S
=
empirical constant = 110,4K

(vii)
Former section 2.4 becomes Section 2.5.

(viii)
Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.
—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.
—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.
—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.
—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.
—
A pre-test check shall be performed within 2 hours before the test run in the following way:
—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.
—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.
—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:
—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.
—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.
—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).
—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.

—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.

(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.

(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.

(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.

—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.

—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.

—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.

—
A pre-test check shall be performed within 2 hours before the test run in the following way:

—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.

—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.

—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:

—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.

—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.

—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).

—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

(i)
The following Appendix 6 is added:‘Appendix 6CARBON FLOW CHECK1.   INTRODUCTIONAll but a tiny part of the carbon in the exhaust comes from the fuel, and all but a minimal part of this is manifest in the exhaust gas as CO2. This is the basis for a system verification check based on CO2measurements.The flow of carbon into the exhaust measurement systems is determined from the fuel flow rate. The flow of carbon at various sampling points in the emissions and particulate sampling systems is determined from the CO2concentrations and gas flow rates at those points.In this sense, the engine provides a known source of carbon flow, and observing the same carbon flow in the exhaust pipe and at the outlet of the partial flow PM sampling system verifies leak integrity and flow measurement accuracy. This check has the advantage that the components are operating under actual engine test conditions of temperature and flow.The following diagram shows the sampling points at which the carbon flows shall be checked. The specific equations for the carbon flows at each of the sample points are given below.Measuring points for carbon flow checkAirFuelCO2 RAWENGINEPartial Flow SystemCO2 PFS2.   CALCULATIONS2.1.   Carbon flow rate into the engine (location 1)The carbon mass flow rate into the engine for a fuel CHαOεis given by:Text of imageqmCf = 12,011 12,011 + α + 15,9994 × ε × qmfwhere:qmf= fuel mass flow rate, kg/s2.2.   Carbon flow rate in the raw exhaust (location 2)The carbon mass flow rate in the exhaust pipe of the engine shall be determined from the raw CO2concentration and the exhaust gas mass flow rate:Text of imageqmCe = (cCO2,r – cCO2,a 100) × qmew × 12,011 Mrewhere:cCO2,r=wet CO2concentration in the raw exhaust gas, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmew=exhaust gas mass flow rate on wet basis, kg/sMre=molecular mass of exhaust gasIf CO2is measured on a dry basis it shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex.2.3.   Carbon flow rate in the dilution system (location 3)The carbon flow rate shall be determined from the dilute CO2concentration, the exhaust gas mass flow rate and the sample flow rate:Text of imageqmCp = (cCO2,d – cCO2,a 100) × qmdew × 12,011 Mre × qmew qmpwhere:cCO2,d=wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmdew=diluted exhaust gas mass flow rate on wet basis, kg/sqmew=exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)qmp=sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)Mre=molecular mass of exhaust gasIf CO2is measured on a dry basis, it shall be converted to wet basis according to section 5.2 of Appendix 1 to this Annex.2.4.   The molecular mass (Mre) of the exhaust gas shall be calculated as follows:Text of imageMre = 1 + qmf qmaw qmf qmaw × α 4 + ε 2 + δ 2 12,011 + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γ + Ha × 10–3 2 × 1,00794 + 15,9994 + 1 Mra 1 + Ha × 10–3where:qmf=fuel mass flow rate, kg/sqmaw=intake air mass flow rate on wet basis, kg/sHa=humidity of intake air, g water per kg dry airMra=molecular mass of dry intake air (= 28,9 g/mol)α, δ, ε, γ=molar ratios referring to a fuel CHαOδNεSγAlternatively, the following molecular masses may be used:Mre(diesel)=28,9 g/molMre(LPG)=28,6 g/molMre(NG)=28,3 g/mol’
cCO2,r
=
wet CO2concentration in the raw exhaust gas, %
cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)
qmew
=
exhaust gas mass flow rate on wet basis, kg/s
Mre
=
molecular mass of exhaust gas
cCO2,d
=
wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %
cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)
qmdew
=
diluted exhaust gas mass flow rate on wet basis, kg/s
qmew
=
exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)
qmp
=
sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)
Mre
=
molecular mass of exhaust gas
qmf
=
fuel mass flow rate, kg/s
qmaw
=
intake air mass flow rate on wet basis, kg/s
Ha
=
humidity of intake air, g water per kg dry air
Mra
=
molecular mass of dry intake air (= 28,9 g/mol)
α, δ, ε, γ
=
molar ratios referring to a fuel CHαOδNεSγ
Mre(diesel)
=
28,9 g/mol
Mre(LPG)
=
28,6 g/mol
Mre(NG)
=
28,3 g/mol’

cCO2,r
=
wet CO2concentration in the raw exhaust gas, %

cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)

qmew
=
exhaust gas mass flow rate on wet basis, kg/s

Mre
=
molecular mass of exhaust gas

cCO2,d
=
wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %

cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)

qmdew
=
diluted exhaust gas mass flow rate on wet basis, kg/s

qmew
=
exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)

qmp
=
sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)

Mre
=
molecular mass of exhaust gas

qmf
=
fuel mass flow rate, kg/s

qmaw
=
intake air mass flow rate on wet basis, kg/s

Ha
=
humidity of intake air, g water per kg dry air

Mra
=
molecular mass of dry intake air (= 28,9 g/mol)

α, δ, ε, γ
=
molar ratios referring to a fuel CHαOδNεSγ

Mre(diesel)
=
28,9 g/mol

Mre(LPG)
=
28,6 g/mol

Mre(NG)
=
28,3 g/mol’



(a)
Section 1.3.1 is replaced by the following:‘1.3.1.   ESC TestDuring a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw or diluted exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. For particulate measurement, the exhaust gas shall be diluted with conditioned ambient air using either a partial flow or full flow dilution system. The particulates shall be collected on a single suitable filter in proportion to the weighting factors of each mode. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NOxshall be measured at three test points within the control area selected by the Technical Service and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NOxcontrol check ensures the effectiveness of the emission control of the engine within the typical engine operating range.’



(b)
Section 1.3.3 is replaced by the following:‘1.3.3.   ETC TestDuring a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined either after diluting the total exhaust gas with conditioned ambient air (CVS system with double dilution for particulates) or by determining the gaseous components in the raw exhaust gas and the particulates with a partial flow dilution system. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. For a CVS system, the concentration of NOxand HC shall be determined over the cycle by integration of the analyser signal, whereas the concentration of CO, CO2, and NMHC may be determined by integration of the analyser signal or by bag sampling. If measured in the raw exhaust gas, all gaseous components shall be determined over the cycle by integration of the analyser signal. For particulates, a proportional sample shall be collected on a suitable filter. The raw or diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex.’



(c)
Section 2.1 is replaced by the following:‘2.1.   Engine Test Conditions2.1.1.   The absolute temperature (Ta) of the engine air at the inlet to the engine expressed in Kelvin, and the dry atmospheric pressure (ps), expressed in kPa shall be measured and the parameterfashall be determined according to the following provisions. In multi-cylinder engines having distinct groups of intake manifolds, for example, in a “V” engine configuration, the average temperature of the distinct groups shall be taken.(a)for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image(b)for spark-ignition engines:Text of image2.1.2.   Test ValidityFor a test to be recognised as valid, the parameterfashall be such that:0,96 ≤fa≤ 1,06’
(a)
for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image
(b)
for spark-ignition engines:Text of image

(a)
for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image

(b)
for spark-ignition engines:Text of image



(a)
for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image



(b)
for spark-ignition engines:Text of image



(d)
Section 2.8 is replaced by the following:If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle shall be representative of the emissions in the field. In the case of an engine equipped with a exhaust aftertreatment system that requires the consumption of a reagent, the reagent used for all tests shall comply with section 2.2.1.13 of Appendix 1 to Annex II.2.8.1.   For an exhaust aftertreatment system based on a continuous regeneration process the emissions shall be measured on a stabilised aftertreatment system.The regeneration process shall occur at least once during the ETC test and the manufacturer shall declare the normal conditions under which regeneration occurs (soot load, temperature, exhaust back-pressure, etc).In order to verify the regeneration process at least 5 ETC tests shall be conducted. During the tests the exhaust temperature and pressure shall be recorded (temperature before and after the aftertreatment system, exhaust back pressure, etc).The aftertreatment system is considered to be satisfactory if the conditions declared by the manufacturer occur during the test during a sufficient time.The final test result shall be the arithmetic mean of the different ETC test results.If the exhaust aftertreatment has a security mode that shifts to a periodic regeneration mode it should be checked following section 2.8.2. For that specific case the emission limits in table 2 of Annex I could be exceeded and would not be weighted.2.8.2.   For an exhaust aftertreatment based on a periodic regeneration process, the emissions shall be measured on at least two ETC tests, one during and one outside a regeneration event on a stabilised aftertreatment system, and the results be weighted.The regeneration process shall occur at least once during the ETC test. The engine may be equipped with a switch capable of preventing or permitting the regeneration process provided this operation has no effect on the original engine calibration.The manufacturer shall declare the normal parameter conditions under which the regeneration process occurs (soot load, temperature, exhaust back-pressure etc) and its duration time (n2). The manufacturer shall also provide all the data to determine the time between two regenerations (n1). The exact procedure to determine this time shall be agreed by the Technical Service based upon good engineering judgement.The manufacturer shall provide an aftertreatment system that has been loaded in order to achieve regeneration during an ETC test. Regeneration shall not occur during this engine conditioning phase.Average emissions between regeneration phases shall be determined from the arithmetic mean of several approximately equidistant ETC tests. It is recommended to run at least one ETC as close as possible prior to a regeneration test and one ETC immediately after a regeneration test. As an alternative, the manufacturer may provide data to show that the emissions remain constant (± 15 %) between regeneration phases. In this case, the emissions of only one ETC test may be used.During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NOxemissions, temperature before and after the aftertreatment system, exhaust back pressure etc).During the regeneration process, the emission limits in table 2 of Annex I can be exceeded.The measured emissions shall be weighted according to section 5.5 and 6.3 of Appendix 2 to this Annex and the final result shall not exceed the limits in table 2 of Annex I.’



(e)
Appendix 1 is amended as follows:(i)Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’(ii)Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’(iii)The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’(iv)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "(v)Former section 6 is renumbered as section 7.
(i)
Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’
(ii)
Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’
(iii)
The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
(iv)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "
pr
=
water vapour pressure after cooling bath, kPa,
pb
=
total atmospheric pressure, kPa,
Ha
=
intake air humidity, g water per kg dry air,
kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS
Ha
=
intake air humidity, g water per kg dry air
Hd
=
dilution air humidity, g water per kg dry air
(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air
(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h
(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h
Fuel

NOx
CO
THC/NMHC
CO2
CH4
Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553
Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553
Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561
Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553
CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565
Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553
Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559
Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553
Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558
Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553
Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
cwE
=
wet concentration of the tracer gas in the raw exhaust
cwD
=
wet concentration of the tracer gas in the diluted exhaust
cwA
=
wet concentration of the tracer gas in the dilution air
c(CO2)D
=
CO2concentration of the diluted exhaust
c(CO2)A
=
CO2concentration of the dilution air
(v)
Former section 6 is renumbered as section 7.

(i)
Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’

(ii)
Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’

(iii)
The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.

—
pressure differential devices, like flow nozzle,

—
ultrasonic flowmeter,

—
vortex flowmeter.

(iv)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "
pr
=
water vapour pressure after cooling bath, kPa,
pb
=
total atmospheric pressure, kPa,
Ha
=
intake air humidity, g water per kg dry air,
kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS
Ha
=
intake air humidity, g water per kg dry air
Hd
=
dilution air humidity, g water per kg dry air
(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air
(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h
(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h
Fuel

NOx
CO
THC/NMHC
CO2
CH4
Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553
Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553
Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561
Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553
CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565
Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553
Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559
Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553
Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558
Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553
Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
cwE
=
wet concentration of the tracer gas in the raw exhaust
cwD
=
wet concentration of the tracer gas in the diluted exhaust
cwA
=
wet concentration of the tracer gas in the dilution air
c(CO2)D
=
CO2concentration of the diluted exhaust
c(CO2)A
=
CO2concentration of the dilution air

pr
=
water vapour pressure after cooling bath, kPa,

pb
=
total atmospheric pressure, kPa,

Ha
=
intake air humidity, g water per kg dry air,

kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS

Ha
=
intake air humidity, g water per kg dry air

Hd
=
dilution air humidity, g water per kg dry air

(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air

Ta
=
temperature of the intake air, K

Ha
=
humidity of the intake air, g water per kg dry air

(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.

(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h

ugas
=
ratio between density of exhaust component and density of exhaust gas

cgas
=
concentration of the respective component in the raw exhaust gas, ppm

qmew
=
exhaust mass flow rate, kg/h

(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h

ugas
=
ratio between density of exhaust component and density of air

cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm

qmdew
=
diluted exhaust mass flow rate, kg/h

Fuel

NOx
CO
THC/NMHC
CO2
CH4

Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553

Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553

Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561

Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553

CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565

Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553

Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559

Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553

Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558

Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553

Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa

—
uvalues of dilute exhaust based on ideal gas properties and density of air

—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %

—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

cwE
=
wet concentration of the tracer gas in the raw exhaust

cwD
=
wet concentration of the tracer gas in the diluted exhaust

cwA
=
wet concentration of the tracer gas in the dilution air

c(CO2)D
=
CO2concentration of the diluted exhaust

c(CO2)A
=
CO2concentration of the dilution air

(v)
Former section 6 is renumbered as section 7.



(i)
Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’



(ii)
Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’



(iii)
The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.

—
pressure differential devices, like flow nozzle,

—
ultrasonic flowmeter,

—
vortex flowmeter.



—
pressure differential devices, like flow nozzle,



—
ultrasonic flowmeter,



—
vortex flowmeter.



(iv)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’ "
pr
=
water vapour pressure after cooling bath, kPa,
pb
=
total atmospheric pressure, kPa,
Ha
=
intake air humidity, g water per kg dry air,
kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS
Ha
=
intake air humidity, g water per kg dry air
Hd
=
dilution air humidity, g water per kg dry air
(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air
(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h
(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h
Fuel

NOx
CO
THC/NMHC
CO2
CH4
Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553
Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553
Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561
Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553
CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565
Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553
Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559
Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553
Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558
Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553
Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
cwE
=
wet concentration of the tracer gas in the raw exhaust
cwD
=
wet concentration of the tracer gas in the diluted exhaust
cwA
=
wet concentration of the tracer gas in the dilution air
c(CO2)D
=
CO2concentration of the diluted exhaust
c(CO2)A
=
CO2concentration of the dilution air

pr
=
water vapour pressure after cooling bath, kPa,

pb
=
total atmospheric pressure, kPa,

Ha
=
intake air humidity, g water per kg dry air,

kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS

Ha
=
intake air humidity, g water per kg dry air

Hd
=
dilution air humidity, g water per kg dry air

(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air

Ta
=
temperature of the intake air, K

Ha
=
humidity of the intake air, g water per kg dry air

(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.

(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h

ugas
=
ratio between density of exhaust component and density of exhaust gas

cgas
=
concentration of the respective component in the raw exhaust gas, ppm

qmew
=
exhaust mass flow rate, kg/h

(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h

ugas
=
ratio between density of exhaust component and density of air

cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm

qmdew
=
diluted exhaust mass flow rate, kg/h

Fuel

NOx
CO
THC/NMHC
CO2
CH4

Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553

Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553

Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561

Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553

CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565

Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553

Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559

Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553

Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558

Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553

Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa

—
uvalues of dilute exhaust based on ideal gas properties and density of air

—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %

—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

cwE
=
wet concentration of the tracer gas in the raw exhaust

cwD
=
wet concentration of the tracer gas in the diluted exhaust

cwA
=
wet concentration of the tracer gas in the dilution air

c(CO2)D
=
CO2concentration of the diluted exhaust

c(CO2)A
=
CO2concentration of the dilution air



pr
=
water vapour pressure after cooling bath, kPa,

pb
=
total atmospheric pressure, kPa,

Ha
=
intake air humidity, g water per kg dry air,

kf
=
0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS



Ha
=
intake air humidity, g water per kg dry air

Hd
=
dilution air humidity, g water per kg dry air



(a)
for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.
Ta
=
temperature of the intake air, K
Ha
=
humidity of the intake air, g water per kg dry air

Ta
=
temperature of the intake air, K

Ha
=
humidity of the intake air, g water per kg dry air



Ta
=
temperature of the intake air, K

Ha
=
humidity of the intake air, g water per kg dry air



(b)
for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.



(a)
for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h
ugas
=
ratio between density of exhaust component and density of exhaust gas
cgas
=
concentration of the respective component in the raw exhaust gas, ppm
qmew
=
exhaust mass flow rate, kg/h

ugas
=
ratio between density of exhaust component and density of exhaust gas

cgas
=
concentration of the respective component in the raw exhaust gas, ppm

qmew
=
exhaust mass flow rate, kg/h



ugas
=
ratio between density of exhaust component and density of exhaust gas

cgas
=
concentration of the respective component in the raw exhaust gas, ppm

qmew
=
exhaust mass flow rate, kg/h



(b)
for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.
ugas
=
ratio between density of exhaust component and density of air
cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm
qmdew
=
diluted exhaust mass flow rate, kg/h

ugas
=
ratio between density of exhaust component and density of air

cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm

qmdew
=
diluted exhaust mass flow rate, kg/h



ugas
=
ratio between density of exhaust component and density of air

cgas,c
=
background corrected concentration of the respective component in the diluted exhaust gas, ppm

qmdew
=
diluted exhaust mass flow rate, kg/h



Fuel

NOx
CO
THC/NMHC
CO2
CH4

Diesel
Exhaust raw
0,001587
0,000966
0,000479
0,001518
0,000553

Exhaust dilute
0,001588
0,000967
0,000480
0,001519
0,000553

Ethanol
Exhaust raw
0,001609
0,000980
0,000805
0,001539
0,000561

Exhaust dilute
0,001588
0,000967
0,000795
0,001519
0,000553

CNG
Exhaust raw
0,001622
0,000987
0,000523
0,001552
0,000565

Exhaust dilute
0,001588
0,000967
0,000584
0,001519
0,000553

Propane
Exhaust raw
0,001603
0,000976
0,000511
0,001533
0,000559

Exhaust dilute
0,001588
0,000967
0,000507
0,001519
0,000553

Butane
Exhaust raw
0,001600
0,000974
0,000505
0,001530
0,000558

Exhaust dilute
0,001588
0,000967
0,000501
0,001519
0,000553

Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).
—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa
—
uvalues of dilute exhaust based on ideal gas properties and density of air
—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %
—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa

—
uvalues of dilute exhaust based on ideal gas properties and density of air

—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %

—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).



—
uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa



—
uvalues of dilute exhaust based on ideal gas properties and density of air



—
uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %



—
uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).



cwE
=
wet concentration of the tracer gas in the raw exhaust

cwD
=
wet concentration of the tracer gas in the diluted exhaust

cwA
=
wet concentration of the tracer gas in the dilution air



c(CO2)D
=
CO2concentration of the diluted exhaust

c(CO2)A
=
CO2concentration of the dilution air



(v)
Former section 6 is renumbered as section 7.



(f)
Appendix 2 is amended as follows:(i)Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’(ii)The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’(iii)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(i)
Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’
—
start collecting or analysing dilution air,
—
start collecting or analysing diluted exhaust gas,
—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,
—
start recording the feedback data of speed and torque of the dynamometer.
—
start analysing the raw exhaust gas concentrations,
—
start measuring the exhaust gas or intake air and fuel flow rate,
—
start recording the feedback data of speed and torque of the dynamometer.
—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,
—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,
—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.
y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)
m
=
slope of the regression line
x
=
reference value of speed (min-1), torque (Nm), or power (kW)
b
=
y intercept of the regression line

Speed
Torque
Power
Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power
Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)
Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)
Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater
Conditions
Points to be deleted
Full load demand and torque feedback < 95 % torque reference
Torque and/or power
Full load demand and speed feedback < 95 % speed reference
Speed and/or power
No load, not an idle point, and torque feedback > torque reference
Torque and/or power
No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power
No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power
No load and speed feedback > 105 % speed reference
Speed and/or power’
(ii)
The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’
V0
=
volume of gas pumped per revolution under test conditions, m3/rev
NP
=
total revolutions of pump per test
pb
=
atmospheric pressure in the test cell, kPa
p1
=
pressure depression below atmospheric at pump inlet, kPa
T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K
t
=
cycle time, s
Kv
=
calibration coefficient of the critical flow venturi for standard conditions,
pp
=
absolute pressure at venturi inlet, kPa
T
=
absolute temperature at venturi inlet, K
A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of
d
=
diameter of the SSV throat, m
Cd
=
discharge coefficient of the SSV
pp
=
absolute pressure at venturi inlet, kPa
T
=
temperature at the venturi inlet, K
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
qmew,i
=
instantaneous exhaust mass flow, kg/s
qvt
=
tracer gas flow, cm3/min
cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm
ρe
=
density of the exhaust gas, kg/m3(cf. table 3)
ca
=
background concentration of the tracer gas in the intake air, ppm
A/Fst
=
stoichiometric air to fuel ratio, kg/kg
λ
=
excess air ratio
cCO2
=
dry CO2concentration, %
cCO
=
dry CO concentration, ppm
cHC
=
HC concentration, ppm
(iii)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg
(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)
(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4
(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC
ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective pollutant measured in the dilution air, ppm
D
=
dilution factor
(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4
(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5
(a)
all components, except NOx:Text of imageMgas = mgas Wact
(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.
n1
=
number of ETC tests between two regenerations
n2
=
number of ETC during a regeneration (minimum of one ETC test)
Mgas,n2
=
emissions during a regeneration
Mgas,n1
=
emissions after a regeneration.
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
med
=
mass of diluted exhaust gas over the cycle, kg
mset
=
mass of double diluted exhaust gas through particulate filter, kg
mssd
=
mass of secondary dilution air, kg
mPT, msep, med
=
see above
md
=
mass of primary dilution air sampled by background particulate sampler, kg
mf,d
=
mass of the collected background particulates of the primary dilution air, mg
D
=
dilution factor as determined in section 5.4.1.
(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.
n1
=
number of ETC tests between two regeneration events
n2
=
number of ETC tests during a regeneration (minimum of one ETC)
Text of imagePTn2
=
emissions during a regeneration
Text of imagePTn1
=
emissions outside a regeneration.’

(i)
Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’
—
start collecting or analysing dilution air,
—
start collecting or analysing diluted exhaust gas,
—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,
—
start recording the feedback data of speed and torque of the dynamometer.
—
start analysing the raw exhaust gas concentrations,
—
start measuring the exhaust gas or intake air and fuel flow rate,
—
start recording the feedback data of speed and torque of the dynamometer.
—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,
—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,
—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.
y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)
m
=
slope of the regression line
x
=
reference value of speed (min-1), torque (Nm), or power (kW)
b
=
y intercept of the regression line

Speed
Torque
Power
Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power
Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)
Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)
Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater
Conditions
Points to be deleted
Full load demand and torque feedback < 95 % torque reference
Torque and/or power
Full load demand and speed feedback < 95 % speed reference
Speed and/or power
No load, not an idle point, and torque feedback > torque reference
Torque and/or power
No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power
No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power
No load and speed feedback > 105 % speed reference
Speed and/or power’

—
start collecting or analysing dilution air,

—
start collecting or analysing diluted exhaust gas,

—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,

—
start recording the feedback data of speed and torque of the dynamometer.

—
start analysing the raw exhaust gas concentrations,

—
start measuring the exhaust gas or intake air and fuel flow rate,

—
start recording the feedback data of speed and torque of the dynamometer.

—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,

—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,

—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.

y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)

m
=
slope of the regression line

x
=
reference value of speed (min-1), torque (Nm), or power (kW)

b
=
y intercept of the regression line


Speed
Torque
Power

Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power

Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)

Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)

Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater

Conditions
Points to be deleted

Full load demand and torque feedback < 95 % torque reference
Torque and/or power

Full load demand and speed feedback < 95 % speed reference
Speed and/or power

No load, not an idle point, and torque feedback > torque reference
Torque and/or power

No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power

No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power

No load and speed feedback > 105 % speed reference
Speed and/or power’

(ii)
The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’
V0
=
volume of gas pumped per revolution under test conditions, m3/rev
NP
=
total revolutions of pump per test
pb
=
atmospheric pressure in the test cell, kPa
p1
=
pressure depression below atmospheric at pump inlet, kPa
T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K
t
=
cycle time, s
Kv
=
calibration coefficient of the critical flow venturi for standard conditions,
pp
=
absolute pressure at venturi inlet, kPa
T
=
absolute temperature at venturi inlet, K
A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of
d
=
diameter of the SSV throat, m
Cd
=
discharge coefficient of the SSV
pp
=
absolute pressure at venturi inlet, kPa
T
=
temperature at the venturi inlet, K
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
qmew,i
=
instantaneous exhaust mass flow, kg/s
qvt
=
tracer gas flow, cm3/min
cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm
ρe
=
density of the exhaust gas, kg/m3(cf. table 3)
ca
=
background concentration of the tracer gas in the intake air, ppm
A/Fst
=
stoichiometric air to fuel ratio, kg/kg
λ
=
excess air ratio
cCO2
=
dry CO2concentration, %
cCO
=
dry CO concentration, ppm
cHC
=
HC concentration, ppm

V0
=
volume of gas pumped per revolution under test conditions, m3/rev

NP
=
total revolutions of pump per test

pb
=
atmospheric pressure in the test cell, kPa

p1
=
pressure depression below atmospheric at pump inlet, kPa

T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K

t
=
cycle time, s

Kv
=
calibration coefficient of the critical flow venturi for standard conditions,

pp
=
absolute pressure at venturi inlet, kPa

T
=
absolute temperature at venturi inlet, K

A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of

d
=
diameter of the SSV throat, m

Cd
=
discharge coefficient of the SSV

pp
=
absolute pressure at venturi inlet, kPa

T
=
temperature at the venturi inlet, K

rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D

—
pressure differential devices, like flow nozzle,

—
ultrasonic flowmeter,

—
vortex flowmeter.

qmew,i
=
instantaneous exhaust mass flow, kg/s

qvt
=
tracer gas flow, cm3/min

cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm

ρe
=
density of the exhaust gas, kg/m3(cf. table 3)

ca
=
background concentration of the tracer gas in the intake air, ppm

A/Fst
=
stoichiometric air to fuel ratio, kg/kg

λ
=
excess air ratio

cCO2
=
dry CO2concentration, %

cCO
=
dry CO concentration, ppm

cHC
=
HC concentration, ppm

(iii)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg
(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)
(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4
(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC
ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective pollutant measured in the dilution air, ppm
D
=
dilution factor
(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4
(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5
(a)
all components, except NOx:Text of imageMgas = mgas Wact
(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.
n1
=
number of ETC tests between two regenerations
n2
=
number of ETC during a regeneration (minimum of one ETC test)
Mgas,n2
=
emissions during a regeneration
Mgas,n1
=
emissions after a regeneration.
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
med
=
mass of diluted exhaust gas over the cycle, kg
mset
=
mass of double diluted exhaust gas through particulate filter, kg
mssd
=
mass of secondary dilution air, kg
mPT, msep, med
=
see above
md
=
mass of primary dilution air sampled by background particulate sampler, kg
mf,d
=
mass of the collected background particulates of the primary dilution air, mg
D
=
dilution factor as determined in section 5.4.1.
(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.
n1
=
number of ETC tests between two regeneration events
n2
=
number of ETC tests during a regeneration (minimum of one ETC)
Text of imagePTn2
=
emissions during a regeneration
Text of imagePTn1
=
emissions outside a regeneration.’

(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements

ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6

cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements

(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

cgas
=
average background corrected concentration of the respective component, ppm

med
=
total diluted exhaust mass over the cycle, kg

(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)

ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective component measured in the dilution air, ppm

qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s

med
=
total mass of diluted exhaust gas over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

D
=
dilution factor (see section 5.4.1)

(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4

(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC

cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC

cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC

ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective pollutant measured in the dilution air, ppm

D
=
dilution factor

(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4

(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5

cCO2
=
concentration of CO2in the diluted exhaust gas, % vol

cHC
=
concentration of HC in the diluted exhaust gas, ppm C1

cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1

cCO
=
concentration of CO in the diluted exhaust gas, ppm

FS
=
stoichiometric factor

FS(diesel)
=
13,4

FS(LPG)
=
11,6

FS(NG)
=
9,5

(a)
all components, except NOx:Text of imageMgas = mgas Wact

(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.

n1
=
number of ETC tests between two regenerations

n2
=
number of ETC during a regeneration (minimum of one ETC test)

Mgas,n2
=
emissions during a regeneration

Mgas,n1
=
emissions after a regeneration.

mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

med
=
mass of diluted exhaust gas over the cycle, kg

mset
=
mass of double diluted exhaust gas through particulate filter, kg

mssd
=
mass of secondary dilution air, kg

mPT, msep, med
=
see above

md
=
mass of primary dilution air sampled by background particulate sampler, kg

mf,d
=
mass of the collected background particulates of the primary dilution air, mg

D
=
dilution factor as determined in section 5.4.1.

(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements

mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

medf
=
mass of equivalent diluted exhaust gas over the cycle, kg

qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

rd,i
=
instantaneous dilution ratio

qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s

qmdw,i
=
instantaneous dilution air mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements

(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.

mf
=
particulate mass sampled over the cycle, mg

rs
=
average sample ratio over the test cycle

mse
=
sample mass over the cycle, kg

mew
=
total exhaust mass flow over the cycle, kg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.

n1
=
number of ETC tests between two regeneration events

n2
=
number of ETC tests during a regeneration (minimum of one ETC)

Text of imagePTn2
=
emissions during a regeneration

Text of imagePTn1
=
emissions outside a regeneration.’



(i)
Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer's recommended starting procedure in the owner's manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50 min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback < 95 % speed referenceSpeed and/or powerNo load, not an idle point, and torque feedback > torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’
—
start collecting or analysing dilution air,
—
start collecting or analysing diluted exhaust gas,
—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,
—
start recording the feedback data of speed and torque of the dynamometer.
—
start analysing the raw exhaust gas concentrations,
—
start measuring the exhaust gas or intake air and fuel flow rate,
—
start recording the feedback data of speed and torque of the dynamometer.
—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,
—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,
—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.
y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)
m
=
slope of the regression line
x
=
reference value of speed (min-1), torque (Nm), or power (kW)
b
=
y intercept of the regression line

Speed
Torque
Power
Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power
Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)
Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)
Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater
Conditions
Points to be deleted
Full load demand and torque feedback < 95 % torque reference
Torque and/or power
Full load demand and speed feedback < 95 % speed reference
Speed and/or power
No load, not an idle point, and torque feedback > torque reference
Torque and/or power
No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power
No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power
No load and speed feedback > 105 % speed reference
Speed and/or power’

—
start collecting or analysing dilution air,

—
start collecting or analysing diluted exhaust gas,

—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,

—
start recording the feedback data of speed and torque of the dynamometer.

—
start analysing the raw exhaust gas concentrations,

—
start measuring the exhaust gas or intake air and fuel flow rate,

—
start recording the feedback data of speed and torque of the dynamometer.

—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,

—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,

—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.

y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)

m
=
slope of the regression line

x
=
reference value of speed (min-1), torque (Nm), or power (kW)

b
=
y intercept of the regression line


Speed
Torque
Power

Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power

Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)

Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)

Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater

Conditions
Points to be deleted

Full load demand and torque feedback < 95 % torque reference
Torque and/or power

Full load demand and speed feedback < 95 % speed reference
Speed and/or power

No load, not an idle point, and torque feedback > torque reference
Torque and/or power

No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power

No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power

No load and speed feedback > 105 % speed reference
Speed and/or power’



—
start collecting or analysing dilution air,



—
start collecting or analysing diluted exhaust gas,



—
start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,



—
start recording the feedback data of speed and torque of the dynamometer.



—
start analysing the raw exhaust gas concentrations,



—
start measuring the exhaust gas or intake air and fuel flow rate,



—
start recording the feedback data of speed and torque of the dynamometer.



—
The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,



—
The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,



—
qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.



y
=
Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)

m
=
slope of the regression line

x
=
reference value of speed (min-1), torque (Nm), or power (kW)

b
=
y intercept of the regression line




Speed
Torque
Power

Standard error of estimate (SE) of Y on X
Max 100 min–1
Max 13 % (15 %)(*)of power map maximum engine torque
Max 8 % (15 %)(*)of power map maximum engine power

Slope of the regression line, m
0,95 to 1,03
0,83–1,03
0,89–1,03(0,83–1,03)(*)

Coefficient of determination, r2
min 0,9700(min 0,9500)(*)
min 0,8800(min 0,7500)(*)
min 0,9100(min 0,7500)(*)

Y intercept of the regression line, b
± 50 min–1
± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater
± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater



Conditions
Points to be deleted

Full load demand and torque feedback < 95 % torque reference
Torque and/or power

Full load demand and speed feedback < 95 % speed reference
Speed and/or power

No load, not an idle point, and torque feedback > torque reference
Torque and/or power

No load, speed feedback ≤ idle speed + 50 min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque
Speed and/or power

No load, speed feedback > idle speed + 50 min–1and torque feedback > 105 % torque reference
Torque and/or power

No load and speed feedback > 105 % speed reference
Speed and/or power’



(ii)
The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine's maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’
V0
=
volume of gas pumped per revolution under test conditions, m3/rev
NP
=
total revolutions of pump per test
pb
=
atmospheric pressure in the test cell, kPa
p1
=
pressure depression below atmospheric at pump inlet, kPa
T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K
t
=
cycle time, s
Kv
=
calibration coefficient of the critical flow venturi for standard conditions,
pp
=
absolute pressure at venturi inlet, kPa
T
=
absolute temperature at venturi inlet, K
A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of
d
=
diameter of the SSV throat, m
Cd
=
discharge coefficient of the SSV
pp
=
absolute pressure at venturi inlet, kPa
T
=
temperature at the venturi inlet, K
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
—
pressure differential devices, like flow nozzle,
—
ultrasonic flowmeter,
—
vortex flowmeter.
qmew,i
=
instantaneous exhaust mass flow, kg/s
qvt
=
tracer gas flow, cm3/min
cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm
ρe
=
density of the exhaust gas, kg/m3(cf. table 3)
ca
=
background concentration of the tracer gas in the intake air, ppm
A/Fst
=
stoichiometric air to fuel ratio, kg/kg
λ
=
excess air ratio
cCO2
=
dry CO2concentration, %
cCO
=
dry CO concentration, ppm
cHC
=
HC concentration, ppm

V0
=
volume of gas pumped per revolution under test conditions, m3/rev

NP
=
total revolutions of pump per test

pb
=
atmospheric pressure in the test cell, kPa

p1
=
pressure depression below atmospheric at pump inlet, kPa

T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K

t
=
cycle time, s

Kv
=
calibration coefficient of the critical flow venturi for standard conditions,

pp
=
absolute pressure at venturi inlet, kPa

T
=
absolute temperature at venturi inlet, K

A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of

d
=
diameter of the SSV throat, m

Cd
=
discharge coefficient of the SSV

pp
=
absolute pressure at venturi inlet, kPa

T
=
temperature at the venturi inlet, K

rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D

—
pressure differential devices, like flow nozzle,

—
ultrasonic flowmeter,

—
vortex flowmeter.

qmew,i
=
instantaneous exhaust mass flow, kg/s

qvt
=
tracer gas flow, cm3/min

cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm

ρe
=
density of the exhaust gas, kg/m3(cf. table 3)

ca
=
background concentration of the tracer gas in the intake air, ppm

A/Fst
=
stoichiometric air to fuel ratio, kg/kg

λ
=
excess air ratio

cCO2
=
dry CO2concentration, %

cCO
=
dry CO concentration, ppm

cHC
=
HC concentration, ppm



V0
=
volume of gas pumped per revolution under test conditions, m3/rev

NP
=
total revolutions of pump per test

pb
=
atmospheric pressure in the test cell, kPa

p1
=
pressure depression below atmospheric at pump inlet, kPa

T
=
average temperature of the diluted exhaust gas at pump inlet over the cycle, K



t
=
cycle time, s

Kv
=
calibration coefficient of the critical flow venturi for standard conditions,

pp
=
absolute pressure at venturi inlet, kPa

T
=
absolute temperature at venturi inlet, K



A0
=
collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of

d
=
diameter of the SSV throat, m

Cd
=
discharge coefficient of the SSV

pp
=
absolute pressure at venturi inlet, kPa

T
=
temperature at the venturi inlet, K

rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D



—
pressure differential devices, like flow nozzle,



—
ultrasonic flowmeter,



—
vortex flowmeter.



qmew,i
=
instantaneous exhaust mass flow, kg/s

qvt
=
tracer gas flow, cm3/min

cmix.i
=
instantaneous concentration of the tracer gas after mixing, ppm

ρe
=
density of the exhaust gas, kg/m3(cf. table 3)

ca
=
background concentration of the tracer gas in the intake air, ppm



A/Fst
=
stoichiometric air to fuel ratio, kg/kg

λ
=
excess air ratio

cCO2
=
dry CO2concentration, %

cCO
=
dry CO concentration, ppm

cHC
=
HC concentration, ppm



(iii)
Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’
(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg
(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)
(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4
(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC
ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective pollutant measured in the dilution air, ppm
D
=
dilution factor
(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4
(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5
(a)
all components, except NOx:Text of imageMgas = mgas Wact
(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.
n1
=
number of ETC tests between two regenerations
n2
=
number of ETC during a regeneration (minimum of one ETC test)
Mgas,n2
=
emissions during a regeneration
Mgas,n1
=
emissions after a regeneration.
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
med
=
mass of diluted exhaust gas over the cycle, kg
mset
=
mass of double diluted exhaust gas through particulate filter, kg
mssd
=
mass of secondary dilution air, kg
mPT, msep, med
=
see above
md
=
mass of primary dilution air sampled by background particulate sampler, kg
mf,d
=
mass of the collected background particulates of the primary dilution air, mg
D
=
dilution factor as determined in section 5.4.1.
(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements
(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.
n1
=
number of ETC tests between two regeneration events
n2
=
number of ETC tests during a regeneration (minimum of one ETC)
Text of imagePTn2
=
emissions during a regeneration
Text of imagePTn1
=
emissions outside a regeneration.’

(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements

ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6

cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements

(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

cgas
=
average background corrected concentration of the respective component, ppm

med
=
total diluted exhaust mass over the cycle, kg

(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)

ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective component measured in the dilution air, ppm

qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s

med
=
total mass of diluted exhaust gas over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

D
=
dilution factor (see section 5.4.1)

(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4

(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC

cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC

cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC

ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective pollutant measured in the dilution air, ppm

D
=
dilution factor

(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4

(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5

cCO2
=
concentration of CO2in the diluted exhaust gas, % vol

cHC
=
concentration of HC in the diluted exhaust gas, ppm C1

cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1

cCO
=
concentration of CO in the diluted exhaust gas, ppm

FS
=
stoichiometric factor

FS(diesel)
=
13,4

FS(LPG)
=
11,6

FS(NG)
=
9,5

(a)
all components, except NOx:Text of imageMgas = mgas Wact

(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.

n1
=
number of ETC tests between two regenerations

n2
=
number of ETC during a regeneration (minimum of one ETC test)

Mgas,n2
=
emissions during a regeneration

Mgas,n1
=
emissions after a regeneration.

mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

med
=
mass of diluted exhaust gas over the cycle, kg

mset
=
mass of double diluted exhaust gas through particulate filter, kg

mssd
=
mass of secondary dilution air, kg

mPT, msep, med
=
see above

md
=
mass of primary dilution air sampled by background particulate sampler, kg

mf,d
=
mass of the collected background particulates of the primary dilution air, mg

D
=
dilution factor as determined in section 5.4.1.

(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements

mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

medf
=
mass of equivalent diluted exhaust gas over the cycle, kg

qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

rd,i
=
instantaneous dilution ratio

qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s

qmdw,i
=
instantaneous dilution air mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements

(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.

mf
=
particulate mass sampled over the cycle, mg

rs
=
average sample ratio over the test cycle

mse
=
sample mass over the cycle, kg

mew
=
total exhaust mass flow over the cycle, kg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.

n1
=
number of ETC tests between two regeneration events

n2
=
number of ETC tests during a regeneration (minimum of one ETC)

Text of imagePTn2
=
emissions during a regeneration

Text of imagePTn1
=
emissions outside a regeneration.’



(a)
for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6
cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements

ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6

cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements



ugas
=
ratio between density of exhaust component and density of exhaust gas from table 6

cgas,i
=
instantaneous concentration of the respective component in the raw exhaust gas, ppm

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements



(b)
for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
cgas
=
average background corrected concentration of the respective component, ppm
med
=
total diluted exhaust mass over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

cgas
=
average background corrected concentration of the respective component, ppm

med
=
total diluted exhaust mass over the cycle, kg



ugas
=
ratio between density of exhaust component and density of air from table 6

cgas
=
average background corrected concentration of the respective component, ppm

med
=
total diluted exhaust mass over the cycle, kg



(c)
for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)
ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm
cd
=
concentration of the respective component measured in the dilution air, ppm
qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s
med
=
total mass of diluted exhaust gas over the cycle, kg
ugas
=
ratio between density of exhaust component and density of air from table 6
D
=
dilution factor (see section 5.4.1)

ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective component measured in the dilution air, ppm

qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s

med
=
total mass of diluted exhaust gas over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

D
=
dilution factor (see section 5.4.1)



ce,i
=
instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective component measured in the dilution air, ppm

qmdew,i
=
instantaneous diluted exhaust gas mass flow rate, kg/s

med
=
total mass of diluted exhaust gas over the cycle, kg

ugas
=
ratio between density of exhaust component and density of air from table 6

D
=
dilution factor (see section 5.4.1)



(a)
GC method (full flow dilution system, only):cNMHC= cHC– cCH4



(b)
NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC
cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC
cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC

cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC

cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC



cHC(w/Cutter)
=
HC concentration with the sample gas flowing through the NMC

cHC(w/oCutter)
=
HC concentration with the sample gas bypassing the NMC



ce
=
concentration of the respective pollutant measured in the diluted exhaust gas, ppm

cd
=
concentration of the respective pollutant measured in the dilution air, ppm

D
=
dilution factor



(a)
for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4



(b)
for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5
cCO2
=
concentration of CO2in the diluted exhaust gas, % vol
cHC
=
concentration of HC in the diluted exhaust gas, ppm C1
cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1
cCO
=
concentration of CO in the diluted exhaust gas, ppm
FS
=
stoichiometric factor
FS(diesel)
=
13,4
FS(LPG)
=
11,6
FS(NG)
=
9,5

cCO2
=
concentration of CO2in the diluted exhaust gas, % vol

cHC
=
concentration of HC in the diluted exhaust gas, ppm C1

cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1

cCO
=
concentration of CO in the diluted exhaust gas, ppm

FS
=
stoichiometric factor

FS(diesel)
=
13,4

FS(LPG)
=
11,6

FS(NG)
=
9,5



cCO2
=
concentration of CO2in the diluted exhaust gas, % vol

cHC
=
concentration of HC in the diluted exhaust gas, ppm C1

cNMHC
=
concentration of NMHC in the diluted exhaust gas, ppm C1

cCO
=
concentration of CO in the diluted exhaust gas, ppm

FS
=
stoichiometric factor



FS(diesel)
=
13,4

FS(LPG)
=
11,6

FS(NG)
=
9,5



(a)
all components, except NOx:Text of imageMgas = mgas Wact



(b)
NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.



n1
=
number of ETC tests between two regenerations

n2
=
number of ETC during a regeneration (minimum of one ETC test)

Mgas,n2
=
emissions during a regeneration

Mgas,n1
=
emissions after a regeneration.



mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

med
=
mass of diluted exhaust gas over the cycle, kg



mset
=
mass of double diluted exhaust gas through particulate filter, kg

mssd
=
mass of secondary dilution air, kg



mPT, msep, med
=
see above

md
=
mass of primary dilution air sampled by background particulate sampler, kg

mf,d
=
mass of the collected background particulates of the primary dilution air, mg

D
=
dilution factor as determined in section 5.4.1.



(a)
Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements
mf
=
particulate mass sampled over the cycle, mg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
medf
=
mass of equivalent diluted exhaust gas over the cycle, kg
qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s
qmew,i
=
instantaneous exhaust mass flow rate, kg/s
rd,i
=
instantaneous dilution ratio
qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s
qmdw,i
=
instantaneous dilution air mass flow rate, kg/s
f
=
data sampling rate, Hz
n
=
number of measurements

mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

medf
=
mass of equivalent diluted exhaust gas over the cycle, kg

qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

rd,i
=
instantaneous dilution ratio

qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s

qmdw,i
=
instantaneous dilution air mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements



mf
=
particulate mass sampled over the cycle, mg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

medf
=
mass of equivalent diluted exhaust gas over the cycle, kg



qmedf,i
=
instantaneous equivalent diluted exhaust mass flow rate, kg/s

qmew,i
=
instantaneous exhaust mass flow rate, kg/s

rd,i
=
instantaneous dilution ratio

qmdew,i
=
instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s

qmdw,i
=
instantaneous dilution air mass flow rate, kg/s

f
=
data sampling rate, Hz

n
=
number of measurements



(b)
Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.
mf
=
particulate mass sampled over the cycle, mg
rs
=
average sample ratio over the test cycle
mse
=
sample mass over the cycle, kg
mew
=
total exhaust mass flow over the cycle, kg
msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg
msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.

mf
=
particulate mass sampled over the cycle, mg

rs
=
average sample ratio over the test cycle

mse
=
sample mass over the cycle, kg

mew
=
total exhaust mass flow over the cycle, kg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.



mf
=
particulate mass sampled over the cycle, mg

rs
=
average sample ratio over the test cycle



mse
=
sample mass over the cycle, kg

mew
=
total exhaust mass flow over the cycle, kg

msep
=
mass of diluted exhaust gas passing the particulate collection filters, kg

msed
=
mass of diluted exhaust gas passing the dilution tunnel, kg.



n1
=
number of ETC tests between two regeneration events

n2
=
number of ETC tests during a regeneration (minimum of one ETC)

Text of imagePTn2
=
emissions during a regeneration

Text of imagePTn1
=
emissions outside a regeneration.’



(g)
Appendix 4 is amended as follows:(i)Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’(ii)Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’(iii)Sections 2.3 and 2.4 are deleted.(iv)Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
(i)
Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or
—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or
—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
(ii)
Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’
Measuring Instrument
Accuracy
Fuel Consumption
± 2  % of Engine's Maximum Value
Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater
Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater
Temperatures ≤ 600 K (327 °C)
± 2  K Absolute
Temperatures ≥ 600 K (327 °C)
± 1  % of Reading
Atmospheric Pressure
± 0,1  kPa Absolute
Exhaust Gas Pressure
± 0,2  kPa Absolute
Intake Depression
± 0,05  kPa Absolute
Other Pressures
± 0,1  kPa Absolute
Relative Humidity
± 3  % Absolute
Absolute Humidity
± 5  % of Reading
Dilution Air Flow
± 2  % of Reading
Diluted Exhaust Gas Flow
± 2  % of Reading’
(iii)
Sections 2.3 and 2.4 are deleted.
(iv)
Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
± 3 % of reading
λ < 2
± 5 % of reading
2 ≤ λ < 5
± 10 % of reading
5 ≤ λ
—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,
—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.
Filter Diameter (mm)
Minimum loading (mg)
47
0,11
70
0,25
90
0,41
110
0,62

(i)
Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or
—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or
—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’

—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or

—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or

—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’

(ii)
Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’
Measuring Instrument
Accuracy
Fuel Consumption
± 2  % of Engine's Maximum Value
Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater
Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater
Temperatures ≤ 600 K (327 °C)
± 2  K Absolute
Temperatures ≥ 600 K (327 °C)
± 1  % of Reading
Atmospheric Pressure
± 0,1  kPa Absolute
Exhaust Gas Pressure
± 0,2  kPa Absolute
Intake Depression
± 0,05  kPa Absolute
Other Pressures
± 0,1  kPa Absolute
Relative Humidity
± 3  % Absolute
Absolute Humidity
± 5  % of Reading
Dilution Air Flow
± 2  % of Reading
Diluted Exhaust Gas Flow
± 2  % of Reading’

Measuring Instrument
Accuracy

Fuel Consumption
± 2  % of Engine's Maximum Value

Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater

Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater

Temperatures ≤ 600 K (327 °C)
± 2  K Absolute

Temperatures ≥ 600 K (327 °C)
± 1  % of Reading

Atmospheric Pressure
± 0,1  kPa Absolute

Exhaust Gas Pressure
± 0,2  kPa Absolute

Intake Depression
± 0,05  kPa Absolute

Other Pressures
± 0,1  kPa Absolute

Relative Humidity
± 3  % Absolute

Absolute Humidity
± 5  % of Reading

Dilution Air Flow
± 2  % of Reading

Diluted Exhaust Gas Flow
± 2  % of Reading’

(iii)
Sections 2.3 and 2.4 are deleted.

(iv)
Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
± 3 % of reading
λ < 2
± 5 % of reading
2 ≤ λ < 5
± 10 % of reading
5 ≤ λ
—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,
—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.
Filter Diameter (mm)
Minimum loading (mg)
47
0,11
70
0,25
90
0,41
110
0,62

± 3 % of reading
λ < 2

± 5 % of reading
2 ≤ λ < 5

± 10 % of reading
5 ≤ λ

—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,

—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.

Filter Diameter (mm)
Minimum loading (mg)

47
0,11

70
0,25

90
0,41

110
0,62



(i)
Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’
—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or
—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or
—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’

—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or

—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or

—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’



—
a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or



—
a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or



—
any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’



(ii)
Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine's Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine's maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’
Measuring Instrument
Accuracy
Fuel Consumption
± 2  % of Engine's Maximum Value
Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater
Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater
Temperatures ≤ 600 K (327 °C)
± 2  K Absolute
Temperatures ≥ 600 K (327 °C)
± 1  % of Reading
Atmospheric Pressure
± 0,1  kPa Absolute
Exhaust Gas Pressure
± 0,2  kPa Absolute
Intake Depression
± 0,05  kPa Absolute
Other Pressures
± 0,1  kPa Absolute
Relative Humidity
± 3  % Absolute
Absolute Humidity
± 5  % of Reading
Dilution Air Flow
± 2  % of Reading
Diluted Exhaust Gas Flow
± 2  % of Reading’

Measuring Instrument
Accuracy

Fuel Consumption
± 2  % of Engine's Maximum Value

Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater

Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater

Temperatures ≤ 600 K (327 °C)
± 2  K Absolute

Temperatures ≥ 600 K (327 °C)
± 1  % of Reading

Atmospheric Pressure
± 0,1  kPa Absolute

Exhaust Gas Pressure
± 0,2  kPa Absolute

Intake Depression
± 0,05  kPa Absolute

Other Pressures
± 0,1  kPa Absolute

Relative Humidity
± 3  % Absolute

Absolute Humidity
± 5  % of Reading

Dilution Air Flow
± 2  % of Reading

Diluted Exhaust Gas Flow
± 2  % of Reading’



Measuring Instrument
Accuracy

Fuel Consumption
± 2  % of Engine's Maximum Value

Air Consumption
± 2  % of reading or ± 1  % of engine's maximum value whichever is greater

Exhaust Gas Flow
± 2,5  % of reading or ± 1,5  % of engine's maximum value whichever is greater

Temperatures ≤ 600 K (327 °C)
± 2  K Absolute

Temperatures ≥ 600 K (327 °C)
± 1  % of Reading

Atmospheric Pressure
± 0,1  kPa Absolute

Exhaust Gas Pressure
± 0,2  kPa Absolute

Intake Depression
± 0,05  kPa Absolute

Other Pressures
± 0,1  kPa Absolute

Relative Humidity
± 3  % Absolute

Absolute Humidity
± 5  % of Reading

Dilution Air Flow
± 2  % of Reading

Diluted Exhaust Gas Flow
± 2  % of Reading’



(iii)
Sections 2.3 and 2.4 are deleted.



(iv)
Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’ "
± 3 % of reading
λ < 2
± 5 % of reading
2 ≤ λ < 5
± 10 % of reading
5 ≤ λ
—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,
—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.
Filter Diameter (mm)
Minimum loading (mg)
47
0,11
70
0,25
90
0,41
110
0,62

± 3 % of reading
λ < 2

± 5 % of reading
2 ≤ λ < 5

± 10 % of reading
5 ≤ λ

—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,

—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.

Filter Diameter (mm)
Minimum loading (mg)

47
0,11

70
0,25

90
0,41

110
0,62



± 3 % of reading
λ < 2

± 5 % of reading
2 ≤ λ < 5

± 10 % of reading
5 ≤ λ



—
the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,



—
the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.



Filter Diameter (mm)
Minimum loading (mg)

47
0,11

70
0,25

90
0,41

110
0,62



(h)
Appendix 5 is amended as follows:(i)The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’(ii)Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’(iii)The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’(iv)Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’(v)Former section 1.6 becomes section 1.6.7.(vi)The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’(vii)Former section 2.4 becomes Section 2.5.(viii)Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
(i)
The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’
(ii)
Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’
Vs
=
system volume, l
qvs
=
system flow rate, l/min
(iii)
The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’
(iv)
Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’
—
Each normally used operating range shall be calibrated
—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero
—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established
—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale
—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used
—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger
—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.
(v)
Former section 1.6 becomes section 1.6.7.
(vi)
The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
T
=
temperature at the venturi inlet, K
d
=
diameter of the SSV throat, m
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
d
=
diameter of the SSV throat, m
μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s
b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2
S
=
empirical constant = 110,4K
(vii)
Former section 2.4 becomes Section 2.5.
(viii)
Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.
—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.
—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.
—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.
—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.
—
A pre-test check shall be performed within 2 hours before the test run in the following way:
—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.
—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.
—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:
—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.
—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.
—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).
—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

(i)
The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’

(ii)
Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’
Vs
=
system volume, l
qvs
=
system flow rate, l/min

Vs
=
system volume, l

qvs
=
system flow rate, l/min

(iii)
The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’

(iv)
Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’
—
Each normally used operating range shall be calibrated
—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero
—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established
—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale
—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used
—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger
—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.

—
Each normally used operating range shall be calibrated

—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero

—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established

—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale

—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used

—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger

—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.

(v)
Former section 1.6 becomes section 1.6.7.

(vi)
The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
T
=
temperature at the venturi inlet, K
d
=
diameter of the SSV throat, m
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
d
=
diameter of the SSV throat, m
μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s
b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2
S
=
empirical constant = 110,4K

QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

T
=
temperature at the venturi inlet, K

d
=
diameter of the SSV throat, m

rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D

A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)

QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

d
=
diameter of the SSV throat, m

μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s

b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2

S
=
empirical constant = 110,4K

(vii)
Former section 2.4 becomes Section 2.5.

(viii)
Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.
—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.
—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.
—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.
—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.
—
A pre-test check shall be performed within 2 hours before the test run in the following way:
—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.
—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.
—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:
—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.
—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.
—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).
—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.

—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.

(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.

(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.

(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.

—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.

—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.

—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.

—
A pre-test check shall be performed within 2 hours before the test run in the following way:

—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.

—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.

—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:

—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.

—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.

—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).

—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.



(i)
The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’



(ii)
Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’
Vs
=
system volume, l
qvs
=
system flow rate, l/min

Vs
=
system volume, l

qvs
=
system flow rate, l/min



Vs
=
system volume, l

qvs
=
system flow rate, l/min



(iii)
The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’



(iv)
Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’
—
Each normally used operating range shall be calibrated
—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero
—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established
—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale
—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used
—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger
—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.

—
Each normally used operating range shall be calibrated

—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero

—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established

—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale

—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used

—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger

—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.



—
Each normally used operating range shall be calibrated



—
Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero



—
The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established



—
The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale



—
The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used



—
The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger



—
The zero setting shall be rechecked and the calibration procedure repeated, if necessary.



(v)
Former section 1.6 becomes section 1.6.7.



(vi)
The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
T
=
temperature at the venturi inlet, K
d
=
diameter of the SSV throat, m
rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA
rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D
A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)
QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s
d
=
diameter of the SSV throat, m
μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s
b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2
S
=
empirical constant = 110,4K

QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

T
=
temperature at the venturi inlet, K

d
=
diameter of the SSV throat, m

rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D

A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)

QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

d
=
diameter of the SSV throat, m

μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s

b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2

S
=
empirical constant = 110,4K



QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

T
=
temperature at the venturi inlet, K

d
=
diameter of the SSV throat, m

rp
=
ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD
=
ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D



A1
=
a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)

QSSV
=
air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

d
=
diameter of the SSV throat, m

μ
=
absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s

b
=
empirical constant =Text of image1,458 × 10 6 kg msK 1/2

S
=
empirical constant = 110,4K



(vii)
Former section 2.4 becomes Section 2.5.



(viii)
Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’
—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.
—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.
—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.
—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.
—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.
—
A pre-test check shall be performed within 2 hours before the test run in the following way:
—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.
—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.
—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:
—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.
—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.
—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).
—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.

—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.

(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.

(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.

(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.

—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.

—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.

—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.

—
A pre-test check shall be performed within 2 hours before the test run in the following way:

—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.

—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.

—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:

—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.

—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.

—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).

—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.



—
To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.



—
If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd
(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.
(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.
(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.
(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.

(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.

(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.

(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd



(a)
The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.



(b)
A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.



(c)
The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.



(d)
A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd



—
The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.



—
A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.



—
The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.



—
If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.



—
A pre-test check shall be performed within 2 hours before the test run in the following way:



—
The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.



—
If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.



—
The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:



—
An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.



—
A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.



—
From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).



—
The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.



(i)
The following Appendix 6 is added:‘Appendix 6CARBON FLOW CHECK1.   INTRODUCTIONAll but a tiny part of the carbon in the exhaust comes from the fuel, and all but a minimal part of this is manifest in the exhaust gas as CO2. This is the basis for a system verification check based on CO2measurements.The flow of carbon into the exhaust measurement systems is determined from the fuel flow rate. The flow of carbon at various sampling points in the emissions and particulate sampling systems is determined from the CO2concentrations and gas flow rates at those points.In this sense, the engine provides a known source of carbon flow, and observing the same carbon flow in the exhaust pipe and at the outlet of the partial flow PM sampling system verifies leak integrity and flow measurement accuracy. This check has the advantage that the components are operating under actual engine test conditions of temperature and flow.The following diagram shows the sampling points at which the carbon flows shall be checked. The specific equations for the carbon flows at each of the sample points are given below.Measuring points for carbon flow checkAirFuelCO2 RAWENGINEPartial Flow SystemCO2 PFS2.   CALCULATIONS2.1.   Carbon flow rate into the engine (location 1)The carbon mass flow rate into the engine for a fuel CHαOεis given by:Text of imageqmCf = 12,011 12,011 + α + 15,9994 × ε × qmfwhere:qmf= fuel mass flow rate, kg/s2.2.   Carbon flow rate in the raw exhaust (location 2)The carbon mass flow rate in the exhaust pipe of the engine shall be determined from the raw CO2concentration and the exhaust gas mass flow rate:Text of imageqmCe = (cCO2,r – cCO2,a 100) × qmew × 12,011 Mrewhere:cCO2,r=wet CO2concentration in the raw exhaust gas, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmew=exhaust gas mass flow rate on wet basis, kg/sMre=molecular mass of exhaust gasIf CO2is measured on a dry basis it shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex.2.3.   Carbon flow rate in the dilution system (location 3)The carbon flow rate shall be determined from the dilute CO2concentration, the exhaust gas mass flow rate and the sample flow rate:Text of imageqmCp = (cCO2,d – cCO2,a 100) × qmdew × 12,011 Mre × qmew qmpwhere:cCO2,d=wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmdew=diluted exhaust gas mass flow rate on wet basis, kg/sqmew=exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)qmp=sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)Mre=molecular mass of exhaust gasIf CO2is measured on a dry basis, it shall be converted to wet basis according to section 5.2 of Appendix 1 to this Annex.2.4.   The molecular mass (Mre) of the exhaust gas shall be calculated as follows:Text of imageMre = 1 + qmf qmaw qmf qmaw × α 4 + ε 2 + δ 2 12,011 + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γ + Ha × 10–3 2 × 1,00794 + 15,9994 + 1 Mra 1 + Ha × 10–3where:qmf=fuel mass flow rate, kg/sqmaw=intake air mass flow rate on wet basis, kg/sHa=humidity of intake air, g water per kg dry airMra=molecular mass of dry intake air (= 28,9 g/mol)α, δ, ε, γ=molar ratios referring to a fuel CHαOδNεSγAlternatively, the following molecular masses may be used:Mre(diesel)=28,9 g/molMre(LPG)=28,6 g/molMre(NG)=28,3 g/mol’
cCO2,r
=
wet CO2concentration in the raw exhaust gas, %
cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)
qmew
=
exhaust gas mass flow rate on wet basis, kg/s
Mre
=
molecular mass of exhaust gas
cCO2,d
=
wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %
cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)
qmdew
=
diluted exhaust gas mass flow rate on wet basis, kg/s
qmew
=
exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)
qmp
=
sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)
Mre
=
molecular mass of exhaust gas
qmf
=
fuel mass flow rate, kg/s
qmaw
=
intake air mass flow rate on wet basis, kg/s
Ha
=
humidity of intake air, g water per kg dry air
Mra
=
molecular mass of dry intake air (= 28,9 g/mol)
α, δ, ε, γ
=
molar ratios referring to a fuel CHαOδNεSγ
Mre(diesel)
=
28,9 g/mol
Mre(LPG)
=
28,6 g/mol
Mre(NG)
=
28,3 g/mol’

cCO2,r
=
wet CO2concentration in the raw exhaust gas, %

cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)

qmew
=
exhaust gas mass flow rate on wet basis, kg/s

Mre
=
molecular mass of exhaust gas

cCO2,d
=
wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %

cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)

qmdew
=
diluted exhaust gas mass flow rate on wet basis, kg/s

qmew
=
exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)

qmp
=
sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)

Mre
=
molecular mass of exhaust gas

qmf
=
fuel mass flow rate, kg/s

qmaw
=
intake air mass flow rate on wet basis, kg/s

Ha
=
humidity of intake air, g water per kg dry air

Mra
=
molecular mass of dry intake air (= 28,9 g/mol)

α, δ, ε, γ
=
molar ratios referring to a fuel CHαOδNεSγ

Mre(diesel)
=
28,9 g/mol

Mre(LPG)
=
28,6 g/mol

Mre(NG)
=
28,3 g/mol’



cCO2,r
=
wet CO2concentration in the raw exhaust gas, %

cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)

qmew
=
exhaust gas mass flow rate on wet basis, kg/s

Mre
=
molecular mass of exhaust gas



cCO2,d
=
wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %

cCO2,a
=
wet CO2concentration in the ambient air, % (around 0,04 %)

qmdew
=
diluted exhaust gas mass flow rate on wet basis, kg/s

qmew
=
exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)

qmp
=
sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)

Mre
=
molecular mass of exhaust gas



qmf
=
fuel mass flow rate, kg/s

qmaw
=
intake air mass flow rate on wet basis, kg/s

Ha
=
humidity of intake air, g water per kg dry air

Mra
=
molecular mass of dry intake air (= 28,9 g/mol)

α, δ, ε, γ
=
molar ratios referring to a fuel CHαOδNεSγ



Mre(diesel)
=
28,9 g/mol

Mre(LPG)
=
28,6 g/mol

Mre(NG)
=
28,3 g/mol’



(4)
Annex IV is amended as follows:(a)The title of section 1.1 is replaced by the following:1.1.Diesel reference fuel for testing engines to the emission limits given in row a of the Tables in Section 6.2.1 of Annex I(1)’(b)The following section 1.2 is inserted:1.2.Diesel reference fuel for testing engines to the emission limits given in rows B1, B2 or C of the Tables in Section 6.2.1 of Annex IParameterUnitLimits(1)Test MethodminimummaximumCetane number(2)52,054,0EN-ISO 5165Density at 15 °Ckg/m3833837EN-ISO 3675Distillation:— 50 % point°C245—EN-ISO 3405— 95 % point°C345350EN-ISO 3405— Final boiling point°C—370EN-ISO 3405Flash point°C55—EN 22719CFPP°C—–5EN 116Viscosity at 40 °Cmm2/s2,33,3EN-ISO 3104Polycyclic aromatic hydrocarbons% m/m2,06,0IP 391Sulphur content(3)mg/kg—10ASTM D 5453Copper corrosion—class 1EN-ISO 2160Conradson carbon residue (10 % DR)% m/m—0,2EN-ISO 10370Ash content% m/m—0,01EN-ISO 6245Water content% m/m—0,02EN-ISO 12937Neutralisation (strong acid) numbermg KOH/g—0,02ASTM D 974Oxidation stability(4)mg/ml—0,025EN-ISO 12205Lubricity (HFRR wear scan diameter at 60 °C)μm—400CEC F-06-A-96FAMEprohibited(c)Former Section 1.2 becomes section 1.3.(d)Section 3 is replaced by the following:‘3.   TECHNICAL DATA OF THE LPG REFERENCE FUELSA.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row A of the tables in Section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance< C3, >C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreeFreevisual inspectionTotal sulphur contentmg/kgmax. 50max. 50EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(5)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex BB.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row B1, B2 or C of the tables in section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance< C3, > C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreefreeVisual inspectionTotal sulphur contentmg/kgmax. 10max. 10EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(6)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex B
(a)
The title of section 1.1 is replaced by the following:1.1.Diesel reference fuel for testing engines to the emission limits given in row a of the Tables in Section 6.2.1 of Annex I(1)’
(b)
The following section 1.2 is inserted:1.2.Diesel reference fuel for testing engines to the emission limits given in rows B1, B2 or C of the Tables in Section 6.2.1 of Annex IParameterUnitLimits(1)Test MethodminimummaximumCetane number(2)52,054,0EN-ISO 5165Density at 15 °Ckg/m3833837EN-ISO 3675Distillation:— 50 % point°C245—EN-ISO 3405— 95 % point°C345350EN-ISO 3405— Final boiling point°C—370EN-ISO 3405Flash point°C55—EN 22719CFPP°C—–5EN 116Viscosity at 40 °Cmm2/s2,33,3EN-ISO 3104Polycyclic aromatic hydrocarbons% m/m2,06,0IP 391Sulphur content(3)mg/kg—10ASTM D 5453Copper corrosion—class 1EN-ISO 2160Conradson carbon residue (10 % DR)% m/m—0,2EN-ISO 10370Ash content% m/m—0,01EN-ISO 6245Water content% m/m—0,02EN-ISO 12937Neutralisation (strong acid) numbermg KOH/g—0,02ASTM D 974Oxidation stability(4)mg/ml—0,025EN-ISO 12205Lubricity (HFRR wear scan diameter at 60 °C)μm—400CEC F-06-A-96FAMEprohibited
Parameter
Unit
Limits(1)
Test Method
minimum
maximum
Cetane number(2)

52,0
54,0
EN-ISO 5165
Density at 15 °C
kg/m3
833
837
EN-ISO 3675
Distillation:




— 50 % point
°C
245
—
EN-ISO 3405
— 95 % point
°C
345
350
EN-ISO 3405
— Final boiling point
°C
—
370
EN-ISO 3405
Flash point
°C
55
—
EN 22719
CFPP
°C
—
–5
EN 116
Viscosity at 40 °C
mm2/s
2,3
3,3
EN-ISO 3104
Polycyclic aromatic hydrocarbons
% m/m
2,0
6,0
IP 391
Sulphur content(3)
mg/kg
—
10
ASTM D 5453
Copper corrosion

—
class 1
EN-ISO 2160
Conradson carbon residue (10 % DR)
% m/m
—
0,2
EN-ISO 10370
Ash content
% m/m
—
0,01
EN-ISO 6245
Water content
% m/m
—
0,02
EN-ISO 12937
Neutralisation (strong acid) number
mg KOH/g
—
0,02
ASTM D 974
Oxidation stability(4)
mg/ml
—
0,025
EN-ISO 12205
Lubricity (HFRR wear scan diameter at 60 °C)
μm
—
400
CEC F-06-A-96
FAME
prohibited
(c)
Former Section 1.2 becomes section 1.3.
(d)
Section 3 is replaced by the following:‘3.   TECHNICAL DATA OF THE LPG REFERENCE FUELSA.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row A of the tables in Section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance< C3, >C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreeFreevisual inspectionTotal sulphur contentmg/kgmax. 50max. 50EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(5)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex BB.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row B1, B2 or C of the tables in section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance< C3, > C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreefreeVisual inspectionTotal sulphur contentmg/kgmax. 10max. 10EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(6)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex B
Parameter
Unit
Fuel A
Fuel B
Test method
Composition:



ISO 7941
C3-content
% vol
50 ± 2
85 ± 2

C4-content
% vol
balance
balance

< C3, >C4
% vol
max. 2
max. 2

Olefins
% vol
max. 12
max. 14

Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757
Water at 0 °C

free
Free
visual inspection
Total sulphur content
mg/kg
max. 50
max. 50
EN 24260
Hydrogen sulphide

none
none
ISO 8819
Copper strip corrosion
rating
class 1
class 1
ISO 6251(5)
Odour

characteristic
characteristic

Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B
Parameter
Unit
Fuel A
Fuel B
Test method
Composition:



ISO 7941
C3-content
% vol
50 ± 2
85 ± 2

C4-content
% vol
balance
balance

< C3, > C4
% vol
max. 2
max. 2

Olefins
% vol
max. 12
max. 14

Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757
Water at 0 °C

free
free
Visual inspection
Total sulphur content
mg/kg
max. 10
max. 10
EN 24260
Hydrogen sulphide

none
none
ISO 8819
Copper strip corrosion
rating
class 1
class 1
ISO 6251(6)
Odour

characteristic
characteristic

Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B

(a)
The title of section 1.1 is replaced by the following:1.1.Diesel reference fuel for testing engines to the emission limits given in row a of the Tables in Section 6.2.1 of Annex I(1)’

(b)
The following section 1.2 is inserted:1.2.Diesel reference fuel for testing engines to the emission limits given in rows B1, B2 or C of the Tables in Section 6.2.1 of Annex IParameterUnitLimits(1)Test MethodminimummaximumCetane number(2)52,054,0EN-ISO 5165Density at 15 °Ckg/m3833837EN-ISO 3675Distillation:— 50 % point°C245—EN-ISO 3405— 95 % point°C345350EN-ISO 3405— Final boiling point°C—370EN-ISO 3405Flash point°C55—EN 22719CFPP°C—–5EN 116Viscosity at 40 °Cmm2/s2,33,3EN-ISO 3104Polycyclic aromatic hydrocarbons% m/m2,06,0IP 391Sulphur content(3)mg/kg—10ASTM D 5453Copper corrosion—class 1EN-ISO 2160Conradson carbon residue (10 % DR)% m/m—0,2EN-ISO 10370Ash content% m/m—0,01EN-ISO 6245Water content% m/m—0,02EN-ISO 12937Neutralisation (strong acid) numbermg KOH/g—0,02ASTM D 974Oxidation stability(4)mg/ml—0,025EN-ISO 12205Lubricity (HFRR wear scan diameter at 60 °C)μm—400CEC F-06-A-96FAMEprohibited
Parameter
Unit
Limits(1)
Test Method
minimum
maximum
Cetane number(2)

52,0
54,0
EN-ISO 5165
Density at 15 °C
kg/m3
833
837
EN-ISO 3675
Distillation:




— 50 % point
°C
245
—
EN-ISO 3405
— 95 % point
°C
345
350
EN-ISO 3405
— Final boiling point
°C
—
370
EN-ISO 3405
Flash point
°C
55
—
EN 22719
CFPP
°C
—
–5
EN 116
Viscosity at 40 °C
mm2/s
2,3
3,3
EN-ISO 3104
Polycyclic aromatic hydrocarbons
% m/m
2,0
6,0
IP 391
Sulphur content(3)
mg/kg
—
10
ASTM D 5453
Copper corrosion

—
class 1
EN-ISO 2160
Conradson carbon residue (10 % DR)
% m/m
—
0,2
EN-ISO 10370
Ash content
% m/m
—
0,01
EN-ISO 6245
Water content
% m/m
—
0,02
EN-ISO 12937
Neutralisation (strong acid) number
mg KOH/g
—
0,02
ASTM D 974
Oxidation stability(4)
mg/ml
—
0,025
EN-ISO 12205
Lubricity (HFRR wear scan diameter at 60 °C)
μm
—
400
CEC F-06-A-96
FAME
prohibited

Parameter
Unit
Limits(1)
Test Method

minimum
maximum

Cetane number(2)

52,0
54,0
EN-ISO 5165

Density at 15 °C
kg/m3
833
837
EN-ISO 3675

Distillation:





— 50 % point
°C
245
—
EN-ISO 3405

— 95 % point
°C
345
350
EN-ISO 3405

— Final boiling point
°C
—
370
EN-ISO 3405

Flash point
°C
55
—
EN 22719

CFPP
°C
—
–5
EN 116

Viscosity at 40 °C
mm2/s
2,3
3,3
EN-ISO 3104

Polycyclic aromatic hydrocarbons
% m/m
2,0
6,0
IP 391

Sulphur content(3)
mg/kg
—
10
ASTM D 5453

Copper corrosion

—
class 1
EN-ISO 2160

Conradson carbon residue (10 % DR)
% m/m
—
0,2
EN-ISO 10370

Ash content
% m/m
—
0,01
EN-ISO 6245

Water content
% m/m
—
0,02
EN-ISO 12937

Neutralisation (strong acid) number
mg KOH/g
—
0,02
ASTM D 974

Oxidation stability(4)
mg/ml
—
0,025
EN-ISO 12205

Lubricity (HFRR wear scan diameter at 60 °C)
μm
—
400
CEC F-06-A-96

FAME
prohibited

(c)
Former Section 1.2 becomes section 1.3.

(d)
Section 3 is replaced by the following:‘3.   TECHNICAL DATA OF THE LPG REFERENCE FUELSA.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row A of the tables in Section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance< C3, >C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreeFreevisual inspectionTotal sulphur contentmg/kgmax. 50max. 50EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(5)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex BB.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row B1, B2 or C of the tables in section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance< C3, > C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreefreeVisual inspectionTotal sulphur contentmg/kgmax. 10max. 10EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(6)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex B
Parameter
Unit
Fuel A
Fuel B
Test method
Composition:



ISO 7941
C3-content
% vol
50 ± 2
85 ± 2

C4-content
% vol
balance
balance

< C3, >C4
% vol
max. 2
max. 2

Olefins
% vol
max. 12
max. 14

Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757
Water at 0 °C

free
Free
visual inspection
Total sulphur content
mg/kg
max. 50
max. 50
EN 24260
Hydrogen sulphide

none
none
ISO 8819
Copper strip corrosion
rating
class 1
class 1
ISO 6251(5)
Odour

characteristic
characteristic

Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B
Parameter
Unit
Fuel A
Fuel B
Test method
Composition:



ISO 7941
C3-content
% vol
50 ± 2
85 ± 2

C4-content
% vol
balance
balance

< C3, > C4
% vol
max. 2
max. 2

Olefins
% vol
max. 12
max. 14

Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757
Water at 0 °C

free
free
Visual inspection
Total sulphur content
mg/kg
max. 10
max. 10
EN 24260
Hydrogen sulphide

none
none
ISO 8819
Copper strip corrosion
rating
class 1
class 1
ISO 6251(6)
Odour

characteristic
characteristic

Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B

Parameter
Unit
Fuel A
Fuel B
Test method

Composition:



ISO 7941

C3-content
% vol
50 ± 2
85 ± 2


C4-content
% vol
balance
balance


< C3, >C4
% vol
max. 2
max. 2


Olefins
% vol
max. 12
max. 14


Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757

Water at 0 °C

free
Free
visual inspection

Total sulphur content
mg/kg
max. 50
max. 50
EN 24260

Hydrogen sulphide

none
none
ISO 8819

Copper strip corrosion
rating
class 1
class 1
ISO 6251(5)

Odour

characteristic
characteristic


Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B

Parameter
Unit
Fuel A
Fuel B
Test method

Composition:



ISO 7941

C3-content
% vol
50 ± 2
85 ± 2


C4-content
% vol
balance
balance


< C3, > C4
% vol
max. 2
max. 2


Olefins
% vol
max. 12
max. 14


Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757

Water at 0 °C

free
free
Visual inspection

Total sulphur content
mg/kg
max. 10
max. 10
EN 24260

Hydrogen sulphide

none
none
ISO 8819

Copper strip corrosion
rating
class 1
class 1
ISO 6251(6)

Odour

characteristic
characteristic


Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B



(a)
The title of section 1.1 is replaced by the following:1.1.Diesel reference fuel for testing engines to the emission limits given in row a of the Tables in Section 6.2.1 of Annex I(1)’



(b)
The following section 1.2 is inserted:1.2.Diesel reference fuel for testing engines to the emission limits given in rows B1, B2 or C of the Tables in Section 6.2.1 of Annex IParameterUnitLimits(1)Test MethodminimummaximumCetane number(2)52,054,0EN-ISO 5165Density at 15 °Ckg/m3833837EN-ISO 3675Distillation:— 50 % point°C245—EN-ISO 3405— 95 % point°C345350EN-ISO 3405— Final boiling point°C—370EN-ISO 3405Flash point°C55—EN 22719CFPP°C—–5EN 116Viscosity at 40 °Cmm2/s2,33,3EN-ISO 3104Polycyclic aromatic hydrocarbons% m/m2,06,0IP 391Sulphur content(3)mg/kg—10ASTM D 5453Copper corrosion—class 1EN-ISO 2160Conradson carbon residue (10 % DR)% m/m—0,2EN-ISO 10370Ash content% m/m—0,01EN-ISO 6245Water content% m/m—0,02EN-ISO 12937Neutralisation (strong acid) numbermg KOH/g—0,02ASTM D 974Oxidation stability(4)mg/ml—0,025EN-ISO 12205Lubricity (HFRR wear scan diameter at 60 °C)μm—400CEC F-06-A-96FAMEprohibited
Parameter
Unit
Limits(1)
Test Method
minimum
maximum
Cetane number(2)

52,0
54,0
EN-ISO 5165
Density at 15 °C
kg/m3
833
837
EN-ISO 3675
Distillation:




— 50 % point
°C
245
—
EN-ISO 3405
— 95 % point
°C
345
350
EN-ISO 3405
— Final boiling point
°C
—
370
EN-ISO 3405
Flash point
°C
55
—
EN 22719
CFPP
°C
—
–5
EN 116
Viscosity at 40 °C
mm2/s
2,3
3,3
EN-ISO 3104
Polycyclic aromatic hydrocarbons
% m/m
2,0
6,0
IP 391
Sulphur content(3)
mg/kg
—
10
ASTM D 5453
Copper corrosion

—
class 1
EN-ISO 2160
Conradson carbon residue (10 % DR)
% m/m
—
0,2
EN-ISO 10370
Ash content
% m/m
—
0,01
EN-ISO 6245
Water content
% m/m
—
0,02
EN-ISO 12937
Neutralisation (strong acid) number
mg KOH/g
—
0,02
ASTM D 974
Oxidation stability(4)
mg/ml
—
0,025
EN-ISO 12205
Lubricity (HFRR wear scan diameter at 60 °C)
μm
—
400
CEC F-06-A-96
FAME
prohibited

Parameter
Unit
Limits(1)
Test Method

minimum
maximum

Cetane number(2)

52,0
54,0
EN-ISO 5165

Density at 15 °C
kg/m3
833
837
EN-ISO 3675

Distillation:





— 50 % point
°C
245
—
EN-ISO 3405

— 95 % point
°C
345
350
EN-ISO 3405

— Final boiling point
°C
—
370
EN-ISO 3405

Flash point
°C
55
—
EN 22719

CFPP
°C
—
–5
EN 116

Viscosity at 40 °C
mm2/s
2,3
3,3
EN-ISO 3104

Polycyclic aromatic hydrocarbons
% m/m
2,0
6,0
IP 391

Sulphur content(3)
mg/kg
—
10
ASTM D 5453

Copper corrosion

—
class 1
EN-ISO 2160

Conradson carbon residue (10 % DR)
% m/m
—
0,2
EN-ISO 10370

Ash content
% m/m
—
0,01
EN-ISO 6245

Water content
% m/m
—
0,02
EN-ISO 12937

Neutralisation (strong acid) number
mg KOH/g
—
0,02
ASTM D 974

Oxidation stability(4)
mg/ml
—
0,025
EN-ISO 12205

Lubricity (HFRR wear scan diameter at 60 °C)
μm
—
400
CEC F-06-A-96

FAME
prohibited



Parameter
Unit
Limits(1)
Test Method

minimum
maximum

Cetane number(2)

52,0
54,0
EN-ISO 5165

Density at 15 °C
kg/m3
833
837
EN-ISO 3675

Distillation:





— 50 % point
°C
245
—
EN-ISO 3405

— 95 % point
°C
345
350
EN-ISO 3405

— Final boiling point
°C
—
370
EN-ISO 3405

Flash point
°C
55
—
EN 22719

CFPP
°C
—
–5
EN 116

Viscosity at 40 °C
mm2/s
2,3
3,3
EN-ISO 3104

Polycyclic aromatic hydrocarbons
% m/m
2,0
6,0
IP 391

Sulphur content(3)
mg/kg
—
10
ASTM D 5453

Copper corrosion

—
class 1
EN-ISO 2160

Conradson carbon residue (10 % DR)
% m/m
—
0,2
EN-ISO 10370

Ash content
% m/m
—
0,01
EN-ISO 6245

Water content
% m/m
—
0,02
EN-ISO 12937

Neutralisation (strong acid) number
mg KOH/g
—
0,02
ASTM D 974

Oxidation stability(4)
mg/ml
—
0,025
EN-ISO 12205

Lubricity (HFRR wear scan diameter at 60 °C)
μm
—
400
CEC F-06-A-96

FAME
prohibited



(c)
Former Section 1.2 becomes section 1.3.



(d)
Section 3 is replaced by the following:‘3.   TECHNICAL DATA OF THE LPG REFERENCE FUELSA.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row A of the tables in Section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance< C3, >C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreeFreevisual inspectionTotal sulphur contentmg/kgmax. 50max. 50EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(5)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex BB.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row B1, B2 or C of the tables in section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance< C3, > C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreefreeVisual inspectionTotal sulphur contentmg/kgmax. 10max. 10EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(6)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex B
Parameter
Unit
Fuel A
Fuel B
Test method
Composition:



ISO 7941
C3-content
% vol
50 ± 2
85 ± 2

C4-content
% vol
balance
balance

< C3, >C4
% vol
max. 2
max. 2

Olefins
% vol
max. 12
max. 14

Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757
Water at 0 °C

free
Free
visual inspection
Total sulphur content
mg/kg
max. 50
max. 50
EN 24260
Hydrogen sulphide

none
none
ISO 8819
Copper strip corrosion
rating
class 1
class 1
ISO 6251(5)
Odour

characteristic
characteristic

Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B
Parameter
Unit
Fuel A
Fuel B
Test method
Composition:



ISO 7941
C3-content
% vol
50 ± 2
85 ± 2

C4-content
% vol
balance
balance

< C3, > C4
% vol
max. 2
max. 2

Olefins
% vol
max. 12
max. 14

Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757
Water at 0 °C

free
free
Visual inspection
Total sulphur content
mg/kg
max. 10
max. 10
EN 24260
Hydrogen sulphide

none
none
ISO 8819
Copper strip corrosion
rating
class 1
class 1
ISO 6251(6)
Odour

characteristic
characteristic

Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B

Parameter
Unit
Fuel A
Fuel B
Test method

Composition:



ISO 7941

C3-content
% vol
50 ± 2
85 ± 2


C4-content
% vol
balance
balance


< C3, >C4
% vol
max. 2
max. 2


Olefins
% vol
max. 12
max. 14


Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757

Water at 0 °C

free
Free
visual inspection

Total sulphur content
mg/kg
max. 50
max. 50
EN 24260

Hydrogen sulphide

none
none
ISO 8819

Copper strip corrosion
rating
class 1
class 1
ISO 6251(5)

Odour

characteristic
characteristic


Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B

Parameter
Unit
Fuel A
Fuel B
Test method

Composition:



ISO 7941

C3-content
% vol
50 ± 2
85 ± 2


C4-content
% vol
balance
balance


< C3, > C4
% vol
max. 2
max. 2


Olefins
% vol
max. 12
max. 14


Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757

Water at 0 °C

free
free
Visual inspection

Total sulphur content
mg/kg
max. 10
max. 10
EN 24260

Hydrogen sulphide

none
none
ISO 8819

Copper strip corrosion
rating
class 1
class 1
ISO 6251(6)

Odour

characteristic
characteristic


Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B



Parameter
Unit
Fuel A
Fuel B
Test method

Composition:



ISO 7941

C3-content
% vol
50 ± 2
85 ± 2


C4-content
% vol
balance
balance


< C3, >C4
% vol
max. 2
max. 2


Olefins
% vol
max. 12
max. 14


Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757

Water at 0 °C

free
Free
visual inspection

Total sulphur content
mg/kg
max. 50
max. 50
EN 24260

Hydrogen sulphide

none
none
ISO 8819

Copper strip corrosion
rating
class 1
class 1
ISO 6251(5)

Odour

characteristic
characteristic


Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B



Parameter
Unit
Fuel A
Fuel B
Test method

Composition:



ISO 7941

C3-content
% vol
50 ± 2
85 ± 2


C4-content
% vol
balance
balance


< C3, > C4
% vol
max. 2
max. 2


Olefins
% vol
max. 12
max. 14


Evaporation residue
mg/kg
max. 50
max. 50
ISO 13757

Water at 0 °C

free
free
Visual inspection

Total sulphur content
mg/kg
max. 10
max. 10
EN 24260

Hydrogen sulphide

none
none
ISO 8819

Copper strip corrosion
rating
class 1
class 1
ISO 6251(6)

Odour

characteristic
characteristic


Motor octane number

min. 92,5
min. 92,5
EN 589 Annex B



(5)
Annex VI is amended as follows:(a)The Appendix becomes ‘Appendix 1’.(b)Appendix 1 is amended as follows:(i)The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’(ii)Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(c)The following Appendix 2 is added:‘Appendix 2OBD RELATED INFORMATIONAs noted in Appendix 5 of Annex II to this Directive, the information in this appendix is provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment. Such information need not be supplied by the vehicle manufacturer if it is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Upon request, this appendix will be made available to any interested component, diagnostic tools or test equipment manufacturer, on a non-discriminatory basis.In compliance with the provisions of section 1.3.3 of Appendix 5 to Annex II, the information required by this section shall be identical to that provided in that Appendix.1.A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.2.A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.3.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’
(a)
The Appendix becomes ‘Appendix 1’.
(b)
Appendix 1 is amended as follows:(i)The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’(ii)Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
(i)
The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’
(ii)
Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
ESC test
DF:
CO
THC
NOx
PT




Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)
Measured:




Calculated with DF:




ETC test
DF:
CO
NMHC
CH4
NOx
PT





Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)
Measured with regeneration:





Measured without regeneration:





Measured/weighted:





Calculated with DF:





(c)
The following Appendix 2 is added:‘Appendix 2OBD RELATED INFORMATIONAs noted in Appendix 5 of Annex II to this Directive, the information in this appendix is provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment. Such information need not be supplied by the vehicle manufacturer if it is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Upon request, this appendix will be made available to any interested component, diagnostic tools or test equipment manufacturer, on a non-discriminatory basis.In compliance with the provisions of section 1.3.3 of Appendix 5 to Annex II, the information required by this section shall be identical to that provided in that Appendix.1.A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.2.A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.3.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’
1.
A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.
2.
A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.
3.
A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’

(a)
The Appendix becomes ‘Appendix 1’.

(b)
Appendix 1 is amended as follows:(i)The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’(ii)Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
(i)
The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’
(ii)
Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
ESC test
DF:
CO
THC
NOx
PT




Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)
Measured:




Calculated with DF:




ETC test
DF:
CO
NMHC
CH4
NOx
PT





Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)
Measured with regeneration:





Measured without regeneration:





Measured/weighted:





Calculated with DF:






(i)
The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’

(ii)
Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
ESC test
DF:
CO
THC
NOx
PT




Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)
Measured:




Calculated with DF:




ETC test
DF:
CO
NMHC
CH4
NOx
PT





Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)
Measured with regeneration:





Measured without regeneration:





Measured/weighted:





Calculated with DF:






ESC test

DF:
CO
THC
NOx
PT






Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)

Measured:





Calculated with DF:





ETC test

DF:
CO
NMHC
CH4
NOx
PT







Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)

Measured with regeneration:






Measured without regeneration:






Measured/weighted:






Calculated with DF:






(c)
The following Appendix 2 is added:‘Appendix 2OBD RELATED INFORMATIONAs noted in Appendix 5 of Annex II to this Directive, the information in this appendix is provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment. Such information need not be supplied by the vehicle manufacturer if it is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Upon request, this appendix will be made available to any interested component, diagnostic tools or test equipment manufacturer, on a non-discriminatory basis.In compliance with the provisions of section 1.3.3 of Appendix 5 to Annex II, the information required by this section shall be identical to that provided in that Appendix.1.A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.2.A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.3.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’
1.
A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.
2.
A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.
3.
A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’

1.
A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.

2.
A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.

3.
A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’



(a)
The Appendix becomes ‘Appendix 1’.



(b)
Appendix 1 is amended as follows:(i)The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’(ii)Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
(i)
The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’
(ii)
Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
ESC test
DF:
CO
THC
NOx
PT




Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)
Measured:




Calculated with DF:




ETC test
DF:
CO
NMHC
CH4
NOx
PT





Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)
Measured with regeneration:





Measured without regeneration:





Measured/weighted:





Calculated with DF:






(i)
The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’

(ii)
Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
ESC test
DF:
CO
THC
NOx
PT




Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)
Measured:




Calculated with DF:




ETC test
DF:
CO
NMHC
CH4
NOx
PT





Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)
Measured with regeneration:





Measured without regeneration:





Measured/weighted:





Calculated with DF:






ESC test

DF:
CO
THC
NOx
PT






Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)

Measured:





Calculated with DF:





ETC test

DF:
CO
NMHC
CH4
NOx
PT







Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)

Measured with regeneration:






Measured without regeneration:






Measured/weighted:






Calculated with DF:








(i)
The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’



(ii)
Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "(*)Delete what is not applicable.’ "
ESC test
DF:
CO
THC
NOx
PT




Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)
Measured:




Calculated with DF:




ETC test
DF:
CO
NMHC
CH4
NOx
PT





Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)
Measured with regeneration:





Measured without regeneration:





Measured/weighted:





Calculated with DF:






ESC test

DF:
CO
THC
NOx
PT






Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)

Measured:





Calculated with DF:





ETC test

DF:
CO
NMHC
CH4
NOx
PT







Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)

Measured with regeneration:






Measured without regeneration:






Measured/weighted:






Calculated with DF:








ESC test

DF:
CO
THC
NOx
PT






Emissions
CO(g/kWh)
THC(g/kWh)
NOx(g/kWh)
PT(g/kWh)

Measured:





Calculated with DF:







ETC test

DF:
CO
NMHC
CH4
NOx
PT







Emissions
CO(g/kWh)
NMHC(g/kWh)(7)
CH4(g/kWh)(7)
NOx(g/kWh)
PT(g/kWh)(7)

Measured with regeneration:






Measured without regeneration:






Measured/weighted:






Calculated with DF:








(c)
The following Appendix 2 is added:‘Appendix 2OBD RELATED INFORMATIONAs noted in Appendix 5 of Annex II to this Directive, the information in this appendix is provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment. Such information need not be supplied by the vehicle manufacturer if it is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Upon request, this appendix will be made available to any interested component, diagnostic tools or test equipment manufacturer, on a non-discriminatory basis.In compliance with the provisions of section 1.3.3 of Appendix 5 to Annex II, the information required by this section shall be identical to that provided in that Appendix.1.A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.2.A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.3.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’
1.
A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.
2.
A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.
3.
A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’

1.
A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.

2.
A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.

3.
A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’



1.
A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.



2.
A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.



3.
A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’



Category of vehicle in which engine will be installed
Minimum service accumulation period
Useful life(Article of this Directive)

Category N1 vehicles
100 000  km
Article 3(1)(a)

Category N2 vehicles
125 000  km
Article 3(1)(b)

Category N3 vehicles with a maximum technically permissible mass not exceeding 16 tonnes
125 000  km
Article 3(1)(b)

Category N3 vehicles with a maximum technically permissible mass exceeding 16 tonnes
167 000  km
Article 3(1)(c)

Category M2 vehicles
100 000  km
Article 3(1)(a)

Category M3 vehicles of classes I, II, A and B, with a maximum technically permissible mass not exceeding 7,5 tonnes
125 000  km
Article 3(1)(b)

Category M3 vehicles of classes III and B, with a maximum technically permissible mass exceeding 7,5 tonnes
167 000  km
Article 3(1)(c)



Engine type
Test cycle
CO
HC
NMHC
CH4
NOx
PM

Diesel engine(1)
ESC
1,1
1,05
—
—
1,05
1,1

ETC
1,1
1,05
—
—
1,05
1,1

Gas engine(1)
ETC
1,1
1,05
1,05
1,2
1,05
—



—
Filters and coolers in the exhaust gas re-circulation system



—
Positive crankcase ventilation valve



—
Fuel injector tips (cleaning only)



—
Fuel injectors



—
Turbocharger



—
Electronic engine control unit and its associated sensors and actuators



—
Particulate filter system (including related components)



—
Exhaust gas re-circulation system, including all related control valves and tubing



—
Any exhaust aftertreatment system.



—
Any exhaust aftertreatment system



—
Electronic engine control unit and its associated sensors and actuators



—
Exhaust gas re-circulation system including all related filters, coolers, control valves and tubing



—
Positive crankcase ventilation valve.



—
Are used in conjunction with scheduled maintenance on such components,and



—
Are used subsequent to the identification of an engine malfunction.



—
model name



—
vehicle identification number (VIN)



—
engine identification number



—
vehicle registration number equipped with an engine that is part of the audit



—
date of manufacture



—
region of use (where known)



—
type of use of the vehicle (where known), i.e. urban delivery, long haul etc.



(a)
date of test



(b)
location of test



(c)
where applicable, distance indicated odometer of vehicle equipped with an engine that is covered by the audit



(d)
test fuel specifications (e.g. test reference fuel or market fuel)



(e)
test conditions (temperature, humidity, dynamometer inertia weight)



(f)
dynamometer settings (e.g. power setting)



(g)
emission test results conducted on the ESC, ETC and ELR tests according to section 4 of this Annex. A minimum of five engines shall be tested



(h)
alternative to item (g) above, tests may be conducted using another protocol. The relevance for monitoring in-service functionality with such a test shall be stated and substantiated by manufacturer in conjunction with the type-approval process (sections 3 and 4 in Annex I to Directive 2005/55/EC).



—
decide that the in-service conformity of an engine type or an engine family is satisfactory and not to take any further action



—
decide that the data provided by the manufacturer is insufficient to reach a decision and request additional information and/or test data from the manufacturer. Where requested, and depending on the type-approval of the engine, such additional test data shall include ESC, ELR, and ETC test results, or from other proven procedures according to section 3.1.11.5, item (h)



—
decide that the in-service conformity of an engine family is unsatisfactory and proceed to have confirmatory testing carried out on a sample of engines from the engine family, according to section 5 of this Annex.



—
access not dependent on an access code obtainable only from the manufacturer, or a similar device,or



—
access allowing evaluation of the data produced without the need for any unique decoding information, unless that information itself is standardised.



—
a catalyst, where fitted as a separate unit, that may or may not be part of a deNOxsystem or particulate filter



—
a deNOxsystem, where fitted



—
a particulate filter, where fitted



—
a combined deNOx-particulate filter system.



—
lack of any required reagent



—
the quality of the required reagent being within the specifications declared by the manufacturer in Annex II to Directive 2005/55/EC



—
reagent consumption and dosing activity



—
the provisions of sections 3.6.1, 3.6.2 and 3.6.5 concerning the MI and, where appropriate, additional warning modes;



—
when applicable, the provisions of section 6.8.3.1 concerning the use of an on-board diagnostic facility;



—
the provisions of section 6.8.6 concerning the connection interface.



—
simulating the malfunction of a component of the engine management or emission control system as described in section 1.1 of this Appendix



—
preconditioning of the OBD system with a simulated malfunction over the preconditioning cycle specified in section 6.2



—
operating the engine with a simulated malfunction over the OBD test cycle referred to in section 6.1



—
determining whether the OBD system reacts to the simulated malfunction and indicates malfunction in an appropriate manner.



—
complete removal of the system or replacement of the system by a bogus system



—
lack of any required reagent for a deNOxsystem



—
any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a deNOxsystem, including, when applicable, the reagent heating system



—
failure of a reagent dosing system (e.g. missing air supply, clogged nozzle, dosing pump failure) of a deNOxsystem



—
major breakdown of the system.



—
complete removal of the particulate filter or replacement of the system by a bogus system



—
major melting of the particulate filter substrate



—
major cracking of the particulate filter substrate



—
any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a particulate filter



—
failure, when applicable, of the reagent dosing system (e.g. clogged nozzle, dosing pump failure) of a particulate filter



—
a clogged particulate filter resulting in a differential pressure out of the range declared by the manufacturer.



—
complete removal of the system or replacement of the system by a bogus system



—
lack of any required reagent for a combined deNOx-particulate filter system



—
any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a combined deNOx-particulate filter system, including, when applicable, the reagent heating system



—
failure of a reagent dosing system (e.g. missing air supply, clogged nozzle, dosing pump failure) of a combined deNOx-particulate filter system



—
major breakdown of a NOxtrap system



—
major melting of the particulate filter substrate



—
major cracking of the particulate filter substrate



—
a clogged particulate filter resulting in a differential pressure out of the range declared by the manufacturer.



1.
The number shall consist of five sections separated by the ‘*’ character.Section 1:the lower case letter ‘e’ followed by the distinguishing number of the Member State issuing the approval:1for Germany2for France3for Italy4for the Netherlands5for Sweden6for Belgium7for Hungary8for the Czech Republic9for Spain11for the United Kingdom12for Austria13for Luxembourg17for Finland18for Denmark20for Poland21for Portugal23for Greece24for Ireland26for Slovenia27for Slovakia29for Estonia32for Latvia36for Lithuania49for Cyprus50for MaltaSection 2:the number of this Directive.Section 3:the number of the latest amending Directive applicable to the approval. As it contains different implementation dates and different technical standards, an alphabetical character shall be added in accordance with the table in section 4 below. This character refers to the different application dates for the stages of severity on the basis of which type-approval was granted.Section 4:a four-digit sequential number (with leading zeros as applicable) to denote the base approval number. The sequence shall start from 0001.Section 5:a two-digit sequential number (with a leading zero as applicable) to denote the extension. The sequence shall start from 01 for each base approval number.
Section 1:
the lower case letter ‘e’ followed by the distinguishing number of the Member State issuing the approval:1for Germany2for France3for Italy4for the Netherlands5for Sweden6for Belgium7for Hungary8for the Czech Republic9for Spain11for the United Kingdom12for Austria13for Luxembourg17for Finland18for Denmark20for Poland21for Portugal23for Greece24for Ireland26for Slovenia27for Slovakia29for Estonia32for Latvia36for Lithuania49for Cyprus50for Malta
1
for Germany
2
for France
3
for Italy
4
for the Netherlands
5
for Sweden
6
for Belgium
7
for Hungary
8
for the Czech Republic
9
for Spain
11
for the United Kingdom
12
for Austria
13
for Luxembourg
17
for Finland
18
for Denmark
20
for Poland
21
for Portugal
23
for Greece
24
for Ireland
26
for Slovenia
27
for Slovakia
29
for Estonia
32
for Latvia
36
for Lithuania
49
for Cyprus
50
for Malta
Section 2:
the number of this Directive.
Section 3:
the number of the latest amending Directive applicable to the approval. As it contains different implementation dates and different technical standards, an alphabetical character shall be added in accordance with the table in section 4 below. This character refers to the different application dates for the stages of severity on the basis of which type-approval was granted.
Section 4:
a four-digit sequential number (with leading zeros as applicable) to denote the base approval number. The sequence shall start from 0001.
Section 5:
a two-digit sequential number (with a leading zero as applicable) to denote the extension. The sequence shall start from 01 for each base approval number.

Section 1:
the lower case letter ‘e’ followed by the distinguishing number of the Member State issuing the approval:1for Germany2for France3for Italy4for the Netherlands5for Sweden6for Belgium7for Hungary8for the Czech Republic9for Spain11for the United Kingdom12for Austria13for Luxembourg17for Finland18for Denmark20for Poland21for Portugal23for Greece24for Ireland26for Slovenia27for Slovakia29for Estonia32for Latvia36for Lithuania49for Cyprus50for Malta
1
for Germany
2
for France
3
for Italy
4
for the Netherlands
5
for Sweden
6
for Belgium
7
for Hungary
8
for the Czech Republic
9
for Spain
11
for the United Kingdom
12
for Austria
13
for Luxembourg
17
for Finland
18
for Denmark
20
for Poland
21
for Portugal
23
for Greece
24
for Ireland
26
for Slovenia
27
for Slovakia
29
for Estonia
32
for Latvia
36
for Lithuania
49
for Cyprus
50
for Malta

1
for Germany

2
for France

3
for Italy

4
for the Netherlands

5
for Sweden

6
for Belgium

7
for Hungary

8
for the Czech Republic

9
for Spain

11
for the United Kingdom

12
for Austria

13
for Luxembourg

17
for Finland

18
for Denmark

20
for Poland

21
for Portugal

23
for Greece

24
for Ireland

26
for Slovenia

27
for Slovakia

29
for Estonia

32
for Latvia

36
for Lithuania

49
for Cyprus

50
for Malta

Section 2:
the number of this Directive.

Section 3:
the number of the latest amending Directive applicable to the approval. As it contains different implementation dates and different technical standards, an alphabetical character shall be added in accordance with the table in section 4 below. This character refers to the different application dates for the stages of severity on the basis of which type-approval was granted.

Section 4:
a four-digit sequential number (with leading zeros as applicable) to denote the base approval number. The sequence shall start from 0001.

Section 5:
a two-digit sequential number (with a leading zero as applicable) to denote the extension. The sequence shall start from 01 for each base approval number.



Section 1:
the lower case letter ‘e’ followed by the distinguishing number of the Member State issuing the approval:1for Germany2for France3for Italy4for the Netherlands5for Sweden6for Belgium7for Hungary8for the Czech Republic9for Spain11for the United Kingdom12for Austria13for Luxembourg17for Finland18for Denmark20for Poland21for Portugal23for Greece24for Ireland26for Slovenia27for Slovakia29for Estonia32for Latvia36for Lithuania49for Cyprus50for Malta
1
for Germany
2
for France
3
for Italy
4
for the Netherlands
5
for Sweden
6
for Belgium
7
for Hungary
8
for the Czech Republic
9
for Spain
11
for the United Kingdom
12
for Austria
13
for Luxembourg
17
for Finland
18
for Denmark
20
for Poland
21
for Portugal
23
for Greece
24
for Ireland
26
for Slovenia
27
for Slovakia
29
for Estonia
32
for Latvia
36
for Lithuania
49
for Cyprus
50
for Malta

1
for Germany

2
for France

3
for Italy

4
for the Netherlands

5
for Sweden

6
for Belgium

7
for Hungary

8
for the Czech Republic

9
for Spain

11
for the United Kingdom

12
for Austria

13
for Luxembourg

17
for Finland

18
for Denmark

20
for Poland

21
for Portugal

23
for Greece

24
for Ireland

26
for Slovenia

27
for Slovakia

29
for Estonia

32
for Latvia

36
for Lithuania

49
for Cyprus

50
for Malta



1
for Germany



2
for France



3
for Italy



4
for the Netherlands



5
for Sweden



6
for Belgium



7
for Hungary



8
for the Czech Republic



9
for Spain



11
for the United Kingdom



12
for Austria



13
for Luxembourg



17
for Finland



18
for Denmark



20
for Poland



21
for Portugal



23
for Greece



24
for Ireland



26
for Slovenia



27
for Slovakia



29
for Estonia



32
for Latvia



36
for Lithuania



49
for Cyprus



50
for Malta



Section 2:
the number of this Directive.



Section 3:
the number of the latest amending Directive applicable to the approval. As it contains different implementation dates and different technical standards, an alphabetical character shall be added in accordance with the table in section 4 below. This character refers to the different application dates for the stages of severity on the basis of which type-approval was granted.



Section 4:
a four-digit sequential number (with leading zeros as applicable) to denote the base approval number. The sequence shall start from 0001.



Section 5:
a two-digit sequential number (with a leading zero as applicable) to denote the extension. The sequence shall start from 01 for each base approval number.



2.
Example for the third approval (with, as yet, no extension) corresponding to application date B1 with OBD stage I, issued by the United Kingdom:e11*2004/…*2005/…B*0003*00



3.
Example of the second extension to the fourth approval corresponding to application date B2, with OBD stage II, issued by Germany:e1*2004/…*2005/…F*0004*02CharacterRow(*1)OBD Stage I(*2)OBD Stage IIDurability and in-useNOxcontrol(*3)AA————BB1(2005)YES—YES—CB1(2005)YES—YESYESDB2(2008)YES—YES—EB2(2008)YES—YESYESFB2(2008)—YESYES—GB2(2008)—YESYESYESHCYES—YES—ICYES—YESYESJC—YESYES—KC—YESYESYES
Character
Row(*1)
OBD Stage I(*2)
OBD Stage II
Durability and in-use
NOxcontrol(*3)
A
A
—
—
—
—
B
B1(2005)
YES
—
YES
—
C
B1(2005)
YES
—
YES
YES
D
B2(2008)
YES
—
YES
—
E
B2(2008)
YES
—
YES
YES
F
B2(2008)
—
YES
YES
—
G
B2(2008)
—
YES
YES
YES
H
C
YES
—
YES
—
I
C
YES
—
YES
YES
J
C
—
YES
YES
—
K
C
—
YES
YES
YES

Character
Row(*1)
OBD Stage I(*2)
OBD Stage II
Durability and in-use
NOxcontrol(*3)

A
A
—
—
—
—

B
B1(2005)
YES
—
YES
—

C
B1(2005)
YES
—
YES
YES

D
B2(2008)
YES
—
YES
—

E
B2(2008)
YES
—
YES
YES

F
B2(2008)
—
YES
YES
—

G
B2(2008)
—
YES
YES
YES

H
C
YES
—
YES
—

I
C
YES
—
YES
YES

J
C
—
YES
YES
—

K
C
—
YES
YES
YES



Character
Row(*1)
OBD Stage I(*2)
OBD Stage II
Durability and in-use
NOxcontrol(*3)

A
A
—
—
—
—

B
B1(2005)
YES
—
YES
—

C
B1(2005)
YES
—
YES
YES

D
B2(2008)
YES
—
YES
—

E
B2(2008)
YES
—
YES
YES

F
B2(2008)
—
YES
YES
—

G
B2(2008)
—
YES
YES
YES

H
C
YES
—
YES
—

I
C
YES
—
YES
YES

J
C
—
YES
YES
—

K
C
—
YES
YES
YES

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Council Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers(1), and in particular second indent of Article 13(2) thereof,

Having regard to Directive 2005/55/EC of the European Parliament and of the Council of 28 September 2005 on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles(2), and in particular Article 7 thereof,

(1) Directive 2005/55/EC is one of the separate directives under the type-approval procedure laid down by Directive 70/156/EEC.

(2) Directive 2005/55/EC requires new heavy-duty engines and engines of new heavy-duty vehicles to comply with new technical requirements covering on-board diagnostic systems, durability and conformity of in-service vehicles which are properly maintained and used, from 1 October 2005. The technical provisions necessary to implement Articles 3 and 4 of that Directive should be adopted.

(3) In order to ensure compliance with Article 5 of Directive 2005/55/EC, it is appropriate to introduce requirements encouraging the proper use, as intended by the manufacturer, of new heavy-duty vehicles equipped with engines having an exhaust after-treatment system requiring the use of a consumable reagent to achieve the intended reduction of regulated pollutants. Measures should be introduced to ensure that the driver of such a vehicle is informed in good time if any on-vehicle supply of a consumable reagent is about to run out or if the reagent dosing activity does not take place. If the driver ignores such warnings, the engine performance should be modified until the driver replenishes the supply of the consumable reagent required for the efficient operation of the exhaust after-treatment system.

(4) Where engines within the scope of Directive 2005/55/EC require the use of a consumable reagent in order to achieve the emission limits for which those engines were granted type-approval, the Member States should take appropriate steps to ensure that such reagents are available on a geographically balanced basis. Member States should be able to take appropriate steps to encourage the use of such reagents.

(5) It is appropriate to introduce requirements that will enable the Member States to monitor and ensure, at the time of the periodic technical inspection, that heavy-duty vehicles equipped with exhaust after-treatment systems requiring the use of a consumable reagent have been properly operated during the period preceding the inspection.

(6) Member States should be able to prohibit the use of any heavy-duty vehicle equipped with an exhaust after-treatment system that requires the use of a consumable reagent in order to achieve the emission limits for which such vehicles were granted a type-approval if the exhaust after-treatment system does not actually consume the required reagent or if the vehicle does not carry the required reagent.

(7) Manufacturers of heavy-duty vehicles equipped with exhaust after-treatment systems requiring the use of a consumable reagent should inform their customers how such vehicles should properly be operated.

(8) The requirements of Directive 2005/55/EC relating to the use of defeat strategies should be adapted to take account of technical progress. Requirements for multi-setting engines and for devices that can limit engine torque under certain operating conditions should also be specified.

(9) Annexes III and IV to Directive 98/70/EC of the European Parliament and of the Council of 13 October 1998 relating to the quality of petrol and diesel fuel and amending Council Directive 93/12/EEC(3)require petrol and diesel motor fuels for sale throughout the Community to have a maximum sulphur content of 50 mg/kg (parts per million, ppm), from 1 January 2005. Motor fuels with a sulphur content of 10 mg/kg or less are increasingly available throughout the Community and Directive 98/70/EC requires such fuels to be available from 1 January 2009. The reference fuels used for the type-approval testing of engines against the emission limits specified in row B1, row B2 and row C of the tables in Annex I to Directive 2005/55/EC should therefore be redefined in order to better reflect, where applicable, the sulphur content of the diesel fuels that are available on the market from 1 January 2005 and that are used by engines with advanced emission control systems. It is also appropriate to redefine the liquefied petroleum gas (LPG) reference fuel to reflect progress in the market since 1 January 2005.

(10) Technical adaptations to the sampling and measurement procedures are necessary to enable the reliable and repeatable measurement of particulate mass emissions for compression-ignition engines that are granted a type-approval according to the particulate limits specified either in row B1, row B2 or row C of the tables in section 6.2.1 of Annex I to Directive 2005/55/EC and for gas engines that are granted a type-approval according to the emission limits specified in row C of table 2 in section 6.2.1 of that Annex.

(11) Since the provisions concerning the implementation of Articles 3 and 4 of Directive 2005/55/EC are adopted at the same time as those adapting that Directive to technical progress, both types of measures have been included in the same act.

(12) In view of the rapid technological progress in this area, this Directive will be reviewed by 31 December 2006, if necessary.

(13) Directive 2005/55/EC should therefore be amended accordingly.

(14) The measures provided for in this Directive are in accordance with the opinion of the Committee for Adaptation to Technical Progress established by Article 13(1) of Directive 70/156/EEC,

HAS ADOPTED THIS DIRECTIVE:
Article 1

Annexes I, II, III, IV and VI to Directive 2005/55/EC are amended in accordance with Annex I to this Directive.
Article 2

Measures for the implementation of Articles 3 and 4 of Directive 2005/55/EC are laid down in Annexes II to V to this Directive.
Article 3

1.   Member States shall adopt and publish, by 8 November 2006 at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

They shall apply those provisions from 9 November 2006.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
Article 4

This Directive shall enter into force on the twentieth day following that of its publication in theOfficial Journal of the European Union.
Article 5

This Directive is addressed to the Member States.
THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Council Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers(1), and in particular second indent of Article 13(2) thereof,

Having regard to Directive 2005/55/EC of the European Parliament and of the Council of 28 September 2005 on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles(2), and in particular Article 7 thereof,

(1) Directive 2005/55/EC is one of the separate directives under the type-approval procedure laid down by Directive 70/156/EEC.

(2) Directive 2005/55/EC requires new heavy-duty engines and engines of new heavy-duty vehicles to comply with new technical requirements covering on-board diagnostic systems, durability and conformity of in-service vehicles which are properly maintained and used, from 1 October 2005. The technical provisions necessary to implement Articles 3 and 4 of that Directive should be adopted.

(3) In order to ensure compliance with Article 5 of Directive 2005/55/EC, it is appropriate to introduce requirements encouraging the proper use, as intended by the manufacturer, of new heavy-duty vehicles equipped with engines having an exhaust after-treatment system requiring the use of a consumable reagent to achieve the intended reduction of regulated pollutants. Measures should be introduced to ensure that the driver of such a vehicle is informed in good time if any on-vehicle supply of a consumable reagent is about to run out or if the reagent dosing activity does not take place. If the driver ignores such warnings, the engine performance should be modified until the driver replenishes the supply of the consumable reagent required for the efficient operation of the exhaust after-treatment system.

(4) Where engines within the scope of Directive 2005/55/EC require the use of a consumable reagent in order to achieve the emission limits for which those engines were granted type-approval, the Member States should take appropriate steps to ensure that such reagents are available on a geographically balanced basis. Member States should be able to take appropriate steps to encourage the use of such reagents.

(5) It is appropriate to introduce requirements that will enable the Member States to monitor and ensure, at the time of the periodic technical inspection, that heavy-duty vehicles equipped with exhaust after-treatment systems requiring the use of a consumable reagent have been properly operated during the period preceding the inspection.

(6) Member States should be able to prohibit the use of any heavy-duty vehicle equipped with an exhaust after-treatment system that requires the use of a consumable reagent in order to achieve the emission limits for which such vehicles were granted a type-approval if the exhaust after-treatment system does not actually consume the required reagent or if the vehicle does not carry the required reagent.

(7) Manufacturers of heavy-duty vehicles equipped with exhaust after-treatment systems requiring the use of a consumable reagent should inform their customers how such vehicles should properly be operated.

(8) The requirements of Directive 2005/55/EC relating to the use of defeat strategies should be adapted to take account of technical progress. Requirements for multi-setting engines and for devices that can limit engine torque under certain operating conditions should also be specified.

(9) Annexes III and IV to Directive 98/70/EC of the European Parliament and of the Council of 13 October 1998 relating to the quality of petrol and diesel fuel and amending Council Directive 93/12/EEC(3)require petrol and diesel motor fuels for sale throughout the Community to have a maximum sulphur content of 50 mg/kg (parts per million, ppm), from 1 January 2005. Motor fuels with a sulphur content of 10 mg/kg or less are increasingly available throughout the Community and Directive 98/70/EC requires such fuels to be available from 1 January 2009. The reference fuels used for the type-approval testing of engines against the emission limits specified in row B1, row B2 and row C of the tables in Annex I to Directive 2005/55/EC should therefore be redefined in order to better reflect, where applicable, the sulphur content of the diesel fuels that are available on the market from 1 January 2005 and that are used by engines with advanced emission control systems. It is also appropriate to redefine the liquefied petroleum gas (LPG) reference fuel to reflect progress in the market since 1 January 2005.

(10) Technical adaptations to the sampling and measurement procedures are necessary to enable the reliable and repeatable measurement of particulate mass emissions for compression-ignition engines that are granted a type-approval according to the particulate limits specified either in row B1, row B2 or row C of the tables in section 6.2.1 of Annex I to Directive 2005/55/EC and for gas engines that are granted a type-approval according to the emission limits specified in row C of table 2 in section 6.2.1 of that Annex.

(11) Since the provisions concerning the implementation of Articles 3 and 4 of Directive 2005/55/EC are adopted at the same time as those adapting that Directive to technical progress, both types of measures have been included in the same act.

(12) In view of the rapid technological progress in this area, this Directive will be reviewed by 31 December 2006, if necessary.

(13) Directive 2005/55/EC should therefore be amended accordingly.

(14) The measures provided for in this Directive are in accordance with the opinion of the Committee for Adaptation to Technical Progress established by Article 13(1) of Directive 70/156/EEC,

HAS ADOPTED THIS DIRECTIVE:
Annexes I, II, III, IV and VI to Directive 2005/55/EC are amended in accordance with Annex I to this Directive.
Measures for the implementation of Articles 3 and 4 of Directive 2005/55/EC are laid down in Annexes II to V to this Directive.
1.   Member States shall adopt and publish, by 8 November 2006 at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

They shall apply those provisions from 9 November 2006.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
This Directive shall enter into force on the twentieth day following that of its publication in theOfficial Journal of the European Union.
This Directive is addressed to the Member States.
ANNEX IAMENDMENTS TO ANNEXES I, II, III, IV AND VI TO DIRECTIVE 2005/55/ECDirective 2005/55/EC is amended as follows:
(1) | Annex I is amended as follows:(a)Section 1 is replaced by the following:‘1.   SCOPEThis Directive applies to the control of gaseous and particulate pollutants, useful life of emission control devices, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants, useful life, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with positive-ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive-ignition engines as specified in Article 1 with the exception of compression-ignition engines of those vehicles of category N1, N2and M2and of positive-ignition engines fuelled with natural gas or LPG of those vehicles of category N1for which type-approval has been granted under Council Directive 70/220/EEC(*).(*)OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29).’

                                          “(b)In section 2, the title and sections 2.1 to 2.32.1 are replaced by the following:‘2.   DEFINITIONS2.1.   For the purposes of this Directive, the following definitions shall apply:“approval of an engine (engine family)” means the approval of an engine type (engine family) with regard to the level of the emission of gaseous and particulate pollutants;“auxiliary emission control strategy (AECS)” means an emission control strategy that becomes active or that modifies the base emission control strategy for a specific purpose or purposes and in response to a specific set of ambient and/or operating conditions, e.g. vehicle speed, engine speed, gear used, intake temperature, or intake pressure;“base emission control strategy (BECS)” means an emission control strategy that is active throughout the speed and load operating range of the engine unless an AECS is activated. Examples for BECS are, but are not limited to:—engine timing map,—EGR map,—SCR catalyst reagent dosing map;“combined deNOx-particulate filter” means an exhaust aftertreatment system designed to concurrently reduce emissions of oxides of nitrogen (NOx) and particulate pollutants (PT);“continuous regeneration” means the regeneration process of an exhaust aftertreatment system that occurs either permanently or at least once per ETC test. Such a regeneration process will not require a special test procedure;“control area” means the area between the engine speeds A and C and between 25 to 100 per cent load;“declared maximum power (Pmax)” means the maximum power in EC kW (net power) as declared by the manufacturer in his application for type-approval;“defeat strategy” means:—an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or—a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,“deNOxsystem” means an exhaust aftertreatment system designed to reduce emissions of oxides of nitrogen (NOx) (e.g. there are presently passive and active lean NOxcatalysts, NOxadsorbers and Selective Catalytic Reduction (SCR) systems);“delay time” means the time between the change of the component to be measured at the reference point and a system response of 10 % of the final reading (t10). For the gaseous components, this is basically the transport time of the measured component from the sampling probe to the detector. For the delay time, the sampling probe is defined as the reference point;“diesel engine” means an engine which works on the compression-ignition principle;“ELR test” means a test cycle consisting of a sequence of load steps at constant engine speeds to be applied in accordance with section 6.2 of this Annex;“ESC test” means a test cycle consisting of 13 steady state modes to be applied in accordance with section 6.2 of this Annex;“ETC test” means a test cycle consisting of 1 800 second-by-second transient modes to be applied in accordance with section 6.2 of this Annex;“element of design” means in respect of a vehicle or engine,—any control system, including computer software, electronic control systems and computer logic,—any control system calibrations,—the result of systems interaction,or—any hardware items,“emissions-related defect” means a deficiency or deviation from normal production tolerances in design, materials or workmanship in a device, system or assembly that affects any parameter, specification or component belonging to the emission control system. A missing component may be considered to be an “emissions-related defect”;“emission control strategy (ECS)” means an element or set of elements of design that is incorporated into the overall design of an engine system or vehicle for the purposes of controlling exhaust emissions that includes one BECS and one set of AECS;“emission control system” means the exhaust aftertreatment system, the electronic management controller(s) of the engine system and any emission-related component of the engine system in the exhaust which supplies an input to or receives an output from this(these) controller(s), and when applicable the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit with respect to emissions management;“engine-aftertreatment system family” means, for testing over a service accumulation schedule to establish deterioration factors according to Annex II to Commission Directive 2005/78/EC implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto(**)and for checking the conformity of in-service vehicles/engines according to Annex III to Directive 2005/78/EC, a manufacturer’s grouping of engines that comply with the definition of engine family but which are further grouped into engines utilising a similar exhaust after-treatment system;“engine system” means the engine, the emission control system and the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other powertrain or vehicle control unit;“engine family” means a manufacturers grouping of engine systems which, through their design as defined in Annex II, Appendix 2 to this Directive, have similar exhaust emission characteristics; all members of the family must comply with the applicable emission limit values;“engine operating speed range” means the engine speed range, most frequently used during engine field operation, which lies between the low and high speeds, as set out in Annex III to this Directive;“engine speeds A, B and C” means the test speeds within the engine operating speed range to be used for the ESC test and the ELR test, as set out in Annex III, Appendix 1 to this Directive;“engine setting” means a specific engine/vehicle configuration that includes the emission control strategy (ECS), one single engine performance rating (the type-approved full-load curve) and, if used, one set of torque limiters;“engine type” means a category of engines which do not differ in such essential respects as engine characteristics as defined in Annex II to this Directive;“exhaust aftertreatment system” means a catalyst (oxidation or 3-way), particulate filter, deNOxsystem, combined deNOxparticulate filter or any other emission-reducing device that is installed downstream of the engine. This definition excludes exhaust gas recirculation, which, where fitted, is considered an integral part of the engine system;“gas engine” means a positive-ignition engine which is fuelled with natural gas (NG) or liquefied petroleum gas (LPG);“gaseous pollutants” means carbon monoxide, hydrocarbons (assuming a ratio of CH1,85for diesel, CH2,525for LPG and CH2,93for NG (NMHC) and an assumed molecule CH3O0,5for ethanol-fuelled diesel engines), methane (assuming a ratio of CH4for NG) and oxides of nitrogen, the last-named being expressed in nitrogen dioxide (NO2) equivalent;“high speed (nhi)” means the highest engine speed where 70 % of the declared maximum power occurs;“low speed (nlo)” means the lowest engine speed where 50 % of the declared maximum power occurs;“major functional failure”(***)means a permanent or temporary malfunction of any exhaust aftertreatment system that is expected to result in an immediate or delayed increase of the gaseous or particulate emissions of the engine system and which cannot be properly estimated by the OBD system;“malfunction” means:—any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,—any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.A manufacturer may nevertheless consider a deterioration or failure that would result in emissions not exceeding the OBD threshold limits as a malfunction;“malfunction indicator (MI)” means a visual indicator that clearly informs the driver of the vehicle in the event of a malfunction in the sense of this Directive;“multi-setting engine” means an engine containing more than one engine setting;“NG gas range” means one of the H or L range as defined in European Standard EN 437, dated November 1993;“net power” means the power in EC kW obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EC method of measuring power as set out in Commission Directive 80/1269/EEC(****);“OBD” means an on-board diagnostic system for emission control, which has the capability of detecting the occurrence of a malfunction and of identifying the likely area of malfunction by means of fault codes stored in computer memory;“OBD-engine family” means, for type-approval of the OBD system according to the requirements of Annex IV to Directive 2005/78/EC, a manufacturer’s grouping of engine systems having common OBD system design parameters according to section 8 of this Annex;“opacimeter” means an instrument designed to measure the opacity of smoke particles by means of the light extinction principle;“parent engine” means an engine selected from an engine family in such a way that its emissions characteristics will be representative for that engine family;“particulate aftertreatment device” means an exhaust aftertreatment system designed to reduce emissions of particulate pollutants (PT) through a mechanical, aerodynamic, diffusional or inertial separation;“particulate pollutants” means any material collected on a specified filter medium after diluting the exhaust with clean filtered air so that the temperature does not exceed 325 K (52 °C);“per cent load” means the fraction of the maximum available torque at an engine speed;“periodic regeneration” means the regeneration process of an emission control device that occurs periodically in less than 100 hours of normal engine operation. During cycles where regeneration occurs, emission standards can be exceeded.“permanent emission default mode” means an AECS activated in the case of a malfunction of the ECS detected by the OBD system that results in the MI being activated and that does not require an input from the failed component or system;“power take-off unit” means an engine-driven output device for the purposes of powering auxiliary, vehicle mounted, equipment;“reagent” means any medium that is stored on-board the vehicle in a tank and provided to the exhaust aftertreatment system (if required) upon request of the emission control system;“recalibration” means a fine tuning of an NG engine in order to provide the same performance (power, fuel consumption) in a different range of natural gas;“reference speed (nref)” means the 100 per cent speed value to be used for denormalising the relative speed values of the ETC test, as set out in Annex III, Appendix 2 to this Directive;“response time” means the difference in time between a rapid change of the component to be measured at the reference point and the appropriate change in the response of the measuring system whereby the change of the measured component is at least 60 % FS and takes place in less than 0,1 second. The system response time (t90) consists of the delay time to the system and of the rise time of the system (see also ISO 16183);“rise time” means the time between the 10 % and 90 % response of the final reading (t90–t10). This is the instrument response after the component to be measured has reached the instrument. For the rise time, the sampling probe is defined as the reference point;“self adaptability” means any engine device allowing the air/fuel ratio to be kept constant;“smoke” means particles suspended in the exhaust stream of a diesel engine which absorb, reflect, or refract light;“test cycle” means a sequence of test points each with a defined speed and torque to be followed by the engine under steady state (ESC test) or transient operating conditions (ETC, ELR test);“torque limiter” means a device that temporarily limits the maximum torque of the engine;“transformation time” means the time between the change of the component to be measured at the sampling probe and a system response of 50 % of the final reading (t50). The transformation time is used for the signal alignment of different measurement instruments;“useful life” means, for vehicles and engines that are type-approved to either row B1, row B2 or row C of the table given in section 6.2.1 of this Annex, the relevant period of distance and/or time that is defined in Article 3 (durability of emission control systems) of this Directive over which compliance with the relevant gaseous, particulate and smoke emission limits has to be assured as part of the type-approval;“Wobbe Index (lower Wl; or upper Wu)” means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions:Text of image“λ-shift factor (Sλ)” means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane (see Annex VII for the calculation of Sλ).2.2.   Symbols, abbreviations and international standards2.2.1.   Symbols for test parametersSymbolUnitTermApm2Cross sectional area of the isokinetic sampling probeAem2Cross sectional area of the exhaust pipecppm/vol. %ConcentrationCd—Discharge coefficient of SSV-CVSC1—Carbon 1 equivalent hydrocarbondmDiameterD0m3/sIntercept of PDP calibration functionD—Dilution factorD—Bessel function constantE—Bessel function constantEE—Ethane efficiencyEM—Methane efficiencyEZg/kWhInterpolated NOxemission of the control pointf1/sFrequencyfa—Laboratory atmospheric factorfcs–1Bessel filter cut-off frequencyFs—Stoichiometric factorHMJ/m3Calorific valueHag/kgAbsolute humidity of the intake airHdg/kgAbsolute humidity of the dilution airi—Subscript denoting an individual mode or instantaneous measurementK—Bessel constantkm–1Light absorption coefficientkfFuel specific factor for dry to wet correctionkh,D—Humidity correction factor for NOxfor diesel engineskh,G—Humidity correction factor for NOxfor gas enginesKVCFV calibration functionkW,a—Dry to wet correction factor for the intake airkW,d—Dry to wet correction factor for the dilution airkW,e—Dry to wet correction factor for the diluted exhaust gaskW,r—Dry to wet correction factor for the raw exhaust gasL%Percent torque related to the maximum torque for the test engineLamEffective optical path lengthMrag/molMolecular mass of the intake airMreg/molMolecular mass of the exhaustmdkgMass of the dilution air sample passed through the particulate sampling filtersmedkgTotal diluted exhaust mass over the cyclemedfkgMass of equivalent diluted exhaust over the cyclemewkgTotal exhaust mass over the cyclemfmgParticulate sample mass collectedmf,dmgParticulate sample mass of the dilution air collectedmgasg/h or gGaseous emissions mass flow (rate)msekgSample mass over the cyclemsepkgMass of the diluted exhaust sample passed through the particulate sampling filtersmsetkgMass of the double diluted exhaust sample passed through the particulate sampling filtersmssdkgMass of secondary dilution airN%OpacityNP—Total revolutions of PDP over the cycleNP,i—Revolutions of PDP during a time intervalnmin–1Engine speednps–1PDP speednhimin–1High engine speednlomin–1Low engine speednrefmin–1Reference engine speed for ETC testpakPaSaturation vapour pressure of the engine intake airpbkPaTotal atmospheric pressurepdkPaSaturation vapour pressure of the dilution airppkPaAbsolute pressureprkPaWater vapour pressure after cooling bathpskPaDry atmospheric pressurep1kPaPressure depression at pump inletP(a)kWPower absorbed by auxiliaries to be fitted for testP(b)kWPower absorbed by auxiliaries to be removed for testP(n)kWNet power non-correctedP(m)kWPower measured on test bedqmawkg/h or kg/sIntake air mass flow rate on wet basisqmadkg/h or kg/sIntake air mass flow rate on dry basisqmdwkg/h or kg/sDilution air mass flow rate on wet basisqmdewkg/h or kg/sDiluted exhaust gas mass flow rate on wet basisqmdew,ikg/sInstantaneous CVS flow rate mass on wet basisqmedfkg/h or kg/sEquivalent diluted exhaust gas mass flow rate on wet basisqmewkg/h or kg/sExhaust gas mass flow rate on wet basisqmfkg/h or kg/sFuel mass flow rateqmpkg/h or kg/sParticulate sample mass flow rateqvsdm3/minSample flow rate into analyser benchqvtcm3/minTracer gas flow rateΩ—Bessel constantQsm3/sPDP/CFV-CVS volume flow rateQSSVm3/sSSV-CVS volume flow ratera—Ratio of cross sectional areas of isokinetic probe and exhaust piperd—Dilution ratiorD—Diameter ratio of SSV-CVSrp—Pressure ratio of SSV-CVSrs—Sample ratioRf—FID response factorρkg/m3densitySkWDynamometer settingSim–1Instantaneous smoke valueSλ—λ-shift factorTKAbsolute temperatureTaKAbsolute temperature of the intake airtsMeasuring timetesElectrical response timetfsFilter response time for Bessel functiontpsPhysical response timeΔtsTime interval between successive smoke data (= 1/sampling rate)ΔtisTime interval for instantaneous CVS flowτ%Smoke transmittanceu—Ratio between densities of gas component and exhaust gasV0m3/revPDP gas volume pumped per revolutionVslSystem volume of analyser benchW—Wobbe indexWactkWhActual cycle work of ETCWrefkWhReference cycle work of ETCWF—Weighting factorWFE—Effective weighting factorX0m3/revCalibration function of PDP volume flow rateYim–11 s Bessel averaged smoke value(**)OJ L 313, 29.11.2005, p. 1.”(***)Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC.”(****)OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32).’

                                             “(c)Former sections 2.32.2 and 2.32.3 become sections 2.2.2 and 2.2.3 respectively.(d)The following sections 2.2.4 and 2.2.5 are added:‘2.2.4.   Symbols for the fuel compositionwALFhydrogen content of fuel, % masswBETcarbon content of fuel, % masswGAMsulphur content of fuel, % masswDELnitrogen content of fuel, % masswEPSoxygen content of fuel, % massαmolar hydrogen ratio (H/C)βmolar carbon ratio (C/C)γmolar sulphur ratio (S/C)δmolar nitrogen ratio (N/C)εmolar oxygen ratio (O/C)referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.2.2.5.   Standards referenced by this DirectiveISO 15031-1ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.ISO 15031-2ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.ISO 15031-3ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.SAE J1939-13SAE J1939-13: Off-Board Diagnostic Connector.ISO 15031-4ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.SAE J1939-73SAE J1939-73: Application Layer – Diagnostics.ISO 15031-5ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.ISO 15031-6ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.SAE J2012SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.ISO 15031-7ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.SAE J2186SAE J2186: E/E Data Link Security, dated October 1996.ISO 15765-4ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.SAE J1939SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.ISO 16185ISO 16185: 2000 Road vehicles – Engine family for homologation.ISO 2575ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.ISO 16183ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’(e)Section 3.1.1 is replaced by the following:3.1.1.   The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the engine manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’(f)Section 3.2.1 is replaced by the following:3.2.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’(g)The following section 3.2.3 is added:3.2.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’(h)Section 3.3.1 is replaced by the following:3.3.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.’(i)The following section 3.3.3 is added:3.3.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’(j)The following section 3.4 is added:‘3.4.   On-board diagnostic systemsThe application for approval of an engine equipped with an on-board diagnostic (OBD) system must be accompanied by the information required in section 9 of Appendix 1 to Annex II (description of the parent engine) and/or section 6 of Appendix 3 to Annex II (description of an engine type within the family) together with:3.4.1.1.   Detailed written information fully describing the functional operation characteristics of the OBD system, including a listing of all relevant parts of the engine’s emission control system, i.e. sensors, actuators and components, that are monitored by the OBD system;Where applicable, a declaration by the manufacturer of the parameters that are used as a basis for major functional failure monitoring and, in addition:3.4.1.2.1.   The manufacturer shall provide the technical service with a description of potential failures within the emission control system that will have an effect on emissions. This information shall be subject to discussion and agreement between the technical service and the vehicle manufacturer.3.4.1.3.   Where applicable, a description of the communication interface (hardware and messages) between the engine electronic control unit (EECU) and any other powertrain or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control system.3.4.1.4.   Where appropriate, copies of other type-approvals with the relevant data to enable extensions of approvals.3.4.1.5.   If applicable, the particulars of the engine family as referred to in section 8 of this Annex.3.4.1.6.   The manufacturer must describe provisions taken to prevent tampering with and modification of the EECU or any interface parameter considered in section 3.4.1.3.’(k)In section 5.1.3 the footnote is deleted.(l)Section 6.1 is replaced by the following:‘6.1.   General6.1.1.   Emission control equipment6.1.1.1.   The components liable to affect, where appropriate, the emission of gaseous and particulate pollutants from diesel and gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive.The use of a defeat strategy is forbidden.6.1.2.1.   The use of a multi-setting engine is forbidden until appropriate and robust provisions for multi-setting engines are laid down in this Directive(*).6.1.3.   Emission control strategy6.1.3.1.   Any element of design and emission control strategy (ECS) liable to affect the emission of gaseous and particulate pollutants from diesel engines and the emission of gaseous pollutants from gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive. ECS consists of the base emission control strategy (BECS) and usually one or more auxiliary emission control strategies (AECS).6.1.4.   Requirements for base emission control strategy6.1.4.1.   The base emission control strategy (BECS) shall be so designed as to enable the engine, in normal use, to comply with the provisions of this Directive. Normal use is not restricted to the conditions of use as specified in paragraph 6.1.5.4.6.1.5.   Requirements for auxiliary emission control strategy6.1.5.1.   An auxiliary emission control strategy (AECS) may be installed to an engine or on a vehicle provided that the AECS:—operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or—is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.6.1.5.2.   An auxiliary emission control strategy (AECS) that operates within the conditions of use specified in section 6.1.5.4 and which results in the use of a different or modified emission control strategy (ECS) to that normally employed during the applicable emission test cycles will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure does not permanently reduce the effectiveness of the emission control system. In all other cases, such strategy shall be considered to be a defeat strategy.6.1.5.3.   An auxiliary emission control strategy (AECS) that operates outside the conditions of use specified in section 6.1.5.4 will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure is the minimum strategy necessary for the purposes of paragraph 6.1.5.6 with respect to environmental protection and other technical aspects. In all other cases, such a strategy shall be considered to be a defeat strategy.6.1.5.4.   As provided for in section 6.1.5.1, the following conditions of use apply under steady state and transient engine operations:—an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and—an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and—engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).6.1.5.5.   An auxiliary emission control strategy (AECS) may be installed to an engine, or on a vehicle, provided that the operation of the AECS is included in the applicable type-approval test and is activated according to section 6.1.5.6.6.1.5.6.   The AECS is activated:—only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or—for purposes such as operational safety, permanent emission default modes and limp-home strategies,or—for such purposes as excessive emissions prevention, cold start or warming-up,or—if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.6.1.6.   Requirements for torque limiters6.1.6.1.   A torque limiter will be permitted if it complies with the requirements of section 6.1.6.2. or 6.5.5. In all other cases, a torque limiter shall be considered to be a defeat strategy.6.1.6.2.   A torque limiter may be installed to an engine, or on a vehicle, provided that:—the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and—the torque limiter is active only temporarily,and—the torque limiter does not modify the emission control strategy (ECS),and—in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and—is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.6.1.7.   Special requirements for electronic emission control systems6.1.7.1.   Documentation requirementsThe manufacturer shall provide a documentation package that gives access to any element of design and emission control strategy (ECS), and torque limiter of the engine system and the means by which it controls its output variables, whether that control is direct or indirect. The documentation shall be made available in two parts:(a)the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;(b)additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.The additional material shall also contain a justification for the use of any AECS and include additional material and test data to demonstrate the effect on exhaust emissions of any AECS installed to the engine or on the vehicle. The justification for the use of an AECS may be based on test data and/or sound engineering analysis.This additional material shall remain strictly confidential, and be made available to the type-approval authority on request. The type-approval authority will keep this material confidential.6.1.8.   Specifically for the type-approval of engines according to row A of the tables in section 6.2.1 (engines not normally tested on ETC)6.1.8.1.   To verify whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, the type-approval authority and/or the technical service may additionally request a NOxscreening test using the ETC which may be carried out in combination with either the type-approval test or the procedures for checking the conformity of production.6.1.8.2.   In verifying whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, an additional margin of 10 %, related to the appropriate NOxlimit value, shall be accepted.6.1.9.   The transitional provisions for extension of type-approval are given in section 6.1.5 of Annex I to Directive 2001/27/EC.Until the 8 November 2006, the existing approval certificate number will remain valid. In case of extension, only the sequential number to denote the extension base approval number will change as follows:Example for the second extension of the fourth approval corresponding to application date A, issued by Germany:e1*88/77*2001/27A*0004*026.1.10.   Provisions for electronic system security6.1.10.1.   Any vehicle with an Emission Control Unit must include features to deter modification, except as authorised by the manufacturer. The manufacturer shall authorise modifications if these modifications are necessary for the diagnosis, servicing, inspection, retrofitting or repair of the vehicle. Any reprogrammable computer codes or operating parameters must be resistant to tampering and afford a level of protection at least as good as the provisions in ISO 15031-7 (SAE J2186) provided that the security exchange is conducted using the protocols and diagnostic connector as prescribed in section 6 of Annex IV to Directive 2005/78/EC. Any removable calibration memory chips must be potted, encased in a sealed container or protected by electronic algorithms and must not be changeable without the use of specialised tools and procedures.6.1.10.2.   Computer-coded engine operating parameters must not be changeable without the use of specialised tools and procedures (e.g. soldered or potted computer components or sealed (or soldered) computer enclosures).6.1.10.3.   Manufacturers must take adequate steps to protect the maximum fuel delivery setting from tampering while a vehicle is in-service.6.1.10.4.   Manufacturers may apply to the approval authority for an exemption from one of these requirements for those vehicles that are unlikely to require protection. The criteria that the approval authority will evaluate in considering an exemption will include, but are not limited to, the current availability of performance chips, the high-performance capability of the vehicle and the projected sales volume of the vehicle.6.1.10.5.   Manufacturers using programmable computer code systems (e.g. electrical erasable programmable read-only memory, EEPROM) must deter unauthorised reprogramming. Manufacturers must include enhanced tamper-protection strategies and write protect features requiring electronic access to an off-site computer maintained by the manufacturer. Alternative methods giving an equivalent level of tamper protection may be approved by the authority.(*)The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive.”(**)Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”.”(***)This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’

                                                      “(m)The introductory part of Section 6.2 is replaced by the following:‘6.2.   Specifications Concerning the Emission of Gaseous and Particulate Pollutants and SmokeFor type approval to row A of the tables in section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including deNOxcatalysts and/or particulate traps, shall additionally be tested on the ETC test.For type approval testing to either row B1 or B2 or row C of the tables in section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests.For gas engines, the gaseous emissions shall be determined on the ETC test.The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3.The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system.Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions, only the full flow dilution system or the partial flow dilution system meeting the requirements of ISO 16183 are recognised as equivalent reference systems. “Results” refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency of the sample pair averages shall be determined byF-test andt-test statistics as described in Appendix 4 to this Annex obtained under these laboratory, test cell and engine conditions. Outliers shall be determined in accordance with ISO 5725 and excluded from the database. 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.’(n)The following sections 6.3, 6.4 and 6.5 are added:‘6.3.   Durability and deterioration factors6.3.1.   For the purposes of this Directive, the manufacturer shall determine deterioration factors that will be used to demonstrate that the gaseous and particulate emissions of an engine family or engine-aftertreatment system family remain in conformity with the appropriate emission limits specified in the tables in section 6.2.1 of this Annex over the appropriate durability period laid down in Article 3 to this Directive.6.3.2.   The procedures for demonstrating the compliance of an engine or engine-aftertreatment system family with the relevant emission limits over the appropriate durability period are given in Annex II to Directive 2005/78/EC.6.4.   On-Board Diagnostic (OBD) system6.4.1.   As laid down in Articles 4(1) and 4(2) of this Directive, diesel engines or vehicles equipped with a diesel engine must be fitted with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.As laid down in Article 4(2) of this Directive, gas engines or vehicles equipped with a gas engine must be fitted, with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.6.4.2.   Small batch engine productionAs an alternative to the requirements of this section, engine manufacturers whose world-wide annual production of a type of engine, belonging to an OBD engine family,—is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;—is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.The type-approval authority must inform the Commission of the circumstances of each type-approval granted under this provision.6.5.   Requirements to ensure correct operation of NOxcontrol measures(*)6.5.1.   General6.5.1.1.   This section is applicable to all engine systems irrespective of the technology used to comply with the emission limit values given in the tables in section 6.2.1 of this Annex.6.5.1.2.   Application datesThe Requirements of sections 6.5.3, 6.5.4 and 6.5.5 shall apply from 1 October 2006 for new type approvals and from 1 October 2007 for all registrations of new vehicles.6.5.1.3.   Any engine system covered by this section shall be designed, constructed and installed so as to be capable of meeting these requirements over the useful life of the engine.6.5.1.4.   Information that fully describes the functional operational characteristics of an engine system covered by this section shall be provided by the manufacturer in Annex II to this Directive.6.5.1.5.   In its application for type-approval, if the engine system requires a reagent, the manufacturer shall specify the characteristics of all reagent(s) consumed by any exhaust aftertreatment system, e.g. type and concentrations, operational temperature conditions, reference to international standards etc.6.5.1.6.   With reference to section 6.1, any engine system covered by this section shall retain its emission control function during all conditions regularly pertaining in the territory of the European Union, especially at low ambient temperatures.6.5.1.7.   For the purpose of type-approval, the manufacturer shall demonstrate to the Technical Service that for engine systems that require a reagent, any emission of ammonia does not exceed, over the applicable emissions test cycle, a mean value of 25 ppm.6.5.1.8.   For engine systems requiring a reagent, each separate reagent tank installed on a vehicle shall include a means for taking a sample of any fluid inside the tank. The sampling point shall be easily accessible without the use of any specialised tool or device.6.5.2.   Maintenance requirements6.5.2.1.   The manufacturer shall furnish or cause to be furnished to all owners of new heavy-duty vehicles or new heavy-duty engines written instructions that shall state that if the vehicle emission control system is not functioning correctly, the driver shall be informed of a problem by the malfunction indicator (MI) and the engine shall consequentially operate with a reduced performance.6.5.2.2.   The instructions will indicate requirements for the proper use and maintenance of vehicles, including where relevant the use of consumable reagents.6.5.2.3.   The instructions shall be written in clear and non-technical language and in the language of the country in which a new heavy-duty vehicle or new heavy-duty engine is sold or registered.6.5.2.4.   The instructions shall specify if consumable reagents have to be refilled by the vehicle operator between normal maintenance intervals and shall indicate a likely rate of reagent consumption according to the type of new heavy-duty vehicle.6.5.2.5.   The instructions shall specify that use of and refilling of a required reagent of the correct specifications when indicated is mandatory for the vehicle to comply with the certificate of conformity issued for that vehicle or engine type.6.5.2.6.   The instructions shall state that it may be a criminal offence to use a vehicle that does not consume any reagent if it is required for the reduction of pollutant emissions and that, in consequence, any favourable conditions for the purchase or operation of the vehicle obtained in the country of registration or other country in which the vehicle is used may become invalid.6.5.3.   Engine system NOxcontrol6.5.3.1.   Incorrect operation of the engine system with respect to NOxemissions control (for example due to lack of any required reagent, incorrect EGR flow or deactivation of EGR) shall be determined through monitoring of the NOxlevel by sensors positioned in the exhaust stream.6.5.3.2.   Engine systems shall be equipped with a method for determining the NOxlevel in the exhaust stream. Any deviation in NOxlevel more than 1,5 g/kwh above the applicable limit value given in table I of section 6.2.1 of Annex I to this Directive, shall result in the driver being informed by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC).6.5.3.3.   In addition, a non-erasable fault code identifying the reason why NOxexceeds the levels specified in the paragraph above shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for at least 400 days or 9 600 hours of engine operation.6.5.3.4.   If the NOxlevel exceeds the OBD threshold limit values given in the table in Article 4(3) of this Directive(**), a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle. When the torque limiter is activated the driver shall continue to be alerted according to the requirements of section 6.5.3.2.6.5.3.5.   In the case of engine systems that rely on the use of EGR and no other aftertreatment system for NOxemissions control, the manufacturer may utilise an alternative method to the requirements of paragraph 6.5.3.1 for the determination of the NOxlevel. At the time of type approval the manufacturer shall demonstrate that the alternative method is equally timely and accurate in determining the NOxlevel compared to the requirements of paragraph 6.5.3.1 and that it triggers the same consequences as those referred to in sections 6.5.3.2, 6.5.3.3 and 6.5.3.4.6.5.4.   Reagent control6.5.4.1.   For vehicles that require the use of a reagent to fulfil the requirements of this section, the driver shall be informed of the level of reagent in the on-vehicle reagent storage tank through a specific mechanical or electronic indication on the vehicle’s dashboard. This shall include a warning when the level of reagent goes:—below 10 % of the tank or a higher percentage at the choice of the manufacturer,or—below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.The reagent indicator shall be placed in close proximity to the fuel level indicator.6.5.4.2.   The driver shall be informed, according to the requirements of section 3.6.5 of Annex IV to Directive 2005/78/EC, if the reagent tank becomes empty.6.5.4.3.   As soon as the reagent tank becomes empty, the requirements of section 6.5.5 shall apply in addition to the requirements of section 6.5.4.2.6.5.4.4.   A manufacturer may choose to comply with the sections 6.5.4.5 to 6.5.4.13 as an alternative to complying with the requirements of section 6.5.3.6.5.4.5.   Engine systems shall include a means of determining that a fluid corresponding to the reagent characteristics declared by the manufacturer and recorded in Annex II to this Directive is present on the vehicle.6.5.4.6.   If the fluid in the reagent tank does not correspond to the minimum requirements declared by the manufacturer as recorded in Annex II to this Directive the additional requirements of section 6.5.4.13 shall apply.6.5.4.7.   Engine systems shall include a means for determining reagent consumption and providing off-board access to consumption information.6.5.4.8.   Average reagent consumption and average demanded reagent consumption by the engine system either over the previous complete 48 hour period of engine operation or the period needed for a demanded reagent consumption of at least 15 litres, whichever is longer, shall be available via the serial port of the standard diagnostic connector (see section 6.8.3 of Annex IV to Directive 2005/78/EC).6.5.4.9.   In order to monitor reagent consumption, at least the following parameters within the engine shall be monitored:—level of reagent in on-vehicle storage tank,—flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.6.5.4.10.   Any deviation more than 50 % in average reagent consumption and average demanded reagent consumption by the engine system over the period defined in section 6.5.4.8 shall result in application of the measures laid down in paragraph 6.5.4.13.6.5.4.11.   In the case of interruption in reagent dosing activity the measures laid down in paragraph 6.5.4.13 shall apply. This is not required where such interruption is demanded by the engine ECU because engine operating conditions are such that the engine’s emission performance does not require reagent dosing, provided that the manufacturer has clearly informed the approval authority when such operating conditions apply.6.5.4.12.   If the NOxlevel exceeds 7,0 g/kWh on the ETC test cycle the measures laid down in section 6.5.4.13 shall apply.6.5.4.13.   Where reference is made to this section, the driver shall be alerted by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC) and a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle.A non-erasable fault code identifying the reason for torque limiter activation shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for a minimum of 400 days or 9 600 hours of engine operation.6.5.5.   Measures to discourage tampering of exhaust aftertreatment systems6.5.5.1.   Any engine system covered by this section shall include a torque limiter that will alert the driver that the engine system is operating incorrectly or the vehicle is being operated in an incorrect manner and thereby encourage the prompt rectification of any fault(s).6.5.5.2.   The torque limiter shall be activated when the vehicle becomes stationary for the first time after the conditions of either sections 6.5.3.4, 6.5.4.3, 6.5.4.6, 6.5.4.10, 6.5.4.11 or 6.5.4.12 have occurred.6.5.5.3.   Where the torque limiter comes into effect, the engine torque shall not, in any case, exceed a constant value of:—60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,—75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.6.5.5.4.   The scheme of torque limitation is set out in sections 6.5.5.5 to 6.5.5.6.6.5.5.5.   Detailed written information fully describing the functional operation characteristics of the torque limiter shall be specified according to the documentation requirements of section 6.1.7.1 of this Annex.6.5.5.6.   The torque limiter shall be deactivated when the engine speed is at idle if the conditions for its activation have ceased to exist. The torque limiter shall not be automatically deactivated without the reason for its activation being remedied.6.5.5.7.   Demonstration of torque limiter6.5.5.7.1.   As part of the application for type-approval provided for in section 3 of this Annex, the manufacturer shall demonstrate the operation of the torque limiter either by tests on an engine dynamometer or by a vehicle test.6.5.5.7.2.   If an engine dynamometer test is to be carried out the manufacturer shall run consecutive ETC test cycles in order to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.6.5.5.7.3.   If a vehicle test is to be carried out, the vehicle shall be driven over the road or test track to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.(*)The Commission intends to review this section by 31 December 2006.”(**)The Commission intends to review those values by 31 December 2005.’

                                                “(o)Section 8.1 is replaced by the following:‘8.1.   Parameters defining the engine familyThe engine family, as determined by the engine manufacturer must comply with the provisions of ISO 16185.’(p)The following section 8.3 is added:‘8.3.   Parameters for defining an OBD-engine familyThe OBD-engine family may be defined by basic design parameters that must be common to engine systems within the family.In order that engine systems may be considered to belong to the same OBD-engine family, the following list of basic parameters must be common,—the methods of OBD monitoring,—the methods of malfunction detection.unless these methods have been shown as equivalent by the manufacturer by means of relevant engineering demonstration or other appropriate procedures.Note:engines that do not belong to the same engine family may still belong to the same OBD-engine family provided the above mentioned criteria are satisfied.’(q)Section 9.1 is replaced by the following:9.1.   Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. In applying Appendices 1, 2 or 3, the measured emission of the gaseous and particulate pollutants from engines subject to checking for conformity of production shall be adjusted by application of the appropriate deterioration factors (DF’s) for that engine as recorded in section 1.5 of the Appendix to Annex VI.Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer.’(r)The following section 9.1.2 is added:‘9.1.2.   On-Board Diagnostics (OBD)9.1.2.1.   If a verification of the conformity of production of the OBD system is to be carried out, it must be conducted in accordance with the following:9.1.2.2.   When the approval authority determines that the quality of production seems unsatisfactory an engine is randomly taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on an engine that has been run-in up to a maximum of 100 hours.9.1.2.3.   The production is deemed to conform if this engine meets the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.9.1.2.4   If the engine taken from the series does not satisfy the requirements of section 9.1.2.2, a further random sample of four engines must be taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on engines that have been run-in up to a maximum of 100 hours.9.1.2.5.   The production is deemed to conform if at least three engines out of the further random sample of four engines meet the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.’(s)The following section 10 is added:‘10.   CONFORMITY OF IN-SERVICE VEHICLES/ENGINES10.1.   For the purpose of this Directive, the conformity of in-service vehicles/engines must be checked periodically over the useful life period of an engine installed in a vehicle.10.2.   With reference to type-approvals granted for emissions, additional measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use.10.3.   The procedures to be followed regarding the conformity of in-service vehicles/engines are given in Annex III to Directive 2005/78/EC.’(t)Appendix 1, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’(u)In Appendix 2, section 3 and the introductory phrase of section 4 are replaced by the following:3.   The values of the pollutants given in section 6.2.1 of Annex I, after having applied the relevant DF, are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m0and m denote the minimum and maximum sample size respectively (m0= 3 and m = 32) and let n denote the current sample number.4.   If the natural logarithms of the measured values (after having applied the relevant DF) in the series are x1, x2, … xiand L is the natural logarithm of the limit value for the pollutant, then, define:’(v)In Appendix 3, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’(w)A following Appendix 4 is added:‘Appendix 4DETERMINATION OF SYSTEM EQUIVALENCEThe determination of system equivalency according to section 6.2 of this Annex shall be based on a 7 sample pair (or larger) correlation study between the candidate system and one of the accepted reference systems of this Directive using the appropriate test cycle(s). The equivalency criteria to be applied shall be the F-test and the two-sided Student t-test.This statistical method examines the hypothesis that the population standard deviation and mean value for an emission measured with the candidate system do not differ from the standard deviation and population mean value for that emission measured with the reference system. The hypothesis shall be tested on the basis of a 5 % significance level of the F and t values. The critical F and t values for 7 to 10 sample pairs are given in the table below. If the F and t values calculated according to the formulae below are greater than the critical F and t values, the candidate system is not equivalent.The following procedure shall be followed. The subscripts R and C refer to the reference and candidate system, respectively:(a)Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.(b)Calculate the mean values xRand xCand the standard deviations sRand sC.(c)Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)(d)Calculate the t value, as follows:Text of image(e)Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.(f)Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101(g)Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’ | (a) | Section 1 is replaced by the following:‘1.   SCOPEThis Directive applies to the control of gaseous and particulate pollutants, useful life of emission control devices, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants, useful life, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with positive-ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive-ignition engines as specified in Article 1 with the exception of compression-ignition engines of those vehicles of category N1, N2and M2and of positive-ignition engines fuelled with natural gas or LPG of those vehicles of category N1for which type-approval has been granted under Council Directive 70/220/EEC(*).(*)OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29).’

                                          ” | (b) | In section 2, the title and sections 2.1 to 2.32.1 are replaced by the following:‘2.   DEFINITIONS2.1.   For the purposes of this Directive, the following definitions shall apply:“approval of an engine (engine family)” means the approval of an engine type (engine family) with regard to the level of the emission of gaseous and particulate pollutants;“auxiliary emission control strategy (AECS)” means an emission control strategy that becomes active or that modifies the base emission control strategy for a specific purpose or purposes and in response to a specific set of ambient and/or operating conditions, e.g. vehicle speed, engine speed, gear used, intake temperature, or intake pressure;“base emission control strategy (BECS)” means an emission control strategy that is active throughout the speed and load operating range of the engine unless an AECS is activated. Examples for BECS are, but are not limited to:—engine timing map,—EGR map,—SCR catalyst reagent dosing map;“combined deNOx-particulate filter” means an exhaust aftertreatment system designed to concurrently reduce emissions of oxides of nitrogen (NOx) and particulate pollutants (PT);“continuous regeneration” means the regeneration process of an exhaust aftertreatment system that occurs either permanently or at least once per ETC test. Such a regeneration process will not require a special test procedure;“control area” means the area between the engine speeds A and C and between 25 to 100 per cent load;“declared maximum power (Pmax)” means the maximum power in EC kW (net power) as declared by the manufacturer in his application for type-approval;“defeat strategy” means:—an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or—a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,“deNOxsystem” means an exhaust aftertreatment system designed to reduce emissions of oxides of nitrogen (NOx) (e.g. there are presently passive and active lean NOxcatalysts, NOxadsorbers and Selective Catalytic Reduction (SCR) systems);“delay time” means the time between the change of the component to be measured at the reference point and a system response of 10 % of the final reading (t10). For the gaseous components, this is basically the transport time of the measured component from the sampling probe to the detector. For the delay time, the sampling probe is defined as the reference point;“diesel engine” means an engine which works on the compression-ignition principle;“ELR test” means a test cycle consisting of a sequence of load steps at constant engine speeds to be applied in accordance with section 6.2 of this Annex;“ESC test” means a test cycle consisting of 13 steady state modes to be applied in accordance with section 6.2 of this Annex;“ETC test” means a test cycle consisting of 1 800 second-by-second transient modes to be applied in accordance with section 6.2 of this Annex;“element of design” means in respect of a vehicle or engine,—any control system, including computer software, electronic control systems and computer logic,—any control system calibrations,—the result of systems interaction,or—any hardware items,“emissions-related defect” means a deficiency or deviation from normal production tolerances in design, materials or workmanship in a device, system or assembly that affects any parameter, specification or component belonging to the emission control system. A missing component may be considered to be an “emissions-related defect”;“emission control strategy (ECS)” means an element or set of elements of design that is incorporated into the overall design of an engine system or vehicle for the purposes of controlling exhaust emissions that includes one BECS and one set of AECS;“emission control system” means the exhaust aftertreatment system, the electronic management controller(s) of the engine system and any emission-related component of the engine system in the exhaust which supplies an input to or receives an output from this(these) controller(s), and when applicable the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit with respect to emissions management;“engine-aftertreatment system family” means, for testing over a service accumulation schedule to establish deterioration factors according to Annex II to Commission Directive 2005/78/EC implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto(**)and for checking the conformity of in-service vehicles/engines according to Annex III to Directive 2005/78/EC, a manufacturer’s grouping of engines that comply with the definition of engine family but which are further grouped into engines utilising a similar exhaust after-treatment system;“engine system” means the engine, the emission control system and the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other powertrain or vehicle control unit;“engine family” means a manufacturers grouping of engine systems which, through their design as defined in Annex II, Appendix 2 to this Directive, have similar exhaust emission characteristics; all members of the family must comply with the applicable emission limit values;“engine operating speed range” means the engine speed range, most frequently used during engine field operation, which lies between the low and high speeds, as set out in Annex III to this Directive;“engine speeds A, B and C” means the test speeds within the engine operating speed range to be used for the ESC test and the ELR test, as set out in Annex III, Appendix 1 to this Directive;“engine setting” means a specific engine/vehicle configuration that includes the emission control strategy (ECS), one single engine performance rating (the type-approved full-load curve) and, if used, one set of torque limiters;“engine type” means a category of engines which do not differ in such essential respects as engine characteristics as defined in Annex II to this Directive;“exhaust aftertreatment system” means a catalyst (oxidation or 3-way), particulate filter, deNOxsystem, combined deNOxparticulate filter or any other emission-reducing device that is installed downstream of the engine. This definition excludes exhaust gas recirculation, which, where fitted, is considered an integral part of the engine system;“gas engine” means a positive-ignition engine which is fuelled with natural gas (NG) or liquefied petroleum gas (LPG);“gaseous pollutants” means carbon monoxide, hydrocarbons (assuming a ratio of CH1,85for diesel, CH2,525for LPG and CH2,93for NG (NMHC) and an assumed molecule CH3O0,5for ethanol-fuelled diesel engines), methane (assuming a ratio of CH4for NG) and oxides of nitrogen, the last-named being expressed in nitrogen dioxide (NO2) equivalent;“high speed (nhi)” means the highest engine speed where 70 % of the declared maximum power occurs;“low speed (nlo)” means the lowest engine speed where 50 % of the declared maximum power occurs;“major functional failure”(***)means a permanent or temporary malfunction of any exhaust aftertreatment system that is expected to result in an immediate or delayed increase of the gaseous or particulate emissions of the engine system and which cannot be properly estimated by the OBD system;“malfunction” means:—any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,—any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.A manufacturer may nevertheless consider a deterioration or failure that would result in emissions not exceeding the OBD threshold limits as a malfunction;“malfunction indicator (MI)” means a visual indicator that clearly informs the driver of the vehicle in the event of a malfunction in the sense of this Directive;“multi-setting engine” means an engine containing more than one engine setting;“NG gas range” means one of the H or L range as defined in European Standard EN 437, dated November 1993;“net power” means the power in EC kW obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EC method of measuring power as set out in Commission Directive 80/1269/EEC(****);“OBD” means an on-board diagnostic system for emission control, which has the capability of detecting the occurrence of a malfunction and of identifying the likely area of malfunction by means of fault codes stored in computer memory;“OBD-engine family” means, for type-approval of the OBD system according to the requirements of Annex IV to Directive 2005/78/EC, a manufacturer’s grouping of engine systems having common OBD system design parameters according to section 8 of this Annex;“opacimeter” means an instrument designed to measure the opacity of smoke particles by means of the light extinction principle;“parent engine” means an engine selected from an engine family in such a way that its emissions characteristics will be representative for that engine family;“particulate aftertreatment device” means an exhaust aftertreatment system designed to reduce emissions of particulate pollutants (PT) through a mechanical, aerodynamic, diffusional or inertial separation;“particulate pollutants” means any material collected on a specified filter medium after diluting the exhaust with clean filtered air so that the temperature does not exceed 325 K (52 °C);“per cent load” means the fraction of the maximum available torque at an engine speed;“periodic regeneration” means the regeneration process of an emission control device that occurs periodically in less than 100 hours of normal engine operation. During cycles where regeneration occurs, emission standards can be exceeded.“permanent emission default mode” means an AECS activated in the case of a malfunction of the ECS detected by the OBD system that results in the MI being activated and that does not require an input from the failed component or system;“power take-off unit” means an engine-driven output device for the purposes of powering auxiliary, vehicle mounted, equipment;“reagent” means any medium that is stored on-board the vehicle in a tank and provided to the exhaust aftertreatment system (if required) upon request of the emission control system;“recalibration” means a fine tuning of an NG engine in order to provide the same performance (power, fuel consumption) in a different range of natural gas;“reference speed (nref)” means the 100 per cent speed value to be used for denormalising the relative speed values of the ETC test, as set out in Annex III, Appendix 2 to this Directive;“response time” means the difference in time between a rapid change of the component to be measured at the reference point and the appropriate change in the response of the measuring system whereby the change of the measured component is at least 60 % FS and takes place in less than 0,1 second. The system response time (t90) consists of the delay time to the system and of the rise time of the system (see also ISO 16183);“rise time” means the time between the 10 % and 90 % response of the final reading (t90–t10). This is the instrument response after the component to be measured has reached the instrument. For the rise time, the sampling probe is defined as the reference point;“self adaptability” means any engine device allowing the air/fuel ratio to be kept constant;“smoke” means particles suspended in the exhaust stream of a diesel engine which absorb, reflect, or refract light;“test cycle” means a sequence of test points each with a defined speed and torque to be followed by the engine under steady state (ESC test) or transient operating conditions (ETC, ELR test);“torque limiter” means a device that temporarily limits the maximum torque of the engine;“transformation time” means the time between the change of the component to be measured at the sampling probe and a system response of 50 % of the final reading (t50). The transformation time is used for the signal alignment of different measurement instruments;“useful life” means, for vehicles and engines that are type-approved to either row B1, row B2 or row C of the table given in section 6.2.1 of this Annex, the relevant period of distance and/or time that is defined in Article 3 (durability of emission control systems) of this Directive over which compliance with the relevant gaseous, particulate and smoke emission limits has to be assured as part of the type-approval;“Wobbe Index (lower Wl; or upper Wu)” means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions:Text of image“λ-shift factor (Sλ)” means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane (see Annex VII for the calculation of Sλ).2.2.   Symbols, abbreviations and international standards2.2.1.   Symbols for test parametersSymbolUnitTermApm2Cross sectional area of the isokinetic sampling probeAem2Cross sectional area of the exhaust pipecppm/vol. %ConcentrationCd—Discharge coefficient of SSV-CVSC1—Carbon 1 equivalent hydrocarbondmDiameterD0m3/sIntercept of PDP calibration functionD—Dilution factorD—Bessel function constantE—Bessel function constantEE—Ethane efficiencyEM—Methane efficiencyEZg/kWhInterpolated NOxemission of the control pointf1/sFrequencyfa—Laboratory atmospheric factorfcs–1Bessel filter cut-off frequencyFs—Stoichiometric factorHMJ/m3Calorific valueHag/kgAbsolute humidity of the intake airHdg/kgAbsolute humidity of the dilution airi—Subscript denoting an individual mode or instantaneous measurementK—Bessel constantkm–1Light absorption coefficientkfFuel specific factor for dry to wet correctionkh,D—Humidity correction factor for NOxfor diesel engineskh,G—Humidity correction factor for NOxfor gas enginesKVCFV calibration functionkW,a—Dry to wet correction factor for the intake airkW,d—Dry to wet correction factor for the dilution airkW,e—Dry to wet correction factor for the diluted exhaust gaskW,r—Dry to wet correction factor for the raw exhaust gasL%Percent torque related to the maximum torque for the test engineLamEffective optical path lengthMrag/molMolecular mass of the intake airMreg/molMolecular mass of the exhaustmdkgMass of the dilution air sample passed through the particulate sampling filtersmedkgTotal diluted exhaust mass over the cyclemedfkgMass of equivalent diluted exhaust over the cyclemewkgTotal exhaust mass over the cyclemfmgParticulate sample mass collectedmf,dmgParticulate sample mass of the dilution air collectedmgasg/h or gGaseous emissions mass flow (rate)msekgSample mass over the cyclemsepkgMass of the diluted exhaust sample passed through the particulate sampling filtersmsetkgMass of the double diluted exhaust sample passed through the particulate sampling filtersmssdkgMass of secondary dilution airN%OpacityNP—Total revolutions of PDP over the cycleNP,i—Revolutions of PDP during a time intervalnmin–1Engine speednps–1PDP speednhimin–1High engine speednlomin–1Low engine speednrefmin–1Reference engine speed for ETC testpakPaSaturation vapour pressure of the engine intake airpbkPaTotal atmospheric pressurepdkPaSaturation vapour pressure of the dilution airppkPaAbsolute pressureprkPaWater vapour pressure after cooling bathpskPaDry atmospheric pressurep1kPaPressure depression at pump inletP(a)kWPower absorbed by auxiliaries to be fitted for testP(b)kWPower absorbed by auxiliaries to be removed for testP(n)kWNet power non-correctedP(m)kWPower measured on test bedqmawkg/h or kg/sIntake air mass flow rate on wet basisqmadkg/h or kg/sIntake air mass flow rate on dry basisqmdwkg/h or kg/sDilution air mass flow rate on wet basisqmdewkg/h or kg/sDiluted exhaust gas mass flow rate on wet basisqmdew,ikg/sInstantaneous CVS flow rate mass on wet basisqmedfkg/h or kg/sEquivalent diluted exhaust gas mass flow rate on wet basisqmewkg/h or kg/sExhaust gas mass flow rate on wet basisqmfkg/h or kg/sFuel mass flow rateqmpkg/h or kg/sParticulate sample mass flow rateqvsdm3/minSample flow rate into analyser benchqvtcm3/minTracer gas flow rateΩ—Bessel constantQsm3/sPDP/CFV-CVS volume flow rateQSSVm3/sSSV-CVS volume flow ratera—Ratio of cross sectional areas of isokinetic probe and exhaust piperd—Dilution ratiorD—Diameter ratio of SSV-CVSrp—Pressure ratio of SSV-CVSrs—Sample ratioRf—FID response factorρkg/m3densitySkWDynamometer settingSim–1Instantaneous smoke valueSλ—λ-shift factorTKAbsolute temperatureTaKAbsolute temperature of the intake airtsMeasuring timetesElectrical response timetfsFilter response time for Bessel functiontpsPhysical response timeΔtsTime interval between successive smoke data (= 1/sampling rate)ΔtisTime interval for instantaneous CVS flowτ%Smoke transmittanceu—Ratio between densities of gas component and exhaust gasV0m3/revPDP gas volume pumped per revolutionVslSystem volume of analyser benchW—Wobbe indexWactkWhActual cycle work of ETCWrefkWhReference cycle work of ETCWF—Weighting factorWFE—Effective weighting factorX0m3/revCalibration function of PDP volume flow rateYim–11 s Bessel averaged smoke value(**)OJ L 313, 29.11.2005, p. 1.”(***)Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC.”(****)OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32).’

                                             ” | — | engine timing map, | — | EGR map, | — | SCR catalyst reagent dosing map; | — | an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or | — | a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures, | — | any control system, including computer software, electronic control systems and computer logic, | — | any control system calibrations, | — | the result of systems interaction,or | — | any hardware items, | — | any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits, | — | any case where the OBD system is not able to fulfil the monitoring requirements of this Directive. | Symbol | Unit | Term | Ap | m2 | Cross sectional area of the isokinetic sampling probe | Ae | m2 | Cross sectional area of the exhaust pipe | c | ppm/vol. % | Concentration | Cd | — | Discharge coefficient of SSV-CVS | C1 | — | Carbon 1 equivalent hydrocarbon | d | m | Diameter | D0 | m3/s | Intercept of PDP calibration function | D | — | Dilution factor | D | — | Bessel function constant | E | — | Bessel function constant | EE | — | Ethane efficiency | EM | — | Methane efficiency | EZ | g/kWh | Interpolated NOxemission of the control point | f | 1/s | Frequency | fa | — | Laboratory atmospheric factor | fc | s–1 | Bessel filter cut-off frequency | Fs | — | Stoichiometric factor | H | MJ/m3 | Calorific value | Ha | g/kg | Absolute humidity of the intake air | Hd | g/kg | Absolute humidity of the dilution air | i | — | Subscript denoting an individual mode or instantaneous measurement | K | — | Bessel constant | k | m–1 | Light absorption coefficient | kf |  | Fuel specific factor for dry to wet correction | kh,D | — | Humidity correction factor for NOxfor diesel engines | kh,G | — | Humidity correction factor for NOxfor gas engines | KV |  | CFV calibration function | kW,a | — | Dry to wet correction factor for the intake air | kW,d | — | Dry to wet correction factor for the dilution air | kW,e | — | Dry to wet correction factor for the diluted exhaust gas | kW,r | — | Dry to wet correction factor for the raw exhaust gas | L | % | Percent torque related to the maximum torque for the test engine | La | m | Effective optical path length | Mra | g/mol | Molecular mass of the intake air | Mre | g/mol | Molecular mass of the exhaust | md | kg | Mass of the dilution air sample passed through the particulate sampling filters | med | kg | Total diluted exhaust mass over the cycle | medf | kg | Mass of equivalent diluted exhaust over the cycle | mew | kg | Total exhaust mass over the cycle | mf | mg | Particulate sample mass collected | mf,d | mg | Particulate sample mass of the dilution air collected | mgas | g/h or g | Gaseous emissions mass flow (rate) | mse | kg | Sample mass over the cycle | msep | kg | Mass of the diluted exhaust sample passed through the particulate sampling filters | mset | kg | Mass of the double diluted exhaust sample passed through the particulate sampling filters | mssd | kg | Mass of secondary dilution air | N | % | Opacity | NP | — | Total revolutions of PDP over the cycle | NP,i | — | Revolutions of PDP during a time interval | n | min–1 | Engine speed | np | s–1 | PDP speed | nhi | min–1 | High engine speed | nlo | min–1 | Low engine speed | nref | min–1 | Reference engine speed for ETC test | pa | kPa | Saturation vapour pressure of the engine intake air | pb | kPa | Total atmospheric pressure | pd | kPa | Saturation vapour pressure of the dilution air | pp | kPa | Absolute pressure | pr | kPa | Water vapour pressure after cooling bath | ps | kPa | Dry atmospheric pressure | p1 | kPa | Pressure depression at pump inlet | P(a) | kW | Power absorbed by auxiliaries to be fitted for test | P(b) | kW | Power absorbed by auxiliaries to be removed for test | P(n) | kW | Net power non-corrected | P(m) | kW | Power measured on test bed | qmaw | kg/h or kg/s | Intake air mass flow rate on wet basis | qmad | kg/h or kg/s | Intake air mass flow rate on dry basis | qmdw | kg/h or kg/s | Dilution air mass flow rate on wet basis | qmdew | kg/h or kg/s | Diluted exhaust gas mass flow rate on wet basis | qmdew,i | kg/s | Instantaneous CVS flow rate mass on wet basis | qmedf | kg/h or kg/s | Equivalent diluted exhaust gas mass flow rate on wet basis | qmew | kg/h or kg/s | Exhaust gas mass flow rate on wet basis | qmf | kg/h or kg/s | Fuel mass flow rate | qmp | kg/h or kg/s | Particulate sample mass flow rate | qvs | dm3/min | Sample flow rate into analyser bench | qvt | cm3/min | Tracer gas flow rate | Ω | — | Bessel constant | Qs | m3/s | PDP/CFV-CVS volume flow rate | QSSV | m3/s | SSV-CVS volume flow rate | ra | — | Ratio of cross sectional areas of isokinetic probe and exhaust pipe | rd | — | Dilution ratio | rD | — | Diameter ratio of SSV-CVS | rp | — | Pressure ratio of SSV-CVS | rs | — | Sample ratio | Rf | — | FID response factor | ρ | kg/m3 | density | S | kW | Dynamometer setting | Si | m–1 | Instantaneous smoke value | Sλ | — | λ-shift factor | T | K | Absolute temperature | Ta | K | Absolute temperature of the intake air | t | s | Measuring time | te | s | Electrical response time | tf | s | Filter response time for Bessel function | tp | s | Physical response time | Δt | s | Time interval between successive smoke data (= 1/sampling rate) | Δti | s | Time interval for instantaneous CVS flow | τ | % | Smoke transmittance | u | — | Ratio between densities of gas component and exhaust gas | V0 | m3/rev | PDP gas volume pumped per revolution | Vs | l | System volume of analyser bench | W | — | Wobbe index | Wact | kWh | Actual cycle work of ETC | Wref | kWh | Reference cycle work of ETC | WF | — | Weighting factor | WFE | — | Effective weighting factor | X0 | m3/rev | Calibration function of PDP volume flow rate | Yi | m–1 | 1 s Bessel averaged smoke value | (c) | Former sections 2.32.2 and 2.32.3 become sections 2.2.2 and 2.2.3 respectively. | (d) | The following sections 2.2.4 and 2.2.5 are added:‘2.2.4.   Symbols for the fuel compositionwALFhydrogen content of fuel, % masswBETcarbon content of fuel, % masswGAMsulphur content of fuel, % masswDELnitrogen content of fuel, % masswEPSoxygen content of fuel, % massαmolar hydrogen ratio (H/C)βmolar carbon ratio (C/C)γmolar sulphur ratio (S/C)δmolar nitrogen ratio (N/C)εmolar oxygen ratio (O/C)referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.2.2.5.   Standards referenced by this DirectiveISO 15031-1ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.ISO 15031-2ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.ISO 15031-3ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.SAE J1939-13SAE J1939-13: Off-Board Diagnostic Connector.ISO 15031-4ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.SAE J1939-73SAE J1939-73: Application Layer – Diagnostics.ISO 15031-5ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.ISO 15031-6ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.SAE J2012SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.ISO 15031-7ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.SAE J2186SAE J2186: E/E Data Link Security, dated October 1996.ISO 15765-4ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.SAE J1939SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.ISO 16185ISO 16185: 2000 Road vehicles – Engine family for homologation.ISO 2575ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.ISO 16183ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’ | wALF | hydrogen content of fuel, % mass | wBET | carbon content of fuel, % mass | wGAM | sulphur content of fuel, % mass | wDEL | nitrogen content of fuel, % mass | wEPS | oxygen content of fuel, % mass | α | molar hydrogen ratio (H/C) | β | molar carbon ratio (C/C) | γ | molar sulphur ratio (S/C) | δ | molar nitrogen ratio (N/C) | ε | molar oxygen ratio (O/C) | referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel. | ISO 15031-1 | ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information. | ISO 15031-2 | ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms. | ISO 15031-3 | ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use. | SAE J1939-13 | SAE J1939-13: Off-Board Diagnostic Connector. | ISO 15031-4 | ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment. | SAE J1939-73 | SAE J1939-73: Application Layer – Diagnostics. | ISO 15031-5 | ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services. | ISO 15031-6 | ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions. | SAE J2012 | SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002. | ISO 15031-7 | ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security. | SAE J2186 | SAE J2186: E/E Data Link Security, dated October 1996. | ISO 15765-4 | ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems. | SAE J1939 | SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network. | ISO 16185 | ISO 16185: 2000 Road vehicles – Engine family for homologation. | ISO 2575 | ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales. | ISO 16183 | ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’ | (e) | Section 3.1.1 is replaced by the following:3.1.1.   The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the engine manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’ | (f) | Section 3.2.1 is replaced by the following:3.2.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’ | (g) | The following section 3.2.3 is added:3.2.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’ | (h) | Section 3.3.1 is replaced by the following:3.3.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.’ | (i) | The following section 3.3.3 is added:3.3.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’ | (j) | The following section 3.4 is added:‘3.4.   On-board diagnostic systemsThe application for approval of an engine equipped with an on-board diagnostic (OBD) system must be accompanied by the information required in section 9 of Appendix 1 to Annex II (description of the parent engine) and/or section 6 of Appendix 3 to Annex II (description of an engine type within the family) together with:3.4.1.1.   Detailed written information fully describing the functional operation characteristics of the OBD system, including a listing of all relevant parts of the engine’s emission control system, i.e. sensors, actuators and components, that are monitored by the OBD system;Where applicable, a declaration by the manufacturer of the parameters that are used as a basis for major functional failure monitoring and, in addition:3.4.1.2.1.   The manufacturer shall provide the technical service with a description of potential failures within the emission control system that will have an effect on emissions. This information shall be subject to discussion and agreement between the technical service and the vehicle manufacturer.3.4.1.3.   Where applicable, a description of the communication interface (hardware and messages) between the engine electronic control unit (EECU) and any other powertrain or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control system.3.4.1.4.   Where appropriate, copies of other type-approvals with the relevant data to enable extensions of approvals.3.4.1.5.   If applicable, the particulars of the engine family as referred to in section 8 of this Annex.3.4.1.6.   The manufacturer must describe provisions taken to prevent tampering with and modification of the EECU or any interface parameter considered in section 3.4.1.3.’ | (k) | In section 5.1.3 the footnote is deleted. | (l) | Section 6.1 is replaced by the following:‘6.1.   General6.1.1.   Emission control equipment6.1.1.1.   The components liable to affect, where appropriate, the emission of gaseous and particulate pollutants from diesel and gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive.The use of a defeat strategy is forbidden.6.1.2.1.   The use of a multi-setting engine is forbidden until appropriate and robust provisions for multi-setting engines are laid down in this Directive(*).6.1.3.   Emission control strategy6.1.3.1.   Any element of design and emission control strategy (ECS) liable to affect the emission of gaseous and particulate pollutants from diesel engines and the emission of gaseous pollutants from gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive. ECS consists of the base emission control strategy (BECS) and usually one or more auxiliary emission control strategies (AECS).6.1.4.   Requirements for base emission control strategy6.1.4.1.   The base emission control strategy (BECS) shall be so designed as to enable the engine, in normal use, to comply with the provisions of this Directive. Normal use is not restricted to the conditions of use as specified in paragraph 6.1.5.4.6.1.5.   Requirements for auxiliary emission control strategy6.1.5.1.   An auxiliary emission control strategy (AECS) may be installed to an engine or on a vehicle provided that the AECS:—operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or—is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.6.1.5.2.   An auxiliary emission control strategy (AECS) that operates within the conditions of use specified in section 6.1.5.4 and which results in the use of a different or modified emission control strategy (ECS) to that normally employed during the applicable emission test cycles will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure does not permanently reduce the effectiveness of the emission control system. In all other cases, such strategy shall be considered to be a defeat strategy.6.1.5.3.   An auxiliary emission control strategy (AECS) that operates outside the conditions of use specified in section 6.1.5.4 will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure is the minimum strategy necessary for the purposes of paragraph 6.1.5.6 with respect to environmental protection and other technical aspects. In all other cases, such a strategy shall be considered to be a defeat strategy.6.1.5.4.   As provided for in section 6.1.5.1, the following conditions of use apply under steady state and transient engine operations:—an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and—an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and—engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).6.1.5.5.   An auxiliary emission control strategy (AECS) may be installed to an engine, or on a vehicle, provided that the operation of the AECS is included in the applicable type-approval test and is activated according to section 6.1.5.6.6.1.5.6.   The AECS is activated:—only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or—for purposes such as operational safety, permanent emission default modes and limp-home strategies,or—for such purposes as excessive emissions prevention, cold start or warming-up,or—if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.6.1.6.   Requirements for torque limiters6.1.6.1.   A torque limiter will be permitted if it complies with the requirements of section 6.1.6.2. or 6.5.5. In all other cases, a torque limiter shall be considered to be a defeat strategy.6.1.6.2.   A torque limiter may be installed to an engine, or on a vehicle, provided that:—the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and—the torque limiter is active only temporarily,and—the torque limiter does not modify the emission control strategy (ECS),and—in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and—is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.6.1.7.   Special requirements for electronic emission control systems6.1.7.1.   Documentation requirementsThe manufacturer shall provide a documentation package that gives access to any element of design and emission control strategy (ECS), and torque limiter of the engine system and the means by which it controls its output variables, whether that control is direct or indirect. The documentation shall be made available in two parts:(a)the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;(b)additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.The additional material shall also contain a justification for the use of any AECS and include additional material and test data to demonstrate the effect on exhaust emissions of any AECS installed to the engine or on the vehicle. The justification for the use of an AECS may be based on test data and/or sound engineering analysis.This additional material shall remain strictly confidential, and be made available to the type-approval authority on request. The type-approval authority will keep this material confidential.6.1.8.   Specifically for the type-approval of engines according to row A of the tables in section 6.2.1 (engines not normally tested on ETC)6.1.8.1.   To verify whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, the type-approval authority and/or the technical service may additionally request a NOxscreening test using the ETC which may be carried out in combination with either the type-approval test or the procedures for checking the conformity of production.6.1.8.2.   In verifying whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, an additional margin of 10 %, related to the appropriate NOxlimit value, shall be accepted.6.1.9.   The transitional provisions for extension of type-approval are given in section 6.1.5 of Annex I to Directive 2001/27/EC.Until the 8 November 2006, the existing approval certificate number will remain valid. In case of extension, only the sequential number to denote the extension base approval number will change as follows:Example for the second extension of the fourth approval corresponding to application date A, issued by Germany:e1*88/77*2001/27A*0004*026.1.10.   Provisions for electronic system security6.1.10.1.   Any vehicle with an Emission Control Unit must include features to deter modification, except as authorised by the manufacturer. The manufacturer shall authorise modifications if these modifications are necessary for the diagnosis, servicing, inspection, retrofitting or repair of the vehicle. Any reprogrammable computer codes or operating parameters must be resistant to tampering and afford a level of protection at least as good as the provisions in ISO 15031-7 (SAE J2186) provided that the security exchange is conducted using the protocols and diagnostic connector as prescribed in section 6 of Annex IV to Directive 2005/78/EC. Any removable calibration memory chips must be potted, encased in a sealed container or protected by electronic algorithms and must not be changeable without the use of specialised tools and procedures.6.1.10.2.   Computer-coded engine operating parameters must not be changeable without the use of specialised tools and procedures (e.g. soldered or potted computer components or sealed (or soldered) computer enclosures).6.1.10.3.   Manufacturers must take adequate steps to protect the maximum fuel delivery setting from tampering while a vehicle is in-service.6.1.10.4.   Manufacturers may apply to the approval authority for an exemption from one of these requirements for those vehicles that are unlikely to require protection. The criteria that the approval authority will evaluate in considering an exemption will include, but are not limited to, the current availability of performance chips, the high-performance capability of the vehicle and the projected sales volume of the vehicle.6.1.10.5.   Manufacturers using programmable computer code systems (e.g. electrical erasable programmable read-only memory, EEPROM) must deter unauthorised reprogramming. Manufacturers must include enhanced tamper-protection strategies and write protect features requiring electronic access to an off-site computer maintained by the manufacturer. Alternative methods giving an equivalent level of tamper protection may be approved by the authority.(*)The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive.”(**)Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”.”(***)This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’

                                                      ” | — | operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or | — | is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes. | — | an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and | — | an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and | — | engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C). | — | only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or | — | for purposes such as operational safety, permanent emission default modes and limp-home strategies,or | — | for such purposes as excessive emissions prevention, cold start or warming-up,or | — | if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents. | — | the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and | — | the torque limiter is active only temporarily,and | — | the torque limiter does not modify the emission control strategy (ECS),and | — | in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and | — | is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system. | (a) | the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex; | (b) | additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex. | (m) | The introductory part of Section 6.2 is replaced by the following:‘6.2.   Specifications Concerning the Emission of Gaseous and Particulate Pollutants and SmokeFor type approval to row A of the tables in section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including deNOxcatalysts and/or particulate traps, shall additionally be tested on the ETC test.For type approval testing to either row B1 or B2 or row C of the tables in section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests.For gas engines, the gaseous emissions shall be determined on the ETC test.The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3.The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system.Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions, only the full flow dilution system or the partial flow dilution system meeting the requirements of ISO 16183 are recognised as equivalent reference systems. “Results” refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency of the sample pair averages shall be determined byF-test andt-test statistics as described in Appendix 4 to this Annex obtained under these laboratory, test cell and engine conditions. Outliers shall be determined in accordance with ISO 5725 and excluded from the database. 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.’ | (n) | The following sections 6.3, 6.4 and 6.5 are added:‘6.3.   Durability and deterioration factors6.3.1.   For the purposes of this Directive, the manufacturer shall determine deterioration factors that will be used to demonstrate that the gaseous and particulate emissions of an engine family or engine-aftertreatment system family remain in conformity with the appropriate emission limits specified in the tables in section 6.2.1 of this Annex over the appropriate durability period laid down in Article 3 to this Directive.6.3.2.   The procedures for demonstrating the compliance of an engine or engine-aftertreatment system family with the relevant emission limits over the appropriate durability period are given in Annex II to Directive 2005/78/EC.6.4.   On-Board Diagnostic (OBD) system6.4.1.   As laid down in Articles 4(1) and 4(2) of this Directive, diesel engines or vehicles equipped with a diesel engine must be fitted with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.As laid down in Article 4(2) of this Directive, gas engines or vehicles equipped with a gas engine must be fitted, with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.6.4.2.   Small batch engine productionAs an alternative to the requirements of this section, engine manufacturers whose world-wide annual production of a type of engine, belonging to an OBD engine family,—is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;—is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.The type-approval authority must inform the Commission of the circumstances of each type-approval granted under this provision.6.5.   Requirements to ensure correct operation of NOxcontrol measures(*)6.5.1.   General6.5.1.1.   This section is applicable to all engine systems irrespective of the technology used to comply with the emission limit values given in the tables in section 6.2.1 of this Annex.6.5.1.2.   Application datesThe Requirements of sections 6.5.3, 6.5.4 and 6.5.5 shall apply from 1 October 2006 for new type approvals and from 1 October 2007 for all registrations of new vehicles.6.5.1.3.   Any engine system covered by this section shall be designed, constructed and installed so as to be capable of meeting these requirements over the useful life of the engine.6.5.1.4.   Information that fully describes the functional operational characteristics of an engine system covered by this section shall be provided by the manufacturer in Annex II to this Directive.6.5.1.5.   In its application for type-approval, if the engine system requires a reagent, the manufacturer shall specify the characteristics of all reagent(s) consumed by any exhaust aftertreatment system, e.g. type and concentrations, operational temperature conditions, reference to international standards etc.6.5.1.6.   With reference to section 6.1, any engine system covered by this section shall retain its emission control function during all conditions regularly pertaining in the territory of the European Union, especially at low ambient temperatures.6.5.1.7.   For the purpose of type-approval, the manufacturer shall demonstrate to the Technical Service that for engine systems that require a reagent, any emission of ammonia does not exceed, over the applicable emissions test cycle, a mean value of 25 ppm.6.5.1.8.   For engine systems requiring a reagent, each separate reagent tank installed on a vehicle shall include a means for taking a sample of any fluid inside the tank. The sampling point shall be easily accessible without the use of any specialised tool or device.6.5.2.   Maintenance requirements6.5.2.1.   The manufacturer shall furnish or cause to be furnished to all owners of new heavy-duty vehicles or new heavy-duty engines written instructions that shall state that if the vehicle emission control system is not functioning correctly, the driver shall be informed of a problem by the malfunction indicator (MI) and the engine shall consequentially operate with a reduced performance.6.5.2.2.   The instructions will indicate requirements for the proper use and maintenance of vehicles, including where relevant the use of consumable reagents.6.5.2.3.   The instructions shall be written in clear and non-technical language and in the language of the country in which a new heavy-duty vehicle or new heavy-duty engine is sold or registered.6.5.2.4.   The instructions shall specify if consumable reagents have to be refilled by the vehicle operator between normal maintenance intervals and shall indicate a likely rate of reagent consumption according to the type of new heavy-duty vehicle.6.5.2.5.   The instructions shall specify that use of and refilling of a required reagent of the correct specifications when indicated is mandatory for the vehicle to comply with the certificate of conformity issued for that vehicle or engine type.6.5.2.6.   The instructions shall state that it may be a criminal offence to use a vehicle that does not consume any reagent if it is required for the reduction of pollutant emissions and that, in consequence, any favourable conditions for the purchase or operation of the vehicle obtained in the country of registration or other country in which the vehicle is used may become invalid.6.5.3.   Engine system NOxcontrol6.5.3.1.   Incorrect operation of the engine system with respect to NOxemissions control (for example due to lack of any required reagent, incorrect EGR flow or deactivation of EGR) shall be determined through monitoring of the NOxlevel by sensors positioned in the exhaust stream.6.5.3.2.   Engine systems shall be equipped with a method for determining the NOxlevel in the exhaust stream. Any deviation in NOxlevel more than 1,5 g/kwh above the applicable limit value given in table I of section 6.2.1 of Annex I to this Directive, shall result in the driver being informed by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC).6.5.3.3.   In addition, a non-erasable fault code identifying the reason why NOxexceeds the levels specified in the paragraph above shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for at least 400 days or 9 600 hours of engine operation.6.5.3.4.   If the NOxlevel exceeds the OBD threshold limit values given in the table in Article 4(3) of this Directive(**), a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle. When the torque limiter is activated the driver shall continue to be alerted according to the requirements of section 6.5.3.2.6.5.3.5.   In the case of engine systems that rely on the use of EGR and no other aftertreatment system for NOxemissions control, the manufacturer may utilise an alternative method to the requirements of paragraph 6.5.3.1 for the determination of the NOxlevel. At the time of type approval the manufacturer shall demonstrate that the alternative method is equally timely and accurate in determining the NOxlevel compared to the requirements of paragraph 6.5.3.1 and that it triggers the same consequences as those referred to in sections 6.5.3.2, 6.5.3.3 and 6.5.3.4.6.5.4.   Reagent control6.5.4.1.   For vehicles that require the use of a reagent to fulfil the requirements of this section, the driver shall be informed of the level of reagent in the on-vehicle reagent storage tank through a specific mechanical or electronic indication on the vehicle’s dashboard. This shall include a warning when the level of reagent goes:—below 10 % of the tank or a higher percentage at the choice of the manufacturer,or—below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.The reagent indicator shall be placed in close proximity to the fuel level indicator.6.5.4.2.   The driver shall be informed, according to the requirements of section 3.6.5 of Annex IV to Directive 2005/78/EC, if the reagent tank becomes empty.6.5.4.3.   As soon as the reagent tank becomes empty, the requirements of section 6.5.5 shall apply in addition to the requirements of section 6.5.4.2.6.5.4.4.   A manufacturer may choose to comply with the sections 6.5.4.5 to 6.5.4.13 as an alternative to complying with the requirements of section 6.5.3.6.5.4.5.   Engine systems shall include a means of determining that a fluid corresponding to the reagent characteristics declared by the manufacturer and recorded in Annex II to this Directive is present on the vehicle.6.5.4.6.   If the fluid in the reagent tank does not correspond to the minimum requirements declared by the manufacturer as recorded in Annex II to this Directive the additional requirements of section 6.5.4.13 shall apply.6.5.4.7.   Engine systems shall include a means for determining reagent consumption and providing off-board access to consumption information.6.5.4.8.   Average reagent consumption and average demanded reagent consumption by the engine system either over the previous complete 48 hour period of engine operation or the period needed for a demanded reagent consumption of at least 15 litres, whichever is longer, shall be available via the serial port of the standard diagnostic connector (see section 6.8.3 of Annex IV to Directive 2005/78/EC).6.5.4.9.   In order to monitor reagent consumption, at least the following parameters within the engine shall be monitored:—level of reagent in on-vehicle storage tank,—flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.6.5.4.10.   Any deviation more than 50 % in average reagent consumption and average demanded reagent consumption by the engine system over the period defined in section 6.5.4.8 shall result in application of the measures laid down in paragraph 6.5.4.13.6.5.4.11.   In the case of interruption in reagent dosing activity the measures laid down in paragraph 6.5.4.13 shall apply. This is not required where such interruption is demanded by the engine ECU because engine operating conditions are such that the engine’s emission performance does not require reagent dosing, provided that the manufacturer has clearly informed the approval authority when such operating conditions apply.6.5.4.12.   If the NOxlevel exceeds 7,0 g/kWh on the ETC test cycle the measures laid down in section 6.5.4.13 shall apply.6.5.4.13.   Where reference is made to this section, the driver shall be alerted by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC) and a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle.A non-erasable fault code identifying the reason for torque limiter activation shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for a minimum of 400 days or 9 600 hours of engine operation.6.5.5.   Measures to discourage tampering of exhaust aftertreatment systems6.5.5.1.   Any engine system covered by this section shall include a torque limiter that will alert the driver that the engine system is operating incorrectly or the vehicle is being operated in an incorrect manner and thereby encourage the prompt rectification of any fault(s).6.5.5.2.   The torque limiter shall be activated when the vehicle becomes stationary for the first time after the conditions of either sections 6.5.3.4, 6.5.4.3, 6.5.4.6, 6.5.4.10, 6.5.4.11 or 6.5.4.12 have occurred.6.5.5.3.   Where the torque limiter comes into effect, the engine torque shall not, in any case, exceed a constant value of:—60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,—75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.6.5.5.4.   The scheme of torque limitation is set out in sections 6.5.5.5 to 6.5.5.6.6.5.5.5.   Detailed written information fully describing the functional operation characteristics of the torque limiter shall be specified according to the documentation requirements of section 6.1.7.1 of this Annex.6.5.5.6.   The torque limiter shall be deactivated when the engine speed is at idle if the conditions for its activation have ceased to exist. The torque limiter shall not be automatically deactivated without the reason for its activation being remedied.6.5.5.7.   Demonstration of torque limiter6.5.5.7.1.   As part of the application for type-approval provided for in section 3 of this Annex, the manufacturer shall demonstrate the operation of the torque limiter either by tests on an engine dynamometer or by a vehicle test.6.5.5.7.2.   If an engine dynamometer test is to be carried out the manufacturer shall run consecutive ETC test cycles in order to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.6.5.5.7.3.   If a vehicle test is to be carried out, the vehicle shall be driven over the road or test track to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.(*)The Commission intends to review this section by 31 December 2006.”(**)The Commission intends to review those values by 31 December 2005.’

                                                ” | — | is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure; | — | is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity. | — | below 10 % of the tank or a higher percentage at the choice of the manufacturer,or | — | below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer. | — | level of reagent in on-vehicle storage tank, | — | flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system. | — | 60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons, | — | 75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons. | (o) | Section 8.1 is replaced by the following:‘8.1.   Parameters defining the engine familyThe engine family, as determined by the engine manufacturer must comply with the provisions of ISO 16185.’ | (p) | The following section 8.3 is added:‘8.3.   Parameters for defining an OBD-engine familyThe OBD-engine family may be defined by basic design parameters that must be common to engine systems within the family.In order that engine systems may be considered to belong to the same OBD-engine family, the following list of basic parameters must be common,—the methods of OBD monitoring,—the methods of malfunction detection.unless these methods have been shown as equivalent by the manufacturer by means of relevant engineering demonstration or other appropriate procedures.Note:engines that do not belong to the same engine family may still belong to the same OBD-engine family provided the above mentioned criteria are satisfied.’ | — | the methods of OBD monitoring, | — | the methods of malfunction detection. | (q) | Section 9.1 is replaced by the following:9.1.   Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. In applying Appendices 1, 2 or 3, the measured emission of the gaseous and particulate pollutants from engines subject to checking for conformity of production shall be adjusted by application of the appropriate deterioration factors (DF’s) for that engine as recorded in section 1.5 of the Appendix to Annex VI.Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer.’ | (r) | The following section 9.1.2 is added:‘9.1.2.   On-Board Diagnostics (OBD)9.1.2.1.   If a verification of the conformity of production of the OBD system is to be carried out, it must be conducted in accordance with the following:9.1.2.2.   When the approval authority determines that the quality of production seems unsatisfactory an engine is randomly taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on an engine that has been run-in up to a maximum of 100 hours.9.1.2.3.   The production is deemed to conform if this engine meets the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.9.1.2.4   If the engine taken from the series does not satisfy the requirements of section 9.1.2.2, a further random sample of four engines must be taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on engines that have been run-in up to a maximum of 100 hours.9.1.2.5.   The production is deemed to conform if at least three engines out of the further random sample of four engines meet the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.’ | (s) | The following section 10 is added:‘10.   CONFORMITY OF IN-SERVICE VEHICLES/ENGINES10.1.   For the purpose of this Directive, the conformity of in-service vehicles/engines must be checked periodically over the useful life period of an engine installed in a vehicle.10.2.   With reference to type-approvals granted for emissions, additional measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use.10.3.   The procedures to be followed regarding the conformity of in-service vehicles/engines are given in Annex III to Directive 2005/78/EC.’ | (t) | Appendix 1, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’ | L | = | the natural logarithm of the limit value for the pollutant | xi | = | the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample | s | = | an estimate of the production standard deviation (after taking the natural logarithm of the measurements) | n | = | the current sample number.’ | (u) | In Appendix 2, section 3 and the introductory phrase of section 4 are replaced by the following:3.   The values of the pollutants given in section 6.2.1 of Annex I, after having applied the relevant DF, are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m0and m denote the minimum and maximum sample size respectively (m0= 3 and m = 32) and let n denote the current sample number.4.   If the natural logarithms of the measured values (after having applied the relevant DF) in the series are x1, x2, … xiand L is the natural logarithm of the limit value for the pollutant, then, define:’ | (v) | In Appendix 3, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’ | L | = | the natural logarithm of the limit value for the pollutant | xi | = | the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample | s | = | an estimate of the production standard deviation (after taking the natural logarithm of the measurements) | n | = | the current sample number.’ | (w) | A following Appendix 4 is added:‘Appendix 4DETERMINATION OF SYSTEM EQUIVALENCEThe determination of system equivalency according to section 6.2 of this Annex shall be based on a 7 sample pair (or larger) correlation study between the candidate system and one of the accepted reference systems of this Directive using the appropriate test cycle(s). The equivalency criteria to be applied shall be the F-test and the two-sided Student t-test.This statistical method examines the hypothesis that the population standard deviation and mean value for an emission measured with the candidate system do not differ from the standard deviation and population mean value for that emission measured with the reference system. The hypothesis shall be tested on the basis of a 5 % significance level of the F and t values. The critical F and t values for 7 to 10 sample pairs are given in the table below. If the F and t values calculated according to the formulae below are greater than the critical F and t values, the candidate system is not equivalent.The following procedure shall be followed. The subscripts R and C refer to the reference and candidate system, respectively:(a)Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.(b)Calculate the mean values xRand xCand the standard deviations sRand sC.(c)Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)(d)Calculate the t value, as follows:Text of image(e)Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.(f)Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101(g)Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’ | (a) | Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC. | (b) | Calculate the mean values xRand xCand the standard deviations sRand sC. | (c) | Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator) | (d) | Calculate the t value, as follows:Text of image | (e) | Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level. | (f) | Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101 | for the F-test | : | df = nR– 1 / nC– 1 | for the t-test | : | df = nC+ nR– 2 | Sample Size | F-test | t-test |  | df | Fcrit | df | tcrit | 7 | 6/6 | 4,284 | 12 | 2,179 | 8 | 7/7 | 3,787 | 14 | 2,145 | 9 | 8/8 | 3,438 | 16 | 2,120 | 10 | 9/9 | 3,179 | 18 | 2,101 | (g) | Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’ | — | if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive, | — | if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

(a) | Section 1 is replaced by the following:‘1.   SCOPEThis Directive applies to the control of gaseous and particulate pollutants, useful life of emission control devices, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants, useful life, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with positive-ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive-ignition engines as specified in Article 1 with the exception of compression-ignition engines of those vehicles of category N1, N2and M2and of positive-ignition engines fuelled with natural gas or LPG of those vehicles of category N1for which type-approval has been granted under Council Directive 70/220/EEC(*).(*)OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29).’

                                          “

(b) | In section 2, the title and sections 2.1 to 2.32.1 are replaced by the following:‘2.   DEFINITIONS2.1.   For the purposes of this Directive, the following definitions shall apply:“approval of an engine (engine family)” means the approval of an engine type (engine family) with regard to the level of the emission of gaseous and particulate pollutants;“auxiliary emission control strategy (AECS)” means an emission control strategy that becomes active or that modifies the base emission control strategy for a specific purpose or purposes and in response to a specific set of ambient and/or operating conditions, e.g. vehicle speed, engine speed, gear used, intake temperature, or intake pressure;“base emission control strategy (BECS)” means an emission control strategy that is active throughout the speed and load operating range of the engine unless an AECS is activated. Examples for BECS are, but are not limited to:—engine timing map,—EGR map,—SCR catalyst reagent dosing map;“combined deNOx-particulate filter” means an exhaust aftertreatment system designed to concurrently reduce emissions of oxides of nitrogen (NOx) and particulate pollutants (PT);“continuous regeneration” means the regeneration process of an exhaust aftertreatment system that occurs either permanently or at least once per ETC test. Such a regeneration process will not require a special test procedure;“control area” means the area between the engine speeds A and C and between 25 to 100 per cent load;“declared maximum power (Pmax)” means the maximum power in EC kW (net power) as declared by the manufacturer in his application for type-approval;“defeat strategy” means:—an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or—a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,“deNOxsystem” means an exhaust aftertreatment system designed to reduce emissions of oxides of nitrogen (NOx) (e.g. there are presently passive and active lean NOxcatalysts, NOxadsorbers and Selective Catalytic Reduction (SCR) systems);“delay time” means the time between the change of the component to be measured at the reference point and a system response of 10 % of the final reading (t10). For the gaseous components, this is basically the transport time of the measured component from the sampling probe to the detector. For the delay time, the sampling probe is defined as the reference point;“diesel engine” means an engine which works on the compression-ignition principle;“ELR test” means a test cycle consisting of a sequence of load steps at constant engine speeds to be applied in accordance with section 6.2 of this Annex;“ESC test” means a test cycle consisting of 13 steady state modes to be applied in accordance with section 6.2 of this Annex;“ETC test” means a test cycle consisting of 1 800 second-by-second transient modes to be applied in accordance with section 6.2 of this Annex;“element of design” means in respect of a vehicle or engine,—any control system, including computer software, electronic control systems and computer logic,—any control system calibrations,—the result of systems interaction,or—any hardware items,“emissions-related defect” means a deficiency or deviation from normal production tolerances in design, materials or workmanship in a device, system or assembly that affects any parameter, specification or component belonging to the emission control system. A missing component may be considered to be an “emissions-related defect”;“emission control strategy (ECS)” means an element or set of elements of design that is incorporated into the overall design of an engine system or vehicle for the purposes of controlling exhaust emissions that includes one BECS and one set of AECS;“emission control system” means the exhaust aftertreatment system, the electronic management controller(s) of the engine system and any emission-related component of the engine system in the exhaust which supplies an input to or receives an output from this(these) controller(s), and when applicable the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit with respect to emissions management;“engine-aftertreatment system family” means, for testing over a service accumulation schedule to establish deterioration factors according to Annex II to Commission Directive 2005/78/EC implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto(**)and for checking the conformity of in-service vehicles/engines according to Annex III to Directive 2005/78/EC, a manufacturer’s grouping of engines that comply with the definition of engine family but which are further grouped into engines utilising a similar exhaust after-treatment system;“engine system” means the engine, the emission control system and the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other powertrain or vehicle control unit;“engine family” means a manufacturers grouping of engine systems which, through their design as defined in Annex II, Appendix 2 to this Directive, have similar exhaust emission characteristics; all members of the family must comply with the applicable emission limit values;“engine operating speed range” means the engine speed range, most frequently used during engine field operation, which lies between the low and high speeds, as set out in Annex III to this Directive;“engine speeds A, B and C” means the test speeds within the engine operating speed range to be used for the ESC test and the ELR test, as set out in Annex III, Appendix 1 to this Directive;“engine setting” means a specific engine/vehicle configuration that includes the emission control strategy (ECS), one single engine performance rating (the type-approved full-load curve) and, if used, one set of torque limiters;“engine type” means a category of engines which do not differ in such essential respects as engine characteristics as defined in Annex II to this Directive;“exhaust aftertreatment system” means a catalyst (oxidation or 3-way), particulate filter, deNOxsystem, combined deNOxparticulate filter or any other emission-reducing device that is installed downstream of the engine. This definition excludes exhaust gas recirculation, which, where fitted, is considered an integral part of the engine system;“gas engine” means a positive-ignition engine which is fuelled with natural gas (NG) or liquefied petroleum gas (LPG);“gaseous pollutants” means carbon monoxide, hydrocarbons (assuming a ratio of CH1,85for diesel, CH2,525for LPG and CH2,93for NG (NMHC) and an assumed molecule CH3O0,5for ethanol-fuelled diesel engines), methane (assuming a ratio of CH4for NG) and oxides of nitrogen, the last-named being expressed in nitrogen dioxide (NO2) equivalent;“high speed (nhi)” means the highest engine speed where 70 % of the declared maximum power occurs;“low speed (nlo)” means the lowest engine speed where 50 % of the declared maximum power occurs;“major functional failure”(***)means a permanent or temporary malfunction of any exhaust aftertreatment system that is expected to result in an immediate or delayed increase of the gaseous or particulate emissions of the engine system and which cannot be properly estimated by the OBD system;“malfunction” means:—any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,—any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.A manufacturer may nevertheless consider a deterioration or failure that would result in emissions not exceeding the OBD threshold limits as a malfunction;“malfunction indicator (MI)” means a visual indicator that clearly informs the driver of the vehicle in the event of a malfunction in the sense of this Directive;“multi-setting engine” means an engine containing more than one engine setting;“NG gas range” means one of the H or L range as defined in European Standard EN 437, dated November 1993;“net power” means the power in EC kW obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EC method of measuring power as set out in Commission Directive 80/1269/EEC(****);“OBD” means an on-board diagnostic system for emission control, which has the capability of detecting the occurrence of a malfunction and of identifying the likely area of malfunction by means of fault codes stored in computer memory;“OBD-engine family” means, for type-approval of the OBD system according to the requirements of Annex IV to Directive 2005/78/EC, a manufacturer’s grouping of engine systems having common OBD system design parameters according to section 8 of this Annex;“opacimeter” means an instrument designed to measure the opacity of smoke particles by means of the light extinction principle;“parent engine” means an engine selected from an engine family in such a way that its emissions characteristics will be representative for that engine family;“particulate aftertreatment device” means an exhaust aftertreatment system designed to reduce emissions of particulate pollutants (PT) through a mechanical, aerodynamic, diffusional or inertial separation;“particulate pollutants” means any material collected on a specified filter medium after diluting the exhaust with clean filtered air so that the temperature does not exceed 325 K (52 °C);“per cent load” means the fraction of the maximum available torque at an engine speed;“periodic regeneration” means the regeneration process of an emission control device that occurs periodically in less than 100 hours of normal engine operation. During cycles where regeneration occurs, emission standards can be exceeded.“permanent emission default mode” means an AECS activated in the case of a malfunction of the ECS detected by the OBD system that results in the MI being activated and that does not require an input from the failed component or system;“power take-off unit” means an engine-driven output device for the purposes of powering auxiliary, vehicle mounted, equipment;“reagent” means any medium that is stored on-board the vehicle in a tank and provided to the exhaust aftertreatment system (if required) upon request of the emission control system;“recalibration” means a fine tuning of an NG engine in order to provide the same performance (power, fuel consumption) in a different range of natural gas;“reference speed (nref)” means the 100 per cent speed value to be used for denormalising the relative speed values of the ETC test, as set out in Annex III, Appendix 2 to this Directive;“response time” means the difference in time between a rapid change of the component to be measured at the reference point and the appropriate change in the response of the measuring system whereby the change of the measured component is at least 60 % FS and takes place in less than 0,1 second. The system response time (t90) consists of the delay time to the system and of the rise time of the system (see also ISO 16183);“rise time” means the time between the 10 % and 90 % response of the final reading (t90–t10). This is the instrument response after the component to be measured has reached the instrument. For the rise time, the sampling probe is defined as the reference point;“self adaptability” means any engine device allowing the air/fuel ratio to be kept constant;“smoke” means particles suspended in the exhaust stream of a diesel engine which absorb, reflect, or refract light;“test cycle” means a sequence of test points each with a defined speed and torque to be followed by the engine under steady state (ESC test) or transient operating conditions (ETC, ELR test);“torque limiter” means a device that temporarily limits the maximum torque of the engine;“transformation time” means the time between the change of the component to be measured at the sampling probe and a system response of 50 % of the final reading (t50). The transformation time is used for the signal alignment of different measurement instruments;“useful life” means, for vehicles and engines that are type-approved to either row B1, row B2 or row C of the table given in section 6.2.1 of this Annex, the relevant period of distance and/or time that is defined in Article 3 (durability of emission control systems) of this Directive over which compliance with the relevant gaseous, particulate and smoke emission limits has to be assured as part of the type-approval;“Wobbe Index (lower Wl; or upper Wu)” means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions:Text of image“λ-shift factor (Sλ)” means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane (see Annex VII for the calculation of Sλ).2.2.   Symbols, abbreviations and international standards2.2.1.   Symbols for test parametersSymbolUnitTermApm2Cross sectional area of the isokinetic sampling probeAem2Cross sectional area of the exhaust pipecppm/vol. %ConcentrationCd—Discharge coefficient of SSV-CVSC1—Carbon 1 equivalent hydrocarbondmDiameterD0m3/sIntercept of PDP calibration functionD—Dilution factorD—Bessel function constantE—Bessel function constantEE—Ethane efficiencyEM—Methane efficiencyEZg/kWhInterpolated NOxemission of the control pointf1/sFrequencyfa—Laboratory atmospheric factorfcs–1Bessel filter cut-off frequencyFs—Stoichiometric factorHMJ/m3Calorific valueHag/kgAbsolute humidity of the intake airHdg/kgAbsolute humidity of the dilution airi—Subscript denoting an individual mode or instantaneous measurementK—Bessel constantkm–1Light absorption coefficientkfFuel specific factor for dry to wet correctionkh,D—Humidity correction factor for NOxfor diesel engineskh,G—Humidity correction factor for NOxfor gas enginesKVCFV calibration functionkW,a—Dry to wet correction factor for the intake airkW,d—Dry to wet correction factor for the dilution airkW,e—Dry to wet correction factor for the diluted exhaust gaskW,r—Dry to wet correction factor for the raw exhaust gasL%Percent torque related to the maximum torque for the test engineLamEffective optical path lengthMrag/molMolecular mass of the intake airMreg/molMolecular mass of the exhaustmdkgMass of the dilution air sample passed through the particulate sampling filtersmedkgTotal diluted exhaust mass over the cyclemedfkgMass of equivalent diluted exhaust over the cyclemewkgTotal exhaust mass over the cyclemfmgParticulate sample mass collectedmf,dmgParticulate sample mass of the dilution air collectedmgasg/h or gGaseous emissions mass flow (rate)msekgSample mass over the cyclemsepkgMass of the diluted exhaust sample passed through the particulate sampling filtersmsetkgMass of the double diluted exhaust sample passed through the particulate sampling filtersmssdkgMass of secondary dilution airN%OpacityNP—Total revolutions of PDP over the cycleNP,i—Revolutions of PDP during a time intervalnmin–1Engine speednps–1PDP speednhimin–1High engine speednlomin–1Low engine speednrefmin–1Reference engine speed for ETC testpakPaSaturation vapour pressure of the engine intake airpbkPaTotal atmospheric pressurepdkPaSaturation vapour pressure of the dilution airppkPaAbsolute pressureprkPaWater vapour pressure after cooling bathpskPaDry atmospheric pressurep1kPaPressure depression at pump inletP(a)kWPower absorbed by auxiliaries to be fitted for testP(b)kWPower absorbed by auxiliaries to be removed for testP(n)kWNet power non-correctedP(m)kWPower measured on test bedqmawkg/h or kg/sIntake air mass flow rate on wet basisqmadkg/h or kg/sIntake air mass flow rate on dry basisqmdwkg/h or kg/sDilution air mass flow rate on wet basisqmdewkg/h or kg/sDiluted exhaust gas mass flow rate on wet basisqmdew,ikg/sInstantaneous CVS flow rate mass on wet basisqmedfkg/h or kg/sEquivalent diluted exhaust gas mass flow rate on wet basisqmewkg/h or kg/sExhaust gas mass flow rate on wet basisqmfkg/h or kg/sFuel mass flow rateqmpkg/h or kg/sParticulate sample mass flow rateqvsdm3/minSample flow rate into analyser benchqvtcm3/minTracer gas flow rateΩ—Bessel constantQsm3/sPDP/CFV-CVS volume flow rateQSSVm3/sSSV-CVS volume flow ratera—Ratio of cross sectional areas of isokinetic probe and exhaust piperd—Dilution ratiorD—Diameter ratio of SSV-CVSrp—Pressure ratio of SSV-CVSrs—Sample ratioRf—FID response factorρkg/m3densitySkWDynamometer settingSim–1Instantaneous smoke valueSλ—λ-shift factorTKAbsolute temperatureTaKAbsolute temperature of the intake airtsMeasuring timetesElectrical response timetfsFilter response time for Bessel functiontpsPhysical response timeΔtsTime interval between successive smoke data (= 1/sampling rate)ΔtisTime interval for instantaneous CVS flowτ%Smoke transmittanceu—Ratio between densities of gas component and exhaust gasV0m3/revPDP gas volume pumped per revolutionVslSystem volume of analyser benchW—Wobbe indexWactkWhActual cycle work of ETCWrefkWhReference cycle work of ETCWF—Weighting factorWFE—Effective weighting factorX0m3/revCalibration function of PDP volume flow rateYim–11 s Bessel averaged smoke value(**)OJ L 313, 29.11.2005, p. 1.”(***)Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC.”(****)OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32).’

                                             ” | — | engine timing map, | — | EGR map, | — | SCR catalyst reagent dosing map; | — | an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or | — | a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures, | — | any control system, including computer software, electronic control systems and computer logic, | — | any control system calibrations, | — | the result of systems interaction,or | — | any hardware items, | — | any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits, | — | any case where the OBD system is not able to fulfil the monitoring requirements of this Directive. | Symbol | Unit | Term | Ap | m2 | Cross sectional area of the isokinetic sampling probe | Ae | m2 | Cross sectional area of the exhaust pipe | c | ppm/vol. % | Concentration | Cd | — | Discharge coefficient of SSV-CVS | C1 | — | Carbon 1 equivalent hydrocarbon | d | m | Diameter | D0 | m3/s | Intercept of PDP calibration function | D | — | Dilution factor | D | — | Bessel function constant | E | — | Bessel function constant | EE | — | Ethane efficiency | EM | — | Methane efficiency | EZ | g/kWh | Interpolated NOxemission of the control point | f | 1/s | Frequency | fa | — | Laboratory atmospheric factor | fc | s–1 | Bessel filter cut-off frequency | Fs | — | Stoichiometric factor | H | MJ/m3 | Calorific value | Ha | g/kg | Absolute humidity of the intake air | Hd | g/kg | Absolute humidity of the dilution air | i | — | Subscript denoting an individual mode or instantaneous measurement | K | — | Bessel constant | k | m–1 | Light absorption coefficient | kf |  | Fuel specific factor for dry to wet correction | kh,D | — | Humidity correction factor for NOxfor diesel engines | kh,G | — | Humidity correction factor for NOxfor gas engines | KV |  | CFV calibration function | kW,a | — | Dry to wet correction factor for the intake air | kW,d | — | Dry to wet correction factor for the dilution air | kW,e | — | Dry to wet correction factor for the diluted exhaust gas | kW,r | — | Dry to wet correction factor for the raw exhaust gas | L | % | Percent torque related to the maximum torque for the test engine | La | m | Effective optical path length | Mra | g/mol | Molecular mass of the intake air | Mre | g/mol | Molecular mass of the exhaust | md | kg | Mass of the dilution air sample passed through the particulate sampling filters | med | kg | Total diluted exhaust mass over the cycle | medf | kg | Mass of equivalent diluted exhaust over the cycle | mew | kg | Total exhaust mass over the cycle | mf | mg | Particulate sample mass collected | mf,d | mg | Particulate sample mass of the dilution air collected | mgas | g/h or g | Gaseous emissions mass flow (rate) | mse | kg | Sample mass over the cycle | msep | kg | Mass of the diluted exhaust sample passed through the particulate sampling filters | mset | kg | Mass of the double diluted exhaust sample passed through the particulate sampling filters | mssd | kg | Mass of secondary dilution air | N | % | Opacity | NP | — | Total revolutions of PDP over the cycle | NP,i | — | Revolutions of PDP during a time interval | n | min–1 | Engine speed | np | s–1 | PDP speed | nhi | min–1 | High engine speed | nlo | min–1 | Low engine speed | nref | min–1 | Reference engine speed for ETC test | pa | kPa | Saturation vapour pressure of the engine intake air | pb | kPa | Total atmospheric pressure | pd | kPa | Saturation vapour pressure of the dilution air | pp | kPa | Absolute pressure | pr | kPa | Water vapour pressure after cooling bath | ps | kPa | Dry atmospheric pressure | p1 | kPa | Pressure depression at pump inlet | P(a) | kW | Power absorbed by auxiliaries to be fitted for test | P(b) | kW | Power absorbed by auxiliaries to be removed for test | P(n) | kW | Net power non-corrected | P(m) | kW | Power measured on test bed | qmaw | kg/h or kg/s | Intake air mass flow rate on wet basis | qmad | kg/h or kg/s | Intake air mass flow rate on dry basis | qmdw | kg/h or kg/s | Dilution air mass flow rate on wet basis | qmdew | kg/h or kg/s | Diluted exhaust gas mass flow rate on wet basis | qmdew,i | kg/s | Instantaneous CVS flow rate mass on wet basis | qmedf | kg/h or kg/s | Equivalent diluted exhaust gas mass flow rate on wet basis | qmew | kg/h or kg/s | Exhaust gas mass flow rate on wet basis | qmf | kg/h or kg/s | Fuel mass flow rate | qmp | kg/h or kg/s | Particulate sample mass flow rate | qvs | dm3/min | Sample flow rate into analyser bench | qvt | cm3/min | Tracer gas flow rate | Ω | — | Bessel constant | Qs | m3/s | PDP/CFV-CVS volume flow rate | QSSV | m3/s | SSV-CVS volume flow rate | ra | — | Ratio of cross sectional areas of isokinetic probe and exhaust pipe | rd | — | Dilution ratio | rD | — | Diameter ratio of SSV-CVS | rp | — | Pressure ratio of SSV-CVS | rs | — | Sample ratio | Rf | — | FID response factor | ρ | kg/m3 | density | S | kW | Dynamometer setting | Si | m–1 | Instantaneous smoke value | Sλ | — | λ-shift factor | T | K | Absolute temperature | Ta | K | Absolute temperature of the intake air | t | s | Measuring time | te | s | Electrical response time | tf | s | Filter response time for Bessel function | tp | s | Physical response time | Δt | s | Time interval between successive smoke data (= 1/sampling rate) | Δti | s | Time interval for instantaneous CVS flow | τ | % | Smoke transmittance | u | — | Ratio between densities of gas component and exhaust gas | V0 | m3/rev | PDP gas volume pumped per revolution | Vs | l | System volume of analyser bench | W | — | Wobbe index | Wact | kWh | Actual cycle work of ETC | Wref | kWh | Reference cycle work of ETC | WF | — | Weighting factor | WFE | — | Effective weighting factor | X0 | m3/rev | Calibration function of PDP volume flow rate | Yi | m–1 | 1 s Bessel averaged smoke value

— | engine timing map,

— | EGR map,

— | SCR catalyst reagent dosing map;

— | an AECS that reduces the effectiveness of the emission control relative to the BECS under conditions that may reasonably be expected to be encountered in normal vehicle operation and use,or

— | a BECS that discriminates between operation on a standardised type-approval test and other operations and provides a lesser level of emission control under conditions not substantially included in the applicable type-approval test procedures,

— | any control system, including computer software, electronic control systems and computer logic,

— | any control system calibrations,

— | the result of systems interaction,or

— | any hardware items,

— | any deterioration or failure, including electrical failures, of the emission control system, that would result in emissions exceeding the OBD threshold limits or, when applicable, in failing to reach the range of functional performance of the exhaust aftertreatment system where the emission of any regulated pollutant would exceed the OBD threshold limits,

— | any case where the OBD system is not able to fulfil the monitoring requirements of this Directive.

Symbol | Unit | Term

Ap | m2 | Cross sectional area of the isokinetic sampling probe

Ae | m2 | Cross sectional area of the exhaust pipe

c | ppm/vol. % | Concentration

Cd | — | Discharge coefficient of SSV-CVS

C1 | — | Carbon 1 equivalent hydrocarbon

d | m | Diameter

D0 | m3/s | Intercept of PDP calibration function

D | — | Dilution factor

D | — | Bessel function constant

E | — | Bessel function constant

EE | — | Ethane efficiency

EM | — | Methane efficiency

EZ | g/kWh | Interpolated NOxemission of the control point

f | 1/s | Frequency

fa | — | Laboratory atmospheric factor

fc | s–1 | Bessel filter cut-off frequency

Fs | — | Stoichiometric factor

H | MJ/m3 | Calorific value

Ha | g/kg | Absolute humidity of the intake air

Hd | g/kg | Absolute humidity of the dilution air

i | — | Subscript denoting an individual mode or instantaneous measurement

K | — | Bessel constant

k | m–1 | Light absorption coefficient

kf |  | Fuel specific factor for dry to wet correction

kh,D | — | Humidity correction factor for NOxfor diesel engines

kh,G | — | Humidity correction factor for NOxfor gas engines

KV |  | CFV calibration function

kW,a | — | Dry to wet correction factor for the intake air

kW,d | — | Dry to wet correction factor for the dilution air

kW,e | — | Dry to wet correction factor for the diluted exhaust gas

kW,r | — | Dry to wet correction factor for the raw exhaust gas

L | % | Percent torque related to the maximum torque for the test engine

La | m | Effective optical path length

Mra | g/mol | Molecular mass of the intake air

Mre | g/mol | Molecular mass of the exhaust

md | kg | Mass of the dilution air sample passed through the particulate sampling filters

med | kg | Total diluted exhaust mass over the cycle

medf | kg | Mass of equivalent diluted exhaust over the cycle

mew | kg | Total exhaust mass over the cycle

mf | mg | Particulate sample mass collected

mf,d | mg | Particulate sample mass of the dilution air collected

mgas | g/h or g | Gaseous emissions mass flow (rate)

mse | kg | Sample mass over the cycle

msep | kg | Mass of the diluted exhaust sample passed through the particulate sampling filters

mset | kg | Mass of the double diluted exhaust sample passed through the particulate sampling filters

mssd | kg | Mass of secondary dilution air

N | % | Opacity

NP | — | Total revolutions of PDP over the cycle

NP,i | — | Revolutions of PDP during a time interval

n | min–1 | Engine speed

np | s–1 | PDP speed

nhi | min–1 | High engine speed

nlo | min–1 | Low engine speed

nref | min–1 | Reference engine speed for ETC test

pa | kPa | Saturation vapour pressure of the engine intake air

pb | kPa | Total atmospheric pressure

pd | kPa | Saturation vapour pressure of the dilution air

pp | kPa | Absolute pressure

pr | kPa | Water vapour pressure after cooling bath

ps | kPa | Dry atmospheric pressure

p1 | kPa | Pressure depression at pump inlet

P(a) | kW | Power absorbed by auxiliaries to be fitted for test

P(b) | kW | Power absorbed by auxiliaries to be removed for test

P(n) | kW | Net power non-corrected

P(m) | kW | Power measured on test bed

qmaw | kg/h or kg/s | Intake air mass flow rate on wet basis

qmad | kg/h or kg/s | Intake air mass flow rate on dry basis

qmdw | kg/h or kg/s | Dilution air mass flow rate on wet basis

qmdew | kg/h or kg/s | Diluted exhaust gas mass flow rate on wet basis

qmdew,i | kg/s | Instantaneous CVS flow rate mass on wet basis

qmedf | kg/h or kg/s | Equivalent diluted exhaust gas mass flow rate on wet basis

qmew | kg/h or kg/s | Exhaust gas mass flow rate on wet basis

qmf | kg/h or kg/s | Fuel mass flow rate

qmp | kg/h or kg/s | Particulate sample mass flow rate

qvs | dm3/min | Sample flow rate into analyser bench

qvt | cm3/min | Tracer gas flow rate

Ω | — | Bessel constant

Qs | m3/s | PDP/CFV-CVS volume flow rate

QSSV | m3/s | SSV-CVS volume flow rate

ra | — | Ratio of cross sectional areas of isokinetic probe and exhaust pipe

rd | — | Dilution ratio

rD | — | Diameter ratio of SSV-CVS

rp | — | Pressure ratio of SSV-CVS

rs | — | Sample ratio

Rf | — | FID response factor

ρ | kg/m3 | density

S | kW | Dynamometer setting

Si | m–1 | Instantaneous smoke value

Sλ | — | λ-shift factor

T | K | Absolute temperature

Ta | K | Absolute temperature of the intake air

t | s | Measuring time

te | s | Electrical response time

tf | s | Filter response time for Bessel function

tp | s | Physical response time

Δt | s | Time interval between successive smoke data (= 1/sampling rate)

Δti | s | Time interval for instantaneous CVS flow

τ | % | Smoke transmittance

u | — | Ratio between densities of gas component and exhaust gas

V0 | m3/rev | PDP gas volume pumped per revolution

Vs | l | System volume of analyser bench

W | — | Wobbe index

Wact | kWh | Actual cycle work of ETC

Wref | kWh | Reference cycle work of ETC

WF | — | Weighting factor

WFE | — | Effective weighting factor

X0 | m3/rev | Calibration function of PDP volume flow rate

Yi | m–1 | 1 s Bessel averaged smoke value

(c) | Former sections 2.32.2 and 2.32.3 become sections 2.2.2 and 2.2.3 respectively.

(d) | The following sections 2.2.4 and 2.2.5 are added:‘2.2.4.   Symbols for the fuel compositionwALFhydrogen content of fuel, % masswBETcarbon content of fuel, % masswGAMsulphur content of fuel, % masswDELnitrogen content of fuel, % masswEPSoxygen content of fuel, % massαmolar hydrogen ratio (H/C)βmolar carbon ratio (C/C)γmolar sulphur ratio (S/C)δmolar nitrogen ratio (N/C)εmolar oxygen ratio (O/C)referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.2.2.5.   Standards referenced by this DirectiveISO 15031-1ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.ISO 15031-2ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.ISO 15031-3ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.SAE J1939-13SAE J1939-13: Off-Board Diagnostic Connector.ISO 15031-4ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.SAE J1939-73SAE J1939-73: Application Layer – Diagnostics.ISO 15031-5ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.ISO 15031-6ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.SAE J2012SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.ISO 15031-7ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.SAE J2186SAE J2186: E/E Data Link Security, dated October 1996.ISO 15765-4ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.SAE J1939SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.ISO 16185ISO 16185: 2000 Road vehicles – Engine family for homologation.ISO 2575ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.ISO 16183ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’ | wALF | hydrogen content of fuel, % mass | wBET | carbon content of fuel, % mass | wGAM | sulphur content of fuel, % mass | wDEL | nitrogen content of fuel, % mass | wEPS | oxygen content of fuel, % mass | α | molar hydrogen ratio (H/C) | β | molar carbon ratio (C/C) | γ | molar sulphur ratio (S/C) | δ | molar nitrogen ratio (N/C) | ε | molar oxygen ratio (O/C) | referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel. | ISO 15031-1 | ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information. | ISO 15031-2 | ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms. | ISO 15031-3 | ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use. | SAE J1939-13 | SAE J1939-13: Off-Board Diagnostic Connector. | ISO 15031-4 | ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment. | SAE J1939-73 | SAE J1939-73: Application Layer – Diagnostics. | ISO 15031-5 | ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services. | ISO 15031-6 | ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions. | SAE J2012 | SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002. | ISO 15031-7 | ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security. | SAE J2186 | SAE J2186: E/E Data Link Security, dated October 1996. | ISO 15765-4 | ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems. | SAE J1939 | SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network. | ISO 16185 | ISO 16185: 2000 Road vehicles – Engine family for homologation. | ISO 2575 | ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales. | ISO 16183 | ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’

wALF | hydrogen content of fuel, % mass

wBET | carbon content of fuel, % mass

wGAM | sulphur content of fuel, % mass

wDEL | nitrogen content of fuel, % mass

wEPS | oxygen content of fuel, % mass

α | molar hydrogen ratio (H/C)

β | molar carbon ratio (C/C)

γ | molar sulphur ratio (S/C)

δ | molar nitrogen ratio (N/C)

ε | molar oxygen ratio (O/C)

referring to a fuelCβHαOεNδSγβ= 1 for carbon based fuels,β= 0 for hydrogen fuel.

ISO 15031-1 | ISO 15031-1: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 1: General information.

ISO 15031-2 | ISO/PRF TR 15031-2: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 2: Terms, definitions, abbreviations and acronyms.

ISO 15031-3 | ISO 15031-3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 3: Diagnostic connector and related electrical circuits, specification and use.

SAE J1939-13 | SAE J1939-13: Off-Board Diagnostic Connector.

ISO 15031-4 | ISO DIS 15031-4.3: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 4: External test equipment.

SAE J1939-73 | SAE J1939-73: Application Layer – Diagnostics.

ISO 15031-5 | ISO DIS 15031-5.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 5: Emissions-related diagnostic services.

ISO 15031-6 | ISO DIS 15031-6.4: 2004 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 6: Diagnostic trouble code definitions.

SAE J2012 | SAE J2012: Diagnostic Trouble Code Definitions Equivalent to ISO/DIS 15031-6, April 30, 2002.

ISO 15031-7 | ISO 15031-7: 2001 Road vehicles – Communication between vehicle and external equipment for emissions related diagnostics – Part 7: Data link security.

SAE J2186 | SAE J2186: E/E Data Link Security, dated October 1996.

ISO 15765-4 | ISO 15765-4: 2001 Road vehicles – Diagnostics on Controller Area Network (CAN) – Part 4: Requirements for emissions-related systems.

SAE J1939 | SAE J1939: Recommended Practice for a Serial Control and Communications Vehicle Network.

ISO 16185 | ISO 16185: 2000 Road vehicles – Engine family for homologation.

ISO 2575 | ISO 2575: 2000 Road vehicles – Symbols for controls, indicators and tell-tales.

ISO 16183 | ISO 16183: 2002 Heavy duty engines – Measurement of gaseous emissions from raw exhaust gas and of particulate emissions using partial flow dilution systems under transient test conditions.’

(e) | Section 3.1.1 is replaced by the following:3.1.1.   The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the engine manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’

(f) | Section 3.2.1 is replaced by the following:3.2.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’

(g) | The following section 3.2.3 is added:3.2.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’

(h) | Section 3.3.1 is replaced by the following:3.3.1.   The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.’

(i) | The following section 3.3.3 is added:3.3.3.   The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle.The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’

(j) | The following section 3.4 is added:‘3.4.   On-board diagnostic systemsThe application for approval of an engine equipped with an on-board diagnostic (OBD) system must be accompanied by the information required in section 9 of Appendix 1 to Annex II (description of the parent engine) and/or section 6 of Appendix 3 to Annex II (description of an engine type within the family) together with:3.4.1.1.   Detailed written information fully describing the functional operation characteristics of the OBD system, including a listing of all relevant parts of the engine’s emission control system, i.e. sensors, actuators and components, that are monitored by the OBD system;Where applicable, a declaration by the manufacturer of the parameters that are used as a basis for major functional failure monitoring and, in addition:3.4.1.2.1.   The manufacturer shall provide the technical service with a description of potential failures within the emission control system that will have an effect on emissions. This information shall be subject to discussion and agreement between the technical service and the vehicle manufacturer.3.4.1.3.   Where applicable, a description of the communication interface (hardware and messages) between the engine electronic control unit (EECU) and any other powertrain or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control system.3.4.1.4.   Where appropriate, copies of other type-approvals with the relevant data to enable extensions of approvals.3.4.1.5.   If applicable, the particulars of the engine family as referred to in section 8 of this Annex.3.4.1.6.   The manufacturer must describe provisions taken to prevent tampering with and modification of the EECU or any interface parameter considered in section 3.4.1.3.’

(k) | In section 5.1.3 the footnote is deleted.

(l) | Section 6.1 is replaced by the following:‘6.1.   General6.1.1.   Emission control equipment6.1.1.1.   The components liable to affect, where appropriate, the emission of gaseous and particulate pollutants from diesel and gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive.The use of a defeat strategy is forbidden.6.1.2.1.   The use of a multi-setting engine is forbidden until appropriate and robust provisions for multi-setting engines are laid down in this Directive(*).6.1.3.   Emission control strategy6.1.3.1.   Any element of design and emission control strategy (ECS) liable to affect the emission of gaseous and particulate pollutants from diesel engines and the emission of gaseous pollutants from gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive. ECS consists of the base emission control strategy (BECS) and usually one or more auxiliary emission control strategies (AECS).6.1.4.   Requirements for base emission control strategy6.1.4.1.   The base emission control strategy (BECS) shall be so designed as to enable the engine, in normal use, to comply with the provisions of this Directive. Normal use is not restricted to the conditions of use as specified in paragraph 6.1.5.4.6.1.5.   Requirements for auxiliary emission control strategy6.1.5.1.   An auxiliary emission control strategy (AECS) may be installed to an engine or on a vehicle provided that the AECS:—operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or—is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.6.1.5.2.   An auxiliary emission control strategy (AECS) that operates within the conditions of use specified in section 6.1.5.4 and which results in the use of a different or modified emission control strategy (ECS) to that normally employed during the applicable emission test cycles will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure does not permanently reduce the effectiveness of the emission control system. In all other cases, such strategy shall be considered to be a defeat strategy.6.1.5.3.   An auxiliary emission control strategy (AECS) that operates outside the conditions of use specified in section 6.1.5.4 will be permitted if, in complying with the requirements of section 6.1.7, it is fully demonstrated that the measure is the minimum strategy necessary for the purposes of paragraph 6.1.5.6 with respect to environmental protection and other technical aspects. In all other cases, such a strategy shall be considered to be a defeat strategy.6.1.5.4.   As provided for in section 6.1.5.1, the following conditions of use apply under steady state and transient engine operations:—an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and—an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and—engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).6.1.5.5.   An auxiliary emission control strategy (AECS) may be installed to an engine, or on a vehicle, provided that the operation of the AECS is included in the applicable type-approval test and is activated according to section 6.1.5.6.6.1.5.6.   The AECS is activated:—only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or—for purposes such as operational safety, permanent emission default modes and limp-home strategies,or—for such purposes as excessive emissions prevention, cold start or warming-up,or—if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.6.1.6.   Requirements for torque limiters6.1.6.1.   A torque limiter will be permitted if it complies with the requirements of section 6.1.6.2. or 6.5.5. In all other cases, a torque limiter shall be considered to be a defeat strategy.6.1.6.2.   A torque limiter may be installed to an engine, or on a vehicle, provided that:—the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and—the torque limiter is active only temporarily,and—the torque limiter does not modify the emission control strategy (ECS),and—in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and—is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.6.1.7.   Special requirements for electronic emission control systems6.1.7.1.   Documentation requirementsThe manufacturer shall provide a documentation package that gives access to any element of design and emission control strategy (ECS), and torque limiter of the engine system and the means by which it controls its output variables, whether that control is direct or indirect. The documentation shall be made available in two parts:(a)the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;(b)additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.The additional material shall also contain a justification for the use of any AECS and include additional material and test data to demonstrate the effect on exhaust emissions of any AECS installed to the engine or on the vehicle. The justification for the use of an AECS may be based on test data and/or sound engineering analysis.This additional material shall remain strictly confidential, and be made available to the type-approval authority on request. The type-approval authority will keep this material confidential.6.1.8.   Specifically for the type-approval of engines according to row A of the tables in section 6.2.1 (engines not normally tested on ETC)6.1.8.1.   To verify whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, the type-approval authority and/or the technical service may additionally request a NOxscreening test using the ETC which may be carried out in combination with either the type-approval test or the procedures for checking the conformity of production.6.1.8.2.   In verifying whether any strategy or measure should be considered a defeat strategy according to the definitions given in section 2, an additional margin of 10 %, related to the appropriate NOxlimit value, shall be accepted.6.1.9.   The transitional provisions for extension of type-approval are given in section 6.1.5 of Annex I to Directive 2001/27/EC.Until the 8 November 2006, the existing approval certificate number will remain valid. In case of extension, only the sequential number to denote the extension base approval number will change as follows:Example for the second extension of the fourth approval corresponding to application date A, issued by Germany:e1*88/77*2001/27A*0004*026.1.10.   Provisions for electronic system security6.1.10.1.   Any vehicle with an Emission Control Unit must include features to deter modification, except as authorised by the manufacturer. The manufacturer shall authorise modifications if these modifications are necessary for the diagnosis, servicing, inspection, retrofitting or repair of the vehicle. Any reprogrammable computer codes or operating parameters must be resistant to tampering and afford a level of protection at least as good as the provisions in ISO 15031-7 (SAE J2186) provided that the security exchange is conducted using the protocols and diagnostic connector as prescribed in section 6 of Annex IV to Directive 2005/78/EC. Any removable calibration memory chips must be potted, encased in a sealed container or protected by electronic algorithms and must not be changeable without the use of specialised tools and procedures.6.1.10.2.   Computer-coded engine operating parameters must not be changeable without the use of specialised tools and procedures (e.g. soldered or potted computer components or sealed (or soldered) computer enclosures).6.1.10.3.   Manufacturers must take adequate steps to protect the maximum fuel delivery setting from tampering while a vehicle is in-service.6.1.10.4.   Manufacturers may apply to the approval authority for an exemption from one of these requirements for those vehicles that are unlikely to require protection. The criteria that the approval authority will evaluate in considering an exemption will include, but are not limited to, the current availability of performance chips, the high-performance capability of the vehicle and the projected sales volume of the vehicle.6.1.10.5.   Manufacturers using programmable computer code systems (e.g. electrical erasable programmable read-only memory, EEPROM) must deter unauthorised reprogramming. Manufacturers must include enhanced tamper-protection strategies and write protect features requiring electronic access to an off-site computer maintained by the manufacturer. Alternative methods giving an equivalent level of tamper protection may be approved by the authority.(*)The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive.”(**)Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”.”(***)This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’

                                                      ” | — | operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or | — | is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes. | — | an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and | — | an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and | — | engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C). | — | only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or | — | for purposes such as operational safety, permanent emission default modes and limp-home strategies,or | — | for such purposes as excessive emissions prevention, cold start or warming-up,or | — | if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents. | — | the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and | — | the torque limiter is active only temporarily,and | — | the torque limiter does not modify the emission control strategy (ECS),and | — | in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and | — | is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system. | (a) | the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex; | (b) | additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.

— | operates only outside the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.5,or

— | is activated only exceptionally within the conditions of use specified in paragraph 6.1.5.4 for the purposes defined in paragraph 6.1.5.6. and not longer than is needed for these purposes.

— | an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa),and

— | an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C)(**)(***),and

— | engine coolant temperature within the range 343 K to 373 K (70 °C to 100 °C).

— | only by on-board signals for the purpose of protecting the engine system (including air-handling device protection) and/or vehicle from damage,or

— | for purposes such as operational safety, permanent emission default modes and limp-home strategies,or

— | for such purposes as excessive emissions prevention, cold start or warming-up,or

— | if it is used to trade-off the control of one regulated pollutant under specific ambient or operating conditions in order to maintain control of all other regulated pollutants within the emission limit values that are appropriate for the engine in question. The overall effects of such an AECS is to compensate for naturally occurring phenomena and do so in a manner that provides acceptable control of all emission constituents.

— | the torque limiter is activated only by on-board signals for the purpose of protecting the powertrain or vehicle construction from damage and/or for the purpose of vehicle safety, or for power take-off activation when the vehicle is stationary, or for measures to ensure the correct functioning of the deNOxsystem,and

— | the torque limiter is active only temporarily,and

— | the torque limiter does not modify the emission control strategy (ECS),and

— | in case of power take-off or powertrain protection the torque is limited to a constant value, independent from the engine speed, while never exceeding the full-load torque,and

— | is activated in the same manner to limit the performance of a vehicle in order to encourage the driver to take the necessary measures in order to ensure the correct functioning of NOxcontrol measures within the engine system.

(a) | the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the ECS and, if applicable, the torque limiter. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in section 3 of this Annex;

(b) | additional material that shows the parameters that are modified by any auxiliary emission control strategy (AECS) and the boundary conditions under which the AECS operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. It shall also include a description of the torque limiter described in section 6.5.5 of this Annex.

(m) | The introductory part of Section 6.2 is replaced by the following:‘6.2.   Specifications Concerning the Emission of Gaseous and Particulate Pollutants and SmokeFor type approval to row A of the tables in section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including deNOxcatalysts and/or particulate traps, shall additionally be tested on the ETC test.For type approval testing to either row B1 or B2 or row C of the tables in section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests.For gas engines, the gaseous emissions shall be determined on the ETC test.The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3.The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system.Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions, only the full flow dilution system or the partial flow dilution system meeting the requirements of ISO 16183 are recognised as equivalent reference systems. “Results” refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency of the sample pair averages shall be determined byF-test andt-test statistics as described in Appendix 4 to this Annex obtained under these laboratory, test cell and engine conditions. Outliers shall be determined in accordance with ISO 5725 and excluded from the database. 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.’

(n) | The following sections 6.3, 6.4 and 6.5 are added:‘6.3.   Durability and deterioration factors6.3.1.   For the purposes of this Directive, the manufacturer shall determine deterioration factors that will be used to demonstrate that the gaseous and particulate emissions of an engine family or engine-aftertreatment system family remain in conformity with the appropriate emission limits specified in the tables in section 6.2.1 of this Annex over the appropriate durability period laid down in Article 3 to this Directive.6.3.2.   The procedures for demonstrating the compliance of an engine or engine-aftertreatment system family with the relevant emission limits over the appropriate durability period are given in Annex II to Directive 2005/78/EC.6.4.   On-Board Diagnostic (OBD) system6.4.1.   As laid down in Articles 4(1) and 4(2) of this Directive, diesel engines or vehicles equipped with a diesel engine must be fitted with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.As laid down in Article 4(2) of this Directive, gas engines or vehicles equipped with a gas engine must be fitted, with an on-board diagnostic (OBD) system for emission control in accordance with the requirements of Annex IV to Directive 2005/78/EC.6.4.2.   Small batch engine productionAs an alternative to the requirements of this section, engine manufacturers whose world-wide annual production of a type of engine, belonging to an OBD engine family,—is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;—is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.The type-approval authority must inform the Commission of the circumstances of each type-approval granted under this provision.6.5.   Requirements to ensure correct operation of NOxcontrol measures(*)6.5.1.   General6.5.1.1.   This section is applicable to all engine systems irrespective of the technology used to comply with the emission limit values given in the tables in section 6.2.1 of this Annex.6.5.1.2.   Application datesThe Requirements of sections 6.5.3, 6.5.4 and 6.5.5 shall apply from 1 October 2006 for new type approvals and from 1 October 2007 for all registrations of new vehicles.6.5.1.3.   Any engine system covered by this section shall be designed, constructed and installed so as to be capable of meeting these requirements over the useful life of the engine.6.5.1.4.   Information that fully describes the functional operational characteristics of an engine system covered by this section shall be provided by the manufacturer in Annex II to this Directive.6.5.1.5.   In its application for type-approval, if the engine system requires a reagent, the manufacturer shall specify the characteristics of all reagent(s) consumed by any exhaust aftertreatment system, e.g. type and concentrations, operational temperature conditions, reference to international standards etc.6.5.1.6.   With reference to section 6.1, any engine system covered by this section shall retain its emission control function during all conditions regularly pertaining in the territory of the European Union, especially at low ambient temperatures.6.5.1.7.   For the purpose of type-approval, the manufacturer shall demonstrate to the Technical Service that for engine systems that require a reagent, any emission of ammonia does not exceed, over the applicable emissions test cycle, a mean value of 25 ppm.6.5.1.8.   For engine systems requiring a reagent, each separate reagent tank installed on a vehicle shall include a means for taking a sample of any fluid inside the tank. The sampling point shall be easily accessible without the use of any specialised tool or device.6.5.2.   Maintenance requirements6.5.2.1.   The manufacturer shall furnish or cause to be furnished to all owners of new heavy-duty vehicles or new heavy-duty engines written instructions that shall state that if the vehicle emission control system is not functioning correctly, the driver shall be informed of a problem by the malfunction indicator (MI) and the engine shall consequentially operate with a reduced performance.6.5.2.2.   The instructions will indicate requirements for the proper use and maintenance of vehicles, including where relevant the use of consumable reagents.6.5.2.3.   The instructions shall be written in clear and non-technical language and in the language of the country in which a new heavy-duty vehicle or new heavy-duty engine is sold or registered.6.5.2.4.   The instructions shall specify if consumable reagents have to be refilled by the vehicle operator between normal maintenance intervals and shall indicate a likely rate of reagent consumption according to the type of new heavy-duty vehicle.6.5.2.5.   The instructions shall specify that use of and refilling of a required reagent of the correct specifications when indicated is mandatory for the vehicle to comply with the certificate of conformity issued for that vehicle or engine type.6.5.2.6.   The instructions shall state that it may be a criminal offence to use a vehicle that does not consume any reagent if it is required for the reduction of pollutant emissions and that, in consequence, any favourable conditions for the purchase or operation of the vehicle obtained in the country of registration or other country in which the vehicle is used may become invalid.6.5.3.   Engine system NOxcontrol6.5.3.1.   Incorrect operation of the engine system with respect to NOxemissions control (for example due to lack of any required reagent, incorrect EGR flow or deactivation of EGR) shall be determined through monitoring of the NOxlevel by sensors positioned in the exhaust stream.6.5.3.2.   Engine systems shall be equipped with a method for determining the NOxlevel in the exhaust stream. Any deviation in NOxlevel more than 1,5 g/kwh above the applicable limit value given in table I of section 6.2.1 of Annex I to this Directive, shall result in the driver being informed by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC).6.5.3.3.   In addition, a non-erasable fault code identifying the reason why NOxexceeds the levels specified in the paragraph above shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for at least 400 days or 9 600 hours of engine operation.6.5.3.4.   If the NOxlevel exceeds the OBD threshold limit values given in the table in Article 4(3) of this Directive(**), a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle. When the torque limiter is activated the driver shall continue to be alerted according to the requirements of section 6.5.3.2.6.5.3.5.   In the case of engine systems that rely on the use of EGR and no other aftertreatment system for NOxemissions control, the manufacturer may utilise an alternative method to the requirements of paragraph 6.5.3.1 for the determination of the NOxlevel. At the time of type approval the manufacturer shall demonstrate that the alternative method is equally timely and accurate in determining the NOxlevel compared to the requirements of paragraph 6.5.3.1 and that it triggers the same consequences as those referred to in sections 6.5.3.2, 6.5.3.3 and 6.5.3.4.6.5.4.   Reagent control6.5.4.1.   For vehicles that require the use of a reagent to fulfil the requirements of this section, the driver shall be informed of the level of reagent in the on-vehicle reagent storage tank through a specific mechanical or electronic indication on the vehicle’s dashboard. This shall include a warning when the level of reagent goes:—below 10 % of the tank or a higher percentage at the choice of the manufacturer,or—below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.The reagent indicator shall be placed in close proximity to the fuel level indicator.6.5.4.2.   The driver shall be informed, according to the requirements of section 3.6.5 of Annex IV to Directive 2005/78/EC, if the reagent tank becomes empty.6.5.4.3.   As soon as the reagent tank becomes empty, the requirements of section 6.5.5 shall apply in addition to the requirements of section 6.5.4.2.6.5.4.4.   A manufacturer may choose to comply with the sections 6.5.4.5 to 6.5.4.13 as an alternative to complying with the requirements of section 6.5.3.6.5.4.5.   Engine systems shall include a means of determining that a fluid corresponding to the reagent characteristics declared by the manufacturer and recorded in Annex II to this Directive is present on the vehicle.6.5.4.6.   If the fluid in the reagent tank does not correspond to the minimum requirements declared by the manufacturer as recorded in Annex II to this Directive the additional requirements of section 6.5.4.13 shall apply.6.5.4.7.   Engine systems shall include a means for determining reagent consumption and providing off-board access to consumption information.6.5.4.8.   Average reagent consumption and average demanded reagent consumption by the engine system either over the previous complete 48 hour period of engine operation or the period needed for a demanded reagent consumption of at least 15 litres, whichever is longer, shall be available via the serial port of the standard diagnostic connector (see section 6.8.3 of Annex IV to Directive 2005/78/EC).6.5.4.9.   In order to monitor reagent consumption, at least the following parameters within the engine shall be monitored:—level of reagent in on-vehicle storage tank,—flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.6.5.4.10.   Any deviation more than 50 % in average reagent consumption and average demanded reagent consumption by the engine system over the period defined in section 6.5.4.8 shall result in application of the measures laid down in paragraph 6.5.4.13.6.5.4.11.   In the case of interruption in reagent dosing activity the measures laid down in paragraph 6.5.4.13 shall apply. This is not required where such interruption is demanded by the engine ECU because engine operating conditions are such that the engine’s emission performance does not require reagent dosing, provided that the manufacturer has clearly informed the approval authority when such operating conditions apply.6.5.4.12.   If the NOxlevel exceeds 7,0 g/kWh on the ETC test cycle the measures laid down in section 6.5.4.13 shall apply.6.5.4.13.   Where reference is made to this section, the driver shall be alerted by activation of the MI (see section 3.6.5 of Annex IV to Directive 2005/78/EC) and a torque limiter shall reduce the performance of the engine according to the requirements of section 6.5.5 in a manner that is clearly perceived by the driver of the vehicle.A non-erasable fault code identifying the reason for torque limiter activation shall be stored in accordance with paragraph 3.9.2 of Annex IV to Directive 2005/78/EC for a minimum of 400 days or 9 600 hours of engine operation.6.5.5.   Measures to discourage tampering of exhaust aftertreatment systems6.5.5.1.   Any engine system covered by this section shall include a torque limiter that will alert the driver that the engine system is operating incorrectly or the vehicle is being operated in an incorrect manner and thereby encourage the prompt rectification of any fault(s).6.5.5.2.   The torque limiter shall be activated when the vehicle becomes stationary for the first time after the conditions of either sections 6.5.3.4, 6.5.4.3, 6.5.4.6, 6.5.4.10, 6.5.4.11 or 6.5.4.12 have occurred.6.5.5.3.   Where the torque limiter comes into effect, the engine torque shall not, in any case, exceed a constant value of:—60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,—75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.6.5.5.4.   The scheme of torque limitation is set out in sections 6.5.5.5 to 6.5.5.6.6.5.5.5.   Detailed written information fully describing the functional operation characteristics of the torque limiter shall be specified according to the documentation requirements of section 6.1.7.1 of this Annex.6.5.5.6.   The torque limiter shall be deactivated when the engine speed is at idle if the conditions for its activation have ceased to exist. The torque limiter shall not be automatically deactivated without the reason for its activation being remedied.6.5.5.7.   Demonstration of torque limiter6.5.5.7.1.   As part of the application for type-approval provided for in section 3 of this Annex, the manufacturer shall demonstrate the operation of the torque limiter either by tests on an engine dynamometer or by a vehicle test.6.5.5.7.2.   If an engine dynamometer test is to be carried out the manufacturer shall run consecutive ETC test cycles in order to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.6.5.5.7.3.   If a vehicle test is to be carried out, the vehicle shall be driven over the road or test track to demonstrate that the torque limiter will operate, including its activation, in accordance with the requirements of section 6.5, and in particular with those of section 6.5.5.2 and 6.5.5.3.(*)The Commission intends to review this section by 31 December 2006.”(**)The Commission intends to review those values by 31 December 2005.’

                                                ” | — | is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure; | — | is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity. | — | below 10 % of the tank or a higher percentage at the choice of the manufacturer,or | — | below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer. | — | level of reagent in on-vehicle storage tank, | — | flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system. | — | 60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons, | — | 75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.

— | is less than 500 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the engine is monitored only for circuit continuity and the after-treatment system is monitored for major functional failure;

— | is less than 50 units per year, may obtain EC type-approval on the basis of the requirements of the present directive where the complete emission control system (i.e. the engine and after-treatment system) are monitored only for circuit continuity.

— | below 10 % of the tank or a higher percentage at the choice of the manufacturer,or

— | below the level corresponding to the driving distance possible with the fuel reserve level specified by the manufacturer.

— | level of reagent in on-vehicle storage tank,

— | flow of reagent or injection of reagent as close as technically possible to the point of injection into an exhaust aftertreatment system.

— | 60 % of full load torque, independent of engine speed, for vehicles of category N3 > 16 tons, M3/III and M3/B > 7,5 tons,

— | 75 % of full load torque, independent of engine speed, for vehicles of category N1, N2, N3 ≤ 16 tons, M2, M3/I, M3/II, M3/A and M3/B ≤ 7,5 tons.

(o) | Section 8.1 is replaced by the following:‘8.1.   Parameters defining the engine familyThe engine family, as determined by the engine manufacturer must comply with the provisions of ISO 16185.’

(p) | The following section 8.3 is added:‘8.3.   Parameters for defining an OBD-engine familyThe OBD-engine family may be defined by basic design parameters that must be common to engine systems within the family.In order that engine systems may be considered to belong to the same OBD-engine family, the following list of basic parameters must be common,—the methods of OBD monitoring,—the methods of malfunction detection.unless these methods have been shown as equivalent by the manufacturer by means of relevant engineering demonstration or other appropriate procedures.Note:engines that do not belong to the same engine family may still belong to the same OBD-engine family provided the above mentioned criteria are satisfied.’ | — | the methods of OBD monitoring, | — | the methods of malfunction detection.

— | the methods of OBD monitoring,

— | the methods of malfunction detection.

(q) | Section 9.1 is replaced by the following:9.1.   Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. In applying Appendices 1, 2 or 3, the measured emission of the gaseous and particulate pollutants from engines subject to checking for conformity of production shall be adjusted by application of the appropriate deterioration factors (DF’s) for that engine as recorded in section 1.5 of the Appendix to Annex VI.Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer.’

(r) | The following section 9.1.2 is added:‘9.1.2.   On-Board Diagnostics (OBD)9.1.2.1.   If a verification of the conformity of production of the OBD system is to be carried out, it must be conducted in accordance with the following:9.1.2.2.   When the approval authority determines that the quality of production seems unsatisfactory an engine is randomly taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on an engine that has been run-in up to a maximum of 100 hours.9.1.2.3.   The production is deemed to conform if this engine meets the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.9.1.2.4   If the engine taken from the series does not satisfy the requirements of section 9.1.2.2, a further random sample of four engines must be taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on engines that have been run-in up to a maximum of 100 hours.9.1.2.5.   The production is deemed to conform if at least three engines out of the further random sample of four engines meet the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.’

(s) | The following section 10 is added:‘10.   CONFORMITY OF IN-SERVICE VEHICLES/ENGINES10.1.   For the purpose of this Directive, the conformity of in-service vehicles/engines must be checked periodically over the useful life period of an engine installed in a vehicle.10.2.   With reference to type-approvals granted for emissions, additional measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use.10.3.   The procedures to be followed regarding the conformity of in-service vehicles/engines are given in Annex III to Directive 2005/78/EC.’

(t) | Appendix 1, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’ | L | = | the natural logarithm of the limit value for the pollutant | xi | = | the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample | s | = | an estimate of the production standard deviation (after taking the natural logarithm of the measurements) | n | = | the current sample number.’

L | = | the natural logarithm of the limit value for the pollutant

xi | = | the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample

s | = | an estimate of the production standard deviation (after taking the natural logarithm of the measurements)

n | = | the current sample number.’

(u) | In Appendix 2, section 3 and the introductory phrase of section 4 are replaced by the following:3.   The values of the pollutants given in section 6.2.1 of Annex I, after having applied the relevant DF, are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m0and m denote the minimum and maximum sample size respectively (m0= 3 and m = 32) and let n denote the current sample number.4.   If the natural logarithms of the measured values (after having applied the relevant DF) in the series are x1, x2, … xiand L is the natural logarithm of the limit value for the pollutant, then, define:’

(v) | In Appendix 3, section 3 is replaced by the following:3.   The following procedure is used for each of the pollutants given in section 6.2.1 of Annex I (see Figure 2):Let:L=the natural logarithm of the limit value for the pollutantxi=the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the samples=an estimate of the production standard deviation (after taking the natural logarithm of the measurements)n=the current sample number.’ | L | = | the natural logarithm of the limit value for the pollutant | xi | = | the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample | s | = | an estimate of the production standard deviation (after taking the natural logarithm of the measurements) | n | = | the current sample number.’

L | = | the natural logarithm of the limit value for the pollutant

xi | = | the natural logarithm of the measurement (after having applied the relevant DF) for the i-th engine of the sample

s | = | an estimate of the production standard deviation (after taking the natural logarithm of the measurements)

n | = | the current sample number.’

(w) | A following Appendix 4 is added:‘Appendix 4DETERMINATION OF SYSTEM EQUIVALENCEThe determination of system equivalency according to section 6.2 of this Annex shall be based on a 7 sample pair (or larger) correlation study between the candidate system and one of the accepted reference systems of this Directive using the appropriate test cycle(s). The equivalency criteria to be applied shall be the F-test and the two-sided Student t-test.This statistical method examines the hypothesis that the population standard deviation and mean value for an emission measured with the candidate system do not differ from the standard deviation and population mean value for that emission measured with the reference system. The hypothesis shall be tested on the basis of a 5 % significance level of the F and t values. The critical F and t values for 7 to 10 sample pairs are given in the table below. If the F and t values calculated according to the formulae below are greater than the critical F and t values, the candidate system is not equivalent.The following procedure shall be followed. The subscripts R and C refer to the reference and candidate system, respectively:(a)Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.(b)Calculate the mean values xRand xCand the standard deviations sRand sC.(c)Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)(d)Calculate the t value, as follows:Text of image(e)Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.(f)Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101(g)Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’ | (a) | Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC. | (b) | Calculate the mean values xRand xCand the standard deviations sRand sC. | (c) | Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator) | (d) | Calculate the t value, as follows:Text of image | (e) | Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level. | (f) | Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101 | for the F-test | : | df = nR– 1 / nC– 1 | for the t-test | : | df = nC+ nR– 2 | Sample Size | F-test | t-test |  | df | Fcrit | df | tcrit | 7 | 6/6 | 4,284 | 12 | 2,179 | 8 | 7/7 | 3,787 | 14 | 2,145 | 9 | 8/8 | 3,438 | 16 | 2,120 | 10 | 9/9 | 3,179 | 18 | 2,101 | (g) | Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’ | — | if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive, | — | if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

(a) | Conduct at least 7 tests with the candidate and reference systems preferably operated in parallel. The number of tests is referred to as nRand nC.

(b) | Calculate the mean values xRand xCand the standard deviations sRand sC.

(c) | Calculate the F value, as follows:Text of image(the greater of the two standard deviations SRor SCmust be in the numerator)

(d) | Calculate the t value, as follows:Text of image

(e) | Compare the calculated F and t values with the critical F and t values corresponding to the respective number of tests indicated in table below. If larger sample sizes are selected, consult statistical tables for 5 % significance (95 % confidence) level.

(f) | Determine the degrees of freedom (df), as follows:for the F-test:df = nR– 1 / nC– 1for the t-test:df = nC+ nR– 2F and t values for selected sample sizesSample SizeF-testt-testdfFcritdftcrit76/64,284122,17987/73,787142,14598/83,438162,120109/93,179182,101 | for the F-test | : | df = nR– 1 / nC– 1 | for the t-test | : | df = nC+ nR– 2 | Sample Size | F-test | t-test |  | df | Fcrit | df | tcrit | 7 | 6/6 | 4,284 | 12 | 2,179 | 8 | 7/7 | 3,787 | 14 | 2,145 | 9 | 8/8 | 3,438 | 16 | 2,120 | 10 | 9/9 | 3,179 | 18 | 2,101

for the F-test | : | df = nR– 1 / nC– 1

for the t-test | : | df = nC+ nR– 2

Sample Size | F-test | t-test

 | df | Fcrit | df | tcrit

7 | 6/6 | 4,284 | 12 | 2,179

8 | 7/7 | 3,787 | 14 | 2,145

9 | 8/8 | 3,438 | 16 | 2,120

10 | 9/9 | 3,179 | 18 | 2,101

(g) | Determine the equivalency, as follows:—if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,—if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’ | — | if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive, | — | if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

— | if F < Fcritandt < tcrit, then the candidate system is equivalent to the reference system of this Directive,

— | if F ≥ Fcritandt ≥ tcrit, then the candidate system is different from the reference system of this Directive.’

(2) | Annex II is amended as follows:(a)The following section 0.7 is inserted:0.7.   Name and address of the manufacturer’s representative:’(b)Former section 0.7 and sections 0.8 and 0.9 become sections 0.8, 0.9 and 0.10 respectively.(c)The following section 0.11 is added:0.11   In the case of a vehicle equipped with an on-board diagnostic (OBD) system, written description and/or drawing of the MI:’(d)Appendix 1 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’

                                                         “(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(e)In Appendix 2, the fourth line of the first column of the table in section 2.1.1 is replaced by the following:‘Fuel flow per stroke (mm3)’(f)Appendix 3 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’

                                                         “(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(g)The following Appendix 5 is added:‘Appendix 5OBD-RELATED INFORMATIONIn accordance with the provisions of section 5 of Annex IV to Directive 2005/78/EC, the following additional information must be provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment, unless such information is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Where appropriate, the information given in this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive):1.1.   A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.1.2.   A description of the type of the OBD demonstration cycle used for the original type-approval of the vehicle for the component monitored by the OBD system.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.1.3.1.   The information required by this section may, for example, be defined by completing a table as follows, which shall be attached to this Annex:ComponentFault codeMonitoring strategyFault detection criteriaMI activation criteriaSecondary parametersPreconditioningDemonstration testSCR catalystPxxxxNOxsensor 1 and 2 signalsDifference between sensor 1 and sensor 2 signals3rdcycleEngine speed, engine load, catalyst temperature, reagent activityThree OBD test cycles (3 short ESC cycles)OBD test cycle (short ESC cycle)1.3.2.   The information required by this Appendix may be limited to the complete list of the fault codes recorded by the OBD system where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable as in the case of replacement or service components. This information may, for example, be defined by completing the two first columns of the table of section 1.3.1 above.The complete information package should be made available to the type-approval authority as part of the additional material requested in section 6.1.7.1 of Annex I to this Directive, “documentation requirements”.1.3.3.   The information required by this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive).Where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable in the case of replacement or service components, the information provided in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive) can be limited to the one mentioned in section 1.3.2.’ | (a) | The following section 0.7 is inserted:0.7.   Name and address of the manufacturer’s representative:’ | (b) | Former section 0.7 and sections 0.8 and 0.9 become sections 0.8, 0.9 and 0.10 respectively. | (c) | The following section 0.11 is added:0.11   In the case of a vehicle equipped with an on-board diagnostic (OBD) system, written description and/or drawing of the MI:’ | (d) | Appendix 1 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’

                                                         “(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               ” | (i) | The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’ | (ii) | The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’

                                                         ” | (iii) | Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’ | (iv) | The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’ | — | Number of ETC test cycles between 2 regenerations (n1): | — | Number of ETC test cycles during regeneration (n2)’ | (v) | The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’ | (vi) | The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               ” | (e) | In Appendix 2, the fourth line of the first column of the table in section 2.1.1 is replaced by the following:‘Fuel flow per stroke (mm3)’ | (f) | Appendix 3 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’

                                                         “(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               ” | (i) | The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’ | (ii) | The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’

                                                         ” | (iii) | Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’ | (iv) | The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’ | — | Number of ETC test cycles between 2 regenerations (n1) | — | Number of ETC test cycles during regeneration (n2)’ | (v) | The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’ | (vi) | The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               ” | (g) | The following Appendix 5 is added:‘Appendix 5OBD-RELATED INFORMATIONIn accordance with the provisions of section 5 of Annex IV to Directive 2005/78/EC, the following additional information must be provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment, unless such information is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Where appropriate, the information given in this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive):1.1.   A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.1.2.   A description of the type of the OBD demonstration cycle used for the original type-approval of the vehicle for the component monitored by the OBD system.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.1.3.1.   The information required by this section may, for example, be defined by completing a table as follows, which shall be attached to this Annex:ComponentFault codeMonitoring strategyFault detection criteriaMI activation criteriaSecondary parametersPreconditioningDemonstration testSCR catalystPxxxxNOxsensor 1 and 2 signalsDifference between sensor 1 and sensor 2 signals3rdcycleEngine speed, engine load, catalyst temperature, reagent activityThree OBD test cycles (3 short ESC cycles)OBD test cycle (short ESC cycle)1.3.2.   The information required by this Appendix may be limited to the complete list of the fault codes recorded by the OBD system where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable as in the case of replacement or service components. This information may, for example, be defined by completing the two first columns of the table of section 1.3.1 above.The complete information package should be made available to the type-approval authority as part of the additional material requested in section 6.1.7.1 of Annex I to this Directive, “documentation requirements”.1.3.3.   The information required by this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive).Where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable in the case of replacement or service components, the information provided in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive) can be limited to the one mentioned in section 1.3.2.’ | Component | Fault code | Monitoring strategy | Fault detection criteria | MI activation criteria | Secondary parameters | Preconditioning | Demonstration test | SCR catalyst | Pxxxx | NOxsensor 1 and 2 signals | Difference between sensor 1 and sensor 2 signals | 3rdcycle | Engine speed, engine load, catalyst temperature, reagent activity | Three OBD test cycles (3 short ESC cycles) | OBD test cycle (short ESC cycle)

(a) | The following section 0.7 is inserted:0.7.   Name and address of the manufacturer’s representative:’

(b) | Former section 0.7 and sections 0.8 and 0.9 become sections 0.8, 0.9 and 0.10 respectively.

(c) | The following section 0.11 is added:0.11   In the case of a vehicle equipped with an on-board diagnostic (OBD) system, written description and/or drawing of the MI:’

(d) | Appendix 1 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’

                                                         “(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               ” | (i) | The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’ | (ii) | The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’

                                                         ” | (iii) | Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’ | (iv) | The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’ | — | Number of ETC test cycles between 2 regenerations (n1): | — | Number of ETC test cycles during regeneration (n2)’ | (v) | The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’ | (vi) | The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “

(i) | The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make: …1.20.2.   Type: …1.20.3.   Software calibration number(s): …’

(ii) | The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*)(*)Delete where inapplicable.’

                                                         “

(iii) | Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’

(iv) | The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1):—Number of ETC test cycles during regeneration (n2)’ | — | Number of ETC test cycles between 2 regenerations (n1): | — | Number of ETC test cycles during regeneration (n2)’

— | Number of ETC test cycles between 2 regenerations (n1):

— | Number of ETC test cycles during regeneration (n2)’

(v) | The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’

(vi) | The following sections 9 and 10 are added:‘9.   On-board diagnostic (OBD) system9.1.   Written description and/or drawing of the MI(*): …9.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …9.3.1.1.   Catalyst monitoring(*): …9.3.1.2.   deNOxsystem monitoring(*): …9.3.1.3.   Diesel particulate filter monitoring(*): …9.3.1.4.   Electronic fuelling system monitoring(*): …9.3.1.5.   Other components monitored by the OBD system(*): …9.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …9.5.   List of all OBD output codes and formats used (with explanation of each): …10.   Torque limiter10.1.   Description of the torque limiter activation10.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “

(e) | In Appendix 2, the fourth line of the first column of the table in section 2.1.1 is replaced by the following:‘Fuel flow per stroke (mm3)’

(f) | Appendix 3 is amended as follows:(i)The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’(ii)The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’

                                                         “(iii)Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’(iv)The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’(v)The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’(vi)The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               ” | (i) | The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’ | (ii) | The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’

                                                         ” | (iii) | Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’ | (iv) | The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’ | — | Number of ETC test cycles between 2 regenerations (n1) | — | Number of ETC test cycles during regeneration (n2)’ | (v) | The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’ | (vi) | The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “

(i) | The following section 1.20 is added:Engine Electronic Control Unit (EECU) (all engine types):1.20.1.   Make:1.20.2.   Type:1.20.3.   Software calibration number(s): …’

(ii) | The following sections 2.2.1.12 and 2.2.1.13 are added:2.2.1.12.   Normal operating temperature range (K): …Consumable reagents (where appropriate):2.2.1.13.1.   Type and concentration of reagent needed for catalytic action: …2.2.1.13.2.   Normal operational temperature range of reagent: …2.2.1.13.3.   International standard (where appropriate): …2.2.1.13.4.   Frequency of reagent refill: continuous/maintenance(*):(*)Delete where inapplicable.’

                                                         “

(iii) | Section 2.2.4.1 is replaced by the following:2.2.4.1.   Characteristics (make, type, flow etc): …’

(iv) | The following sections 2.2.5.5 and 2.2.5.6 are added:2.2.5.5.   Normal operating temperature (K) and pressure (kPa) range: …2.2.5.6.   In case of periodic regeneration:—Number of ETC test cycles between 2 regenerations (n1)—Number of ETC test cycles during regeneration (n2)’ | — | Number of ETC test cycles between 2 regenerations (n1) | — | Number of ETC test cycles during regeneration (n2)’

— | Number of ETC test cycles between 2 regenerations (n1)

— | Number of ETC test cycles during regeneration (n2)’

(v) | The following section 3.1.2.2.3 is added:3.1.2.2.3.   Common rail, make and type: …’

(vi) | The following sections 6 and 7 are added:‘6.   On-board diagnostic (OBD) system6.1.   Written description and/or drawing of the MI(*):6.2.   List and purpose of all components monitored by the OBD system: …Written description (general OBD working principles) for:Diesel/gas engines(*): …6.3.1.1.   Catalyst monitoring(*): …6.3.1.2.   deNOxsystem monitoring(*): …6.3.1.3.   Diesel particulate filter monitoring(*): …6.3.1.4.   Electronic fuelling system monitoring(*): …6.3.1.5.   Other components monitored by the OBD system(*): …6.4.   Criteria for MI activation (fixed number of driving cycles or statistical method): …6.5.   List of all OBD output codes and formats used (with explanation of each): …7.   Torque limiter7.1.   Description of the torque limiter activation7.2.   Description of the full load curve limitation(*)Delete where inapplicable.’

                                                         “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “(*)Delete where inapplicable.’

                                                               “

(g) | The following Appendix 5 is added:‘Appendix 5OBD-RELATED INFORMATIONIn accordance with the provisions of section 5 of Annex IV to Directive 2005/78/EC, the following additional information must be provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment, unless such information is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Where appropriate, the information given in this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive):1.1.   A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.1.2.   A description of the type of the OBD demonstration cycle used for the original type-approval of the vehicle for the component monitored by the OBD system.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.1.3.1.   The information required by this section may, for example, be defined by completing a table as follows, which shall be attached to this Annex:ComponentFault codeMonitoring strategyFault detection criteriaMI activation criteriaSecondary parametersPreconditioningDemonstration testSCR catalystPxxxxNOxsensor 1 and 2 signalsDifference between sensor 1 and sensor 2 signals3rdcycleEngine speed, engine load, catalyst temperature, reagent activityThree OBD test cycles (3 short ESC cycles)OBD test cycle (short ESC cycle)1.3.2.   The information required by this Appendix may be limited to the complete list of the fault codes recorded by the OBD system where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable as in the case of replacement or service components. This information may, for example, be defined by completing the two first columns of the table of section 1.3.1 above.The complete information package should be made available to the type-approval authority as part of the additional material requested in section 6.1.7.1 of Annex I to this Directive, “documentation requirements”.1.3.3.   The information required by this section shall be repeated in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive).Where section 5.1.2.1 of Annex IV to Directive 2005/78/EC is not applicable in the case of replacement or service components, the information provided in Appendix 2 to the EC type-approval certificate (Annex VI to this Directive) can be limited to the one mentioned in section 1.3.2.’ | Component | Fault code | Monitoring strategy | Fault detection criteria | MI activation criteria | Secondary parameters | Preconditioning | Demonstration test | SCR catalyst | Pxxxx | NOxsensor 1 and 2 signals | Difference between sensor 1 and sensor 2 signals | 3rdcycle | Engine speed, engine load, catalyst temperature, reagent activity | Three OBD test cycles (3 short ESC cycles) | OBD test cycle (short ESC cycle)

Component | Fault code | Monitoring strategy | Fault detection criteria | MI activation criteria | Secondary parameters | Preconditioning | Demonstration test

SCR catalyst | Pxxxx | NOxsensor 1 and 2 signals | Difference between sensor 1 and sensor 2 signals | 3rdcycle | Engine speed, engine load, catalyst temperature, reagent activity | Three OBD test cycles (3 short ESC cycles) | OBD test cycle (short ESC cycle)

(3) | Annex III is amended as follows:(a)Section 1.3.1 is replaced by the following:‘1.3.1.   ESC TestDuring a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw or diluted exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. For particulate measurement, the exhaust gas shall be diluted with conditioned ambient air using either a partial flow or full flow dilution system. The particulates shall be collected on a single suitable filter in proportion to the weighting factors of each mode. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NOxshall be measured at three test points within the control area selected by the Technical Service and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NOxcontrol check ensures the effectiveness of the emission control of the engine within the typical engine operating range.’(b)Section 1.3.3 is replaced by the following:‘1.3.3.   ETC TestDuring a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined either after diluting the total exhaust gas with conditioned ambient air (CVS system with double dilution for particulates) or by determining the gaseous components in the raw exhaust gas and the particulates with a partial flow dilution system. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. For a CVS system, the concentration of NOxand HC shall be determined over the cycle by integration of the analyser signal, whereas the concentration of CO, CO2, and NMHC may be determined by integration of the analyser signal or by bag sampling. If measured in the raw exhaust gas, all gaseous components shall be determined over the cycle by integration of the analyser signal. For particulates, a proportional sample shall be collected on a suitable filter. The raw or diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex.’(c)Section 2.1 is replaced by the following:‘2.1.   Engine Test Conditions2.1.1.   The absolute temperature (Ta) of the engine air at the inlet to the engine expressed in Kelvin, and the dry atmospheric pressure (ps), expressed in kPa shall be measured and the parameterfashall be determined according to the following provisions. In multi-cylinder engines having distinct groups of intake manifolds, for example, in a “V” engine configuration, the average temperature of the distinct groups shall be taken.(a)for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image(b)for spark-ignition engines:Text of image2.1.2.   Test ValidityFor a test to be recognised as valid, the parameterfashall be such that:0,96 ≤fa≤ 1,06’(d)Section 2.8 is replaced by the following:If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle shall be representative of the emissions in the field. In the case of an engine equipped with a exhaust aftertreatment system that requires the consumption of a reagent, the reagent used for all tests shall comply with section 2.2.1.13 of Appendix 1 to Annex II.2.8.1.   For an exhaust aftertreatment system based on a continuous regeneration process the emissions shall be measured on a stabilised aftertreatment system.The regeneration process shall occur at least once during the ETC test and the manufacturer shall declare the normal conditions under which regeneration occurs (soot load, temperature, exhaust back-pressure, etc).In order to verify the regeneration process at least 5 ETC tests shall be conducted. During the tests the exhaust temperature and pressure shall be recorded (temperature before and after the aftertreatment system, exhaust back pressure, etc).The aftertreatment system is considered to be satisfactory if the conditions declared by the manufacturer occur during the test during a sufficient time.The final test result shall be the arithmetic mean of the different ETC test results.If the exhaust aftertreatment has a security mode that shifts to a periodic regeneration mode it should be checked following section 2.8.2. For that specific case the emission limits in table 2 of Annex I could be exceeded and would not be weighted.2.8.2.   For an exhaust aftertreatment based on a periodic regeneration process, the emissions shall be measured on at least two ETC tests, one during and one outside a regeneration event on a stabilised aftertreatment system, and the results be weighted.The regeneration process shall occur at least once during the ETC test. The engine may be equipped with a switch capable of preventing or permitting the regeneration process provided this operation has no effect on the original engine calibration.The manufacturer shall declare the normal parameter conditions under which the regeneration process occurs (soot load, temperature, exhaust back-pressure etc) and its duration time (n2). The manufacturer shall also provide all the data to determine the time between two regenerations (n1). The exact procedure to determine this time shall be agreed by the Technical Service based upon good engineering judgement.The manufacturer shall provide an aftertreatment system that has been loaded in order to achieve regeneration during an ETC test. Regeneration shall not occur during this engine conditioning phase.Average emissions between regeneration phases shall be determined from the arithmetic mean of several approximately equidistant ETC tests. It is recommended to run at least one ETC as close as possible prior to a regeneration test and one ETC immediately after a regeneration test. As an alternative, the manufacturer may provide data to show that the emissions remain constant (± 15 %) between regeneration phases. In this case, the emissions of only one ETC test may be used.During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NOxemissions, temperature before and after the aftertreatment system, exhaust back pressure etc).During the regeneration process, the emission limits in table 2 of Annex I can be exceeded.The measured emissions shall be weighted according to section 5.5 and 6.3 of Appendix 2 to this Annex and the final result shall not exceed the limits in table 2 of Annex I.’(e)Appendix 1 is amended as follows:(i)Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’(ii)Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’(iii)The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine’s maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’(iv)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’

                                                                     “(v)Former section 6 is renumbered as section 7.(f)Appendix 2 is amended as follows:(i)Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer’s recommended starting procedure in the owner’s manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50  min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback  torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’(ii)The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine’s maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’(iii)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’(g)Appendix 4 is amended as follows:(i)Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’(ii)Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine’s Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine’s maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’(iii)Sections 2.3 and 2.4 are deleted.(iv)Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’

                                                         “(h)Appendix 5 is amended as follows:(i)The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’(ii)Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’(iii)The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’(iv)Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’(v)Former section 1.6 becomes section 1.6.7.(vi)The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer’s prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’(vii)Former section 2.4 becomes Section 2.5.(viii)Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’(i)The following Appendix 6 is added:‘Appendix 6CARBON FLOW CHECK1.   INTRODUCTIONAll but a tiny part of the carbon in the exhaust comes from the fuel, and all but a minimal part of this is manifest in the exhaust gas as CO2. This is the basis for a system verification check based on CO2measurements.The flow of carbon into the exhaust measurement systems is determined from the fuel flow rate. The flow of carbon at various sampling points in the emissions and particulate sampling systems is determined from the CO2concentrations and gas flow rates at those points.In this sense, the engine provides a known source of carbon flow, and observing the same carbon flow in the exhaust pipe and at the outlet of the partial flow PM sampling system verifies leak integrity and flow measurement accuracy. This check has the advantage that the components are operating under actual engine test conditions of temperature and flow.The following diagram shows the sampling points at which the carbon flows shall be checked. The specific equations for the carbon flows at each of the sample points are given below.Measuring points for carbon flow checkAirFuelCO2 RAWENGINEPartial Flow SystemCO2 PFS2.   CALCULATIONS2.1.   Carbon flow rate into the engine (location 1)The carbon mass flow rate into the engine for a fuel CHαOεis given by:Text of imageqmCf = 12,011 12,011 + α + 15,9994 × ε × qmfwhere:qmf= fuel mass flow rate, kg/s2.2.   Carbon flow rate in the raw exhaust (location 2)The carbon mass flow rate in the exhaust pipe of the engine shall be determined from the raw CO2concentration and the exhaust gas mass flow rate:Text of imageqmCe = (cCO2,r – cCO2,a 100) × qmew × 12,011 Mrewhere:cCO2,r=wet CO2concentration in the raw exhaust gas, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmew=exhaust gas mass flow rate on wet basis, kg/sMre=molecular mass of exhaust gasIf CO2is measured on a dry basis it shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex.2.3.   Carbon flow rate in the dilution system (location 3)The carbon flow rate shall be determined from the dilute CO2concentration, the exhaust gas mass flow rate and the sample flow rate:Text of imageqmCp = (cCO2,d – cCO2,a 100) × qmdew × 12,011 Mre × qmew qmpwhere:cCO2,d=wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmdew=diluted exhaust gas mass flow rate on wet basis, kg/sqmew=exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)qmp=sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)Mre=molecular mass of exhaust gasIf CO2is measured on a dry basis, it shall be converted to wet basis according to section 5.2 of Appendix 1 to this Annex.2.4.   The molecular mass (Mre) of the exhaust gas shall be calculated as follows:Text of imageMre = 1 + qmf qmaw qmf qmaw × α 4 + ε 2 + δ 2 12,011 + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γ + Ha × 10–3 2 × 1,00794 + 15,9994 + 1 Mra 1 + Ha × 10–3where:qmf=fuel mass flow rate, kg/sqmaw=intake air mass flow rate on wet basis, kg/sHa=humidity of intake air, g water per kg dry airMra=molecular mass of dry intake air (= 28,9 g/mol)α, δ, ε, γ=molar ratios referring to a fuel CHαOδNεSγAlternatively, the following molecular masses may be used:Mre(diesel)=28,9 g/molMre(LPG)=28,6 g/molMre(NG)=28,3 g/mol’ | (a) | Section 1.3.1 is replaced by the following:‘1.3.1.   ESC TestDuring a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw or diluted exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. For particulate measurement, the exhaust gas shall be diluted with conditioned ambient air using either a partial flow or full flow dilution system. The particulates shall be collected on a single suitable filter in proportion to the weighting factors of each mode. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NOxshall be measured at three test points within the control area selected by the Technical Service and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NOxcontrol check ensures the effectiveness of the emission control of the engine within the typical engine operating range.’ | (b) | Section 1.3.3 is replaced by the following:‘1.3.3.   ETC TestDuring a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined either after diluting the total exhaust gas with conditioned ambient air (CVS system with double dilution for particulates) or by determining the gaseous components in the raw exhaust gas and the particulates with a partial flow dilution system. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. For a CVS system, the concentration of NOxand HC shall be determined over the cycle by integration of the analyser signal, whereas the concentration of CO, CO2, and NMHC may be determined by integration of the analyser signal or by bag sampling. If measured in the raw exhaust gas, all gaseous components shall be determined over the cycle by integration of the analyser signal. For particulates, a proportional sample shall be collected on a suitable filter. The raw or diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex.’ | (c) | Section 2.1 is replaced by the following:‘2.1.   Engine Test Conditions2.1.1.   The absolute temperature (Ta) of the engine air at the inlet to the engine expressed in Kelvin, and the dry atmospheric pressure (ps), expressed in kPa shall be measured and the parameterfashall be determined according to the following provisions. In multi-cylinder engines having distinct groups of intake manifolds, for example, in a “V” engine configuration, the average temperature of the distinct groups shall be taken.(a)for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image(b)for spark-ignition engines:Text of image2.1.2.   Test ValidityFor a test to be recognised as valid, the parameterfashall be such that:0,96 ≤fa≤ 1,06’ | (a) | for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image | (b) | for spark-ignition engines:Text of image | (d) | Section 2.8 is replaced by the following:If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle shall be representative of the emissions in the field. In the case of an engine equipped with a exhaust aftertreatment system that requires the consumption of a reagent, the reagent used for all tests shall comply with section 2.2.1.13 of Appendix 1 to Annex II.2.8.1.   For an exhaust aftertreatment system based on a continuous regeneration process the emissions shall be measured on a stabilised aftertreatment system.The regeneration process shall occur at least once during the ETC test and the manufacturer shall declare the normal conditions under which regeneration occurs (soot load, temperature, exhaust back-pressure, etc).In order to verify the regeneration process at least 5 ETC tests shall be conducted. During the tests the exhaust temperature and pressure shall be recorded (temperature before and after the aftertreatment system, exhaust back pressure, etc).The aftertreatment system is considered to be satisfactory if the conditions declared by the manufacturer occur during the test during a sufficient time.The final test result shall be the arithmetic mean of the different ETC test results.If the exhaust aftertreatment has a security mode that shifts to a periodic regeneration mode it should be checked following section 2.8.2. For that specific case the emission limits in table 2 of Annex I could be exceeded and would not be weighted.2.8.2.   For an exhaust aftertreatment based on a periodic regeneration process, the emissions shall be measured on at least two ETC tests, one during and one outside a regeneration event on a stabilised aftertreatment system, and the results be weighted.The regeneration process shall occur at least once during the ETC test. The engine may be equipped with a switch capable of preventing or permitting the regeneration process provided this operation has no effect on the original engine calibration.The manufacturer shall declare the normal parameter conditions under which the regeneration process occurs (soot load, temperature, exhaust back-pressure etc) and its duration time (n2). The manufacturer shall also provide all the data to determine the time between two regenerations (n1). The exact procedure to determine this time shall be agreed by the Technical Service based upon good engineering judgement.The manufacturer shall provide an aftertreatment system that has been loaded in order to achieve regeneration during an ETC test. Regeneration shall not occur during this engine conditioning phase.Average emissions between regeneration phases shall be determined from the arithmetic mean of several approximately equidistant ETC tests. It is recommended to run at least one ETC as close as possible prior to a regeneration test and one ETC immediately after a regeneration test. As an alternative, the manufacturer may provide data to show that the emissions remain constant (± 15 %) between regeneration phases. In this case, the emissions of only one ETC test may be used.During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NOxemissions, temperature before and after the aftertreatment system, exhaust back pressure etc).During the regeneration process, the emission limits in table 2 of Annex I can be exceeded.The measured emissions shall be weighted according to section 5.5 and 6.3 of Appendix 2 to this Annex and the final result shall not exceed the limits in table 2 of Annex I.’ | (e) | Appendix 1 is amended as follows:(i)Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’(ii)Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’(iii)The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine's maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’(iv)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’

                                                                     “(v)Former section 6 is renumbered as section 7. | (i) | Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’ | (ii) | Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’ | (iii) | The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine’s maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’ | — | pressure differential devices, like flow nozzle, | — | ultrasonic flowmeter, | — | vortex flowmeter. | (iv) | Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’

                                                                     ” | pr | = | water vapour pressure after cooling bath, kPa, | pb | = | total atmospheric pressure, kPa, | Ha | = | intake air humidity, g water per kg dry air, | kf | = | 0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS | Ha | = | intake air humidity, g water per kg dry air | Hd | = | dilution air humidity, g water per kg dry air | (a) | for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae. | Ta | = | temperature of the intake air, K | Ha | = | humidity of the intake air, g water per kg dry air | (b) | for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae. | (a) | for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h | ugas | = | ratio between density of exhaust component and density of exhaust gas | cgas | = | concentration of the respective component in the raw exhaust gas, ppm | qmew | = | exhaust mass flow rate, kg/h | (b) | for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex. | ugas | = | ratio between density of exhaust component and density of air | cgas,c | = | background corrected concentration of the respective component in the diluted exhaust gas, ppm | qmdew | = | diluted exhaust mass flow rate, kg/h | Fuel |  | NOx | CO | THC/NMHC | CO2 | CH4 | Diesel | Exhaust raw | 0,001587 | 0,000966 | 0,000479 | 0,001518 | 0,000553 | Exhaust dilute | 0,001588 | 0,000967 | 0,000480 | 0,001519 | 0,000553 | Ethanol | Exhaust raw | 0,001609 | 0,000980 | 0,000805 | 0,001539 | 0,000561 | Exhaust dilute | 0,001588 | 0,000967 | 0,000795 | 0,001519 | 0,000553 | CNG | Exhaust raw | 0,001622 | 0,000987 | 0,000523 | 0,001552 | 0,000565 | Exhaust dilute | 0,001588 | 0,000967 | 0,000584 | 0,001519 | 0,000553 | Propane | Exhaust raw | 0,001603 | 0,000976 | 0,000511 | 0,001533 | 0,000559 | Exhaust dilute | 0,001588 | 0,000967 | 0,000507 | 0,001519 | 0,000553 | Butane | Exhaust raw | 0,001600 | 0,000974 | 0,000505 | 0,001530 | 0,000558 | Exhaust dilute | 0,001588 | 0,000967 | 0,000501 | 0,001519 | 0,000553 | Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4). | — | uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa | — | uvalues of dilute exhaust based on ideal gas properties and density of air | — | uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 % | — | uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4). | cwE | = | wet concentration of the tracer gas in the raw exhaust | cwD | = | wet concentration of the tracer gas in the diluted exhaust | cwA | = | wet concentration of the tracer gas in the dilution air | c(CO2)D | = | CO2concentration of the diluted exhaust | c(CO2)A | = | CO2concentration of the dilution air | (v) | Former section 6 is renumbered as section 7. | (f) | Appendix 2 is amended as follows:(i)Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer’s recommended starting procedure in the owner’s manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50  min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback  torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’(ii)The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine’s maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’(iii)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’ | (i) | Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer’s recommended starting procedure in the owner’s manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50  min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback  torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’ | — | start collecting or analysing dilution air, | — | start collecting or analysing diluted exhaust gas, | — | start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures, | — | start recording the feedback data of speed and torque of the dynamometer. | — | start analysing the raw exhaust gas concentrations, | — | start measuring the exhaust gas or intake air and fuel flow rate, | — | start recording the feedback data of speed and torque of the dynamometer. | — | The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95, | — | The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum, | — | qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum. | y | = | Feedback (actual) value of speed (min-1), torque (Nm), or power (kW) | m | = | slope of the regression line | x | = | reference value of speed (min-1), torque (Nm), or power (kW) | b | = | y intercept of the regression line |  | Speed | Torque | Power | Standard error of estimate (SE) of Y on X | Max 100 min–1 | Max 13 % (15 %)(*)of power map maximum engine torque | Max 8 % (15 %)(*)of power map maximum engine power | Slope of the regression line, m | 0,95 to 1,03 | 0,83–1,03 | 0,89–1,03(0,83–1,03)(*) | Coefficient of determination, r2 | min 0,9700(min 0,9500)(*) | min 0,8800(min 0,7500)(*) | min 0,9100(min 0,7500)(*) | Y intercept of the regression line, b | ± 50  min–1 | ± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater | ± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater | Conditions | Points to be deleted | Full load demand and torque feedback < 95 % torque reference | Torque and/or power | Full load demand and speed feedback  torque reference | Torque and/or power | No load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque | Speed and/or power | No load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque reference | Torque and/or power | No load and speed feedback > 105 % speed reference | Speed and/or power’ | (ii) | The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine’s maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’ | V0 | = | volume of gas pumped per revolution under test conditions, m3/rev | NP | = | total revolutions of pump per test | pb | = | atmospheric pressure in the test cell, kPa | p1 | = | pressure depression below atmospheric at pump inlet, kPa | T | = | average temperature of the diluted exhaust gas at pump inlet over the cycle, K | t | = | cycle time, s | Kv | = | calibration coefficient of the critical flow venturi for standard conditions, | pp | = | absolute pressure at venturi inlet, kPa | T | = | absolute temperature at venturi inlet, K | A0 | = | collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of | d | = | diameter of the SSV throat, m | Cd | = | discharge coefficient of the SSV | pp | = | absolute pressure at venturi inlet, kPa | T | = | temperature at the venturi inlet, K | rp | = | ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA | rD | = | ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D | — | pressure differential devices, like flow nozzle, | — | ultrasonic flowmeter, | — | vortex flowmeter. | qmew,i | = | instantaneous exhaust mass flow, kg/s | qvt | = | tracer gas flow, cm3/min | cmix.i | = | instantaneous concentration of the tracer gas after mixing, ppm | ρe | = | density of the exhaust gas, kg/m3(cf. table 3) | ca | = | background concentration of the tracer gas in the intake air, ppm | A/Fst | = | stoichiometric air to fuel ratio, kg/kg | λ | = | excess air ratio | cCO2 | = | dry CO2concentration, % | cCO | = | dry CO concentration, ppm | cHC | = | HC concentration, ppm | (iii) | Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’ | (a) | for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements | ugas | = | ratio between density of exhaust component and density of exhaust gas from table 6 | cgas,i | = | instantaneous concentration of the respective component in the raw exhaust gas, ppm | qmew,i | = | instantaneous exhaust mass flow rate, kg/s | f | = | data sampling rate, Hz | n | = | number of measurements | (b) | for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg | ugas | = | ratio between density of exhaust component and density of air from table 6 | cgas | = | average background corrected concentration of the respective component, ppm | med | = | total diluted exhaust mass over the cycle, kg | (c) | for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1) | ce,i | = | instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm | cd | = | concentration of the respective component measured in the dilution air, ppm | qmdew,i | = | instantaneous diluted exhaust gas mass flow rate, kg/s | med | = | total mass of diluted exhaust gas over the cycle, kg | ugas | = | ratio between density of exhaust component and density of air from table 6 | D | = | dilution factor (see section 5.4.1) | (a) | GC method (full flow dilution system, only):cNMHC= cHC– cCH4 | (b) | NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC | cHC(w/Cutter) | = | HC concentration with the sample gas flowing through the NMC | cHC(w/oCutter) | = | HC concentration with the sample gas bypassing the NMC | ce | = | concentration of the respective pollutant measured in the diluted exhaust gas, ppm | cd | = | concentration of the respective pollutant measured in the dilution air, ppm | D | = | dilution factor | (a) | for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4 | (b) | for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5 | cCO2 | = | concentration of CO2in the diluted exhaust gas, % vol | cHC | = | concentration of HC in the diluted exhaust gas, ppm C1 | cNMHC | = | concentration of NMHC in the diluted exhaust gas, ppm C1 | cCO | = | concentration of CO in the diluted exhaust gas, ppm | FS | = | stoichiometric factor | FS(diesel) | = | 13,4 | FS(LPG) | = | 11,6 | FS(NG) | = | 9,5 | (a) | all components, except NOx:Text of imageMgas = mgas Wact | (b) | NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2. | n1 | = | number of ETC tests between two regenerations | n2 | = | number of ETC during a regeneration (minimum of one ETC test) | Mgas,n2 | = | emissions during a regeneration | Mgas,n1 | = | emissions after a regeneration. | mf | = | particulate mass sampled over the cycle, mg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | med | = | mass of diluted exhaust gas over the cycle, kg | mset | = | mass of double diluted exhaust gas through particulate filter, kg | mssd | = | mass of secondary dilution air, kg | mPT, msep, med | = | see above | md | = | mass of primary dilution air sampled by background particulate sampler, kg | mf,d | = | mass of the collected background particulates of the primary dilution air, mg | D | = | dilution factor as determined in section 5.4.1. | (a) | Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements | mf | = | particulate mass sampled over the cycle, mg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | medf | = | mass of equivalent diluted exhaust gas over the cycle, kg | qmedf,i | = | instantaneous equivalent diluted exhaust mass flow rate, kg/s | qmew,i | = | instantaneous exhaust mass flow rate, kg/s | rd,i | = | instantaneous dilution ratio | qmdew,i | = | instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s | qmdw,i | = | instantaneous dilution air mass flow rate, kg/s | f | = | data sampling rate, Hz | n | = | number of measurements | (b) | Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical. | mf | = | particulate mass sampled over the cycle, mg | rs | = | average sample ratio over the test cycle | mse | = | sample mass over the cycle, kg | mew | = | total exhaust mass flow over the cycle, kg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | msed | = | mass of diluted exhaust gas passing the dilution tunnel, kg. | n1 | = | number of ETC tests between two regeneration events | n2 | = | number of ETC tests during a regeneration (minimum of one ETC) | Text of imagePTn2 | = | emissions during a regeneration | Text of imagePTn1 | = | emissions outside a regeneration.’ | (g) | Appendix 4 is amended as follows:(i)Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’(ii)Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine’s Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine’s maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’(iii)Sections 2.3 and 2.4 are deleted.(iv)Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’

                                                         ” | (i) | Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’ | — | a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or | — | a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or | — | any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’ | (ii) | Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine’s Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine’s maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’ | Measuring Instrument | Accuracy | Fuel Consumption | ± 2  % of Engine’s Maximum Value | Air Consumption | ± 2  % of reading or ± 1  % of engine’s maximum value whichever is greater | Exhaust Gas Flow | ± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greater | Temperatures ≤ 600 K (327 °C) | ± 2  K Absolute | Temperatures ≥ 600 K (327 °C) | ± 1  % of Reading | Atmospheric Pressure | ± 0,1  kPa Absolute | Exhaust Gas Pressure | ± 0,2  kPa Absolute | Intake Depression | ± 0,05  kPa Absolute | Other Pressures | ± 0,1  kPa Absolute | Relative Humidity | ± 3  % Absolute | Absolute Humidity | ± 5  % of Reading | Dilution Air Flow | ± 2  % of Reading | Diluted Exhaust Gas Flow | ± 2  % of Reading’ | (iii) | Sections 2.3 and 2.4 are deleted. | (iv) | Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’

                                                         ” | ± 3 % of reading | λ < 2 | ± 5 % of reading | 2 ≤ λ < 5 | ± 10 % of reading | 5 ≤ λ | — | the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test, | — | the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx. | Filter Diameter (mm) | Minimum loading (mg) | 47 | 0,11 | 70 | 0,25 | 90 | 0,41 | 110 | 0,62 | (h) | Appendix 5 is amended as follows:(i)The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’(ii)Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’(iii)The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’(iv)Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’(v)Former section 1.6 becomes section 1.6.7.(vi)The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’(vii)Former section 2.4 becomes Section 2.5.(viii)Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’ | (i) | The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’ | (ii) | Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’ | Vs | = | system volume, l | qvs | = | system flow rate, l/min | (iii) | The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’ | (iv) | Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’ | — | Each normally used operating range shall be calibrated | — | Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero | — | The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established | — | The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale | — | The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used | — | The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger | — | The zero setting shall be rechecked and the calibration procedure repeated, if necessary. | (v) | Former section 1.6 becomes section 1.6.7. | (vi) | The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’ | QSSV | = | air flow rate at standard conditions (101,3 kPa, 273 K), m3/s | T | = | temperature at the venturi inlet, K | d | = | diameter of the SSV throat, m | rp | = | ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA | rD | = | ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D | A1 | = | a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m) | QSSV | = | air flow rate at standard conditions (101,3 kPa, 273 K), m3/s | d | = | diameter of the SSV throat, m | μ | = | absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s | b | = | empirical constant =Text of image1,458 × 10 6 kg msK 1/2 | S | = | empirical constant = 110,4K | (vii) | Former section 2.4 becomes Section 2.5. | (viii) | Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’ | — | To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards. | — | If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd | (a) | The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed. | (b) | A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test. | (c) | The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test. | (d) | A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd | — | The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp. | — | A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration. | — | The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1. | — | If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other. | — | A pre-test check shall be performed within 2 hours before the test run in the following way: | — | The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test. | — | If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted. | — | The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method: | — | An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice. | — | A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz. | — | From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex). | — | The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex. | (i) | The following Appendix 6 is added:‘Appendix 6CARBON FLOW CHECK1.   INTRODUCTIONAll but a tiny part of the carbon in the exhaust comes from the fuel, and all but a minimal part of this is manifest in the exhaust gas as CO2. This is the basis for a system verification check based on CO2measurements.The flow of carbon into the exhaust measurement systems is determined from the fuel flow rate. The flow of carbon at various sampling points in the emissions and particulate sampling systems is determined from the CO2concentrations and gas flow rates at those points.In this sense, the engine provides a known source of carbon flow, and observing the same carbon flow in the exhaust pipe and at the outlet of the partial flow PM sampling system verifies leak integrity and flow measurement accuracy. This check has the advantage that the components are operating under actual engine test conditions of temperature and flow.The following diagram shows the sampling points at which the carbon flows shall be checked. The specific equations for the carbon flows at each of the sample points are given below.Measuring points for carbon flow checkAirFuelCO2 RAWENGINEPartial Flow SystemCO2 PFS2.   CALCULATIONS2.1.   Carbon flow rate into the engine (location 1)The carbon mass flow rate into the engine for a fuel CHαOεis given by:Text of imageqmCf = 12,011 12,011 + α + 15,9994 × ε × qmfwhere:qmf= fuel mass flow rate, kg/s2.2.   Carbon flow rate in the raw exhaust (location 2)The carbon mass flow rate in the exhaust pipe of the engine shall be determined from the raw CO2concentration and the exhaust gas mass flow rate:Text of imageqmCe = (cCO2,r – cCO2,a 100) × qmew × 12,011 Mrewhere:cCO2,r=wet CO2concentration in the raw exhaust gas, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmew=exhaust gas mass flow rate on wet basis, kg/sMre=molecular mass of exhaust gasIf CO2is measured on a dry basis it shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex.2.3.   Carbon flow rate in the dilution system (location 3)The carbon flow rate shall be determined from the dilute CO2concentration, the exhaust gas mass flow rate and the sample flow rate:Text of imageqmCp = (cCO2,d – cCO2,a 100) × qmdew × 12,011 Mre × qmew qmpwhere:cCO2,d=wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmdew=diluted exhaust gas mass flow rate on wet basis, kg/sqmew=exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)qmp=sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)Mre=molecular mass of exhaust gasIf CO2is measured on a dry basis, it shall be converted to wet basis according to section 5.2 of Appendix 1 to this Annex.2.4.   The molecular mass (Mre) of the exhaust gas shall be calculated as follows:Text of imageMre = 1 + qmf qmaw qmf qmaw × α 4 + ε 2 + δ 2 12,011 + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γ + Ha × 10–3 2 × 1,00794 + 15,9994 + 1 Mra 1 + Ha × 10–3where:qmf=fuel mass flow rate, kg/sqmaw=intake air mass flow rate on wet basis, kg/sHa=humidity of intake air, g water per kg dry airMra=molecular mass of dry intake air (= 28,9 g/mol)α, δ, ε, γ=molar ratios referring to a fuel CHαOδNεSγAlternatively, the following molecular masses may be used:Mre(diesel)=28,9 g/molMre(LPG)=28,6 g/molMre(NG)=28,3 g/mol’ | cCO2,r | = | wet CO2concentration in the raw exhaust gas, % | cCO2,a | = | wet CO2concentration in the ambient air, % (around 0,04 %) | qmew | = | exhaust gas mass flow rate on wet basis, kg/s | Mre | = | molecular mass of exhaust gas | cCO2,d | = | wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, % | cCO2,a | = | wet CO2concentration in the ambient air, % (around 0,04 %) | qmdew | = | diluted exhaust gas mass flow rate on wet basis, kg/s | qmew | = | exhaust gas mass flow rate on wet basis, kg/s (partial flow system only) | qmp | = | sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only) | Mre | = | molecular mass of exhaust gas | qmf | = | fuel mass flow rate, kg/s | qmaw | = | intake air mass flow rate on wet basis, kg/s | Ha | = | humidity of intake air, g water per kg dry air | Mra | = | molecular mass of dry intake air (= 28,9 g/mol) | α, δ, ε, γ | = | molar ratios referring to a fuel CHαOδNεSγ | Mre(diesel) | = | 28,9 g/mol | Mre(LPG) | = | 28,6 g/mol | Mre(NG) | = | 28,3 g/mol’

(a) | Section 1.3.1 is replaced by the following:‘1.3.1.   ESC TestDuring a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw or diluted exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. For particulate measurement, the exhaust gas shall be diluted with conditioned ambient air using either a partial flow or full flow dilution system. The particulates shall be collected on a single suitable filter in proportion to the weighting factors of each mode. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NOxshall be measured at three test points within the control area selected by the Technical Service and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NOxcontrol check ensures the effectiveness of the emission control of the engine within the typical engine operating range.’

(b) | Section 1.3.3 is replaced by the following:‘1.3.3.   ETC TestDuring a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined either after diluting the total exhaust gas with conditioned ambient air (CVS system with double dilution for particulates) or by determining the gaseous components in the raw exhaust gas and the particulates with a partial flow dilution system. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. For a CVS system, the concentration of NOxand HC shall be determined over the cycle by integration of the analyser signal, whereas the concentration of CO, CO2, and NMHC may be determined by integration of the analyser signal or by bag sampling. If measured in the raw exhaust gas, all gaseous components shall be determined over the cycle by integration of the analyser signal. For particulates, a proportional sample shall be collected on a suitable filter. The raw or diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex.’

(c) | Section 2.1 is replaced by the following:‘2.1.   Engine Test Conditions2.1.1.   The absolute temperature (Ta) of the engine air at the inlet to the engine expressed in Kelvin, and the dry atmospheric pressure (ps), expressed in kPa shall be measured and the parameterfashall be determined according to the following provisions. In multi-cylinder engines having distinct groups of intake manifolds, for example, in a “V” engine configuration, the average temperature of the distinct groups shall be taken.(a)for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image(b)for spark-ignition engines:Text of image2.1.2.   Test ValidityFor a test to be recognised as valid, the parameterfashall be such that:0,96 ≤fa≤ 1,06’ | (a) | for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image | (b) | for spark-ignition engines:Text of image

(a) | for compression-ignition engines:Naturally aspirated and mechanically supercharged engines:Text of imageTurbocharged engines with or without cooling of the intake air:Text of image

(b) | for spark-ignition engines:Text of image

(d) | Section 2.8 is replaced by the following:If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle shall be representative of the emissions in the field. In the case of an engine equipped with a exhaust aftertreatment system that requires the consumption of a reagent, the reagent used for all tests shall comply with section 2.2.1.13 of Appendix 1 to Annex II.2.8.1.   For an exhaust aftertreatment system based on a continuous regeneration process the emissions shall be measured on a stabilised aftertreatment system.The regeneration process shall occur at least once during the ETC test and the manufacturer shall declare the normal conditions under which regeneration occurs (soot load, temperature, exhaust back-pressure, etc).In order to verify the regeneration process at least 5 ETC tests shall be conducted. During the tests the exhaust temperature and pressure shall be recorded (temperature before and after the aftertreatment system, exhaust back pressure, etc).The aftertreatment system is considered to be satisfactory if the conditions declared by the manufacturer occur during the test during a sufficient time.The final test result shall be the arithmetic mean of the different ETC test results.If the exhaust aftertreatment has a security mode that shifts to a periodic regeneration mode it should be checked following section 2.8.2. For that specific case the emission limits in table 2 of Annex I could be exceeded and would not be weighted.2.8.2.   For an exhaust aftertreatment based on a periodic regeneration process, the emissions shall be measured on at least two ETC tests, one during and one outside a regeneration event on a stabilised aftertreatment system, and the results be weighted.The regeneration process shall occur at least once during the ETC test. The engine may be equipped with a switch capable of preventing or permitting the regeneration process provided this operation has no effect on the original engine calibration.The manufacturer shall declare the normal parameter conditions under which the regeneration process occurs (soot load, temperature, exhaust back-pressure etc) and its duration time (n2). The manufacturer shall also provide all the data to determine the time between two regenerations (n1). The exact procedure to determine this time shall be agreed by the Technical Service based upon good engineering judgement.The manufacturer shall provide an aftertreatment system that has been loaded in order to achieve regeneration during an ETC test. Regeneration shall not occur during this engine conditioning phase.Average emissions between regeneration phases shall be determined from the arithmetic mean of several approximately equidistant ETC tests. It is recommended to run at least one ETC as close as possible prior to a regeneration test and one ETC immediately after a regeneration test. As an alternative, the manufacturer may provide data to show that the emissions remain constant (± 15 %) between regeneration phases. In this case, the emissions of only one ETC test may be used.During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NOxemissions, temperature before and after the aftertreatment system, exhaust back pressure etc).During the regeneration process, the emission limits in table 2 of Annex I can be exceeded.The measured emissions shall be weighted according to section 5.5 and 6.3 of Appendix 2 to this Annex and the final result shall not exceed the limits in table 2 of Annex I.’

(e) | Appendix 1 is amended as follows:(i)Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’(ii)Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’(iii)The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine’s maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’(iv)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’

                                                                     “(v)Former section 6 is renumbered as section 7. | (i) | Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’ | (ii) | Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’ | (iii) | The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine’s maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’ | — | pressure differential devices, like flow nozzle, | — | ultrasonic flowmeter, | — | vortex flowmeter. | (iv) | Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’

                                                                     ” | pr | = | water vapour pressure after cooling bath, kPa, | pb | = | total atmospheric pressure, kPa, | Ha | = | intake air humidity, g water per kg dry air, | kf | = | 0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS | Ha | = | intake air humidity, g water per kg dry air | Hd | = | dilution air humidity, g water per kg dry air | (a) | for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae. | Ta | = | temperature of the intake air, K | Ha | = | humidity of the intake air, g water per kg dry air | (b) | for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae. | (a) | for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h | ugas | = | ratio between density of exhaust component and density of exhaust gas | cgas | = | concentration of the respective component in the raw exhaust gas, ppm | qmew | = | exhaust mass flow rate, kg/h | (b) | for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex. | ugas | = | ratio between density of exhaust component and density of air | cgas,c | = | background corrected concentration of the respective component in the diluted exhaust gas, ppm | qmdew | = | diluted exhaust mass flow rate, kg/h | Fuel |  | NOx | CO | THC/NMHC | CO2 | CH4 | Diesel | Exhaust raw | 0,001587 | 0,000966 | 0,000479 | 0,001518 | 0,000553 | Exhaust dilute | 0,001588 | 0,000967 | 0,000480 | 0,001519 | 0,000553 | Ethanol | Exhaust raw | 0,001609 | 0,000980 | 0,000805 | 0,001539 | 0,000561 | Exhaust dilute | 0,001588 | 0,000967 | 0,000795 | 0,001519 | 0,000553 | CNG | Exhaust raw | 0,001622 | 0,000987 | 0,000523 | 0,001552 | 0,000565 | Exhaust dilute | 0,001588 | 0,000967 | 0,000584 | 0,001519 | 0,000553 | Propane | Exhaust raw | 0,001603 | 0,000976 | 0,000511 | 0,001533 | 0,000559 | Exhaust dilute | 0,001588 | 0,000967 | 0,000507 | 0,001519 | 0,000553 | Butane | Exhaust raw | 0,001600 | 0,000974 | 0,000505 | 0,001530 | 0,000558 | Exhaust dilute | 0,001588 | 0,000967 | 0,000501 | 0,001519 | 0,000553 | Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4). | — | uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa | — | uvalues of dilute exhaust based on ideal gas properties and density of air | — | uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 % | — | uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4). | cwE | = | wet concentration of the tracer gas in the raw exhaust | cwD | = | wet concentration of the tracer gas in the diluted exhaust | cwA | = | wet concentration of the tracer gas in the dilution air | c(CO2)D | = | CO2concentration of the diluted exhaust | c(CO2)A | = | CO2concentration of the dilution air | (v) | Former section 6 is renumbered as section 7.

(i) | Section 2.1 is replaced by the following:‘2.1.   Preparation of the Sampling FilterAt least one hour before the test, each filter shall be placed in a partially covered petri dish which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.’

(ii) | Section 2.7.4. is replaced by the following:‘2.7.4.   Particulate SamplingOne filter shall be used for the complete test procedure. The modal weighting factors specified in the test cycle procedure shall be taken into account by taking a sample proportional to the exhaust mass flow during each individual mode of the cycle. This can be achieved by adjusting sample flow rate, sampling time, and/or dilution ratio, accordingly, so that the criterion for the effective weighting factors in section 5.6 is met.The sampling time per mode must be at least 4 seconds per 0,01 weighting factor. Sampling must be conducted as late as possible within each mode. Particulate sampling shall be completed no earlier than 5 seconds before the end of each mode.’

(iii) | The following new section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of Raw Exhaust Gas Mass FlowFor calculation of the emissions in the raw exhaust, it is necessary to know the exhaust gas flow. The exhaust gas mass flow rate shall be determined in accordance with section 4.1.1 or 4.1.2. The accuracy of exhaust flow determination shall be ± 2,5 % of reading or ± 1,5 % of the engine’s maximum value whichever is the greater. Equivalent methods (e.g. those described in section 4.2 of Appendix 2 to this Annex) may be used.4.1.1.   Direct measurement methodDirect measurement of the exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Especially, engine performance and emissions shall not be affected by the installation of the device.4.1.2.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total accuracy requirement of section 4.1. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.   Determination of Diluted Exhaust Gas Mass FlowFor calculation of the emissions in the diluted exhaust using a full flow dilution system it is necessary to know the diluted exhaust gas flow. The flow rate of the diluted exhaust (qmdew) shall be measured over each mode with a PDP-CVS, CFV-CVS or SSV-CVS in line with the general formulae given in section 4.1 of Appendix 2 to this Annex. The accuracy shall be ± 2 % of reading or better, and shall be determined according to the provisions of section 2.4 of Appendix 5 to this Annex.’ | — | pressure differential devices, like flow nozzle, | — | ultrasonic flowmeter, | — | vortex flowmeter.

— | pressure differential devices, like flow nozzle,

— | ultrasonic flowmeter,

— | vortex flowmeter.

(iv) | Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data EvaluationFor the evaluation of the gaseous emissions, the chart reading of the last 30 seconds of each mode shall be averaged and the average concentrations (conc) of HC, CO and NOxduring each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.For the NOxcheck within the control area, the above requirements apply for NOxonly.The exhaust gas flowqmewor the diluted exhaust gas flowqmdew, if used optionally, shall be determined in accordance with section 2.3 of Appendix 4 to this Annex.5.2.   Dry/Wet CorrectionThe measured concentration shall be converted to a wet basis according to the following formulae, if not already measured on a wet basis. The conversion shall be done for each individual mode.cwet= kw× cdryFor the raw exhaust gas:Text of imageorText of imagewhere:pr=water vapour pressure after cooling bath, kPa,pb=total atmospheric pressure, kPa,Ha=intake air humidity, g water per kg dry air,kf=0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPSFor the diluted exhaust gas:Text of imageor,Text of imageFor the dilution air:KWd= 1 – KW1Text of imageFor the intake air:KWa= 1 –KW2Text of imagewhere:Ha=intake air humidity, g water per kg dry airHd=dilution air humidity, g water per kg dry airand may be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in the following formulae. The factors are valid in the range between 0 and 25 g/kg dry air.(a)for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.(b)for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.5.4.   Calculation of the emission mass flow ratesThe emission mass flow rate (g/h) for each mode shall be calculated as follows. For the calculation of NOx, the humidity correction factorkh,D, orkh,G, as applicable, as determined according to section 5.3, shall be used.The measured concentration shall be converted to a wet basis according to section 5.2 if not already measured on a wet basis. Values forugasare given in Table 6 for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h(b)for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex.5.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated for all individual components in the following way:Text of imagewhere:mgasis the mass of individual gasPnis the net power determined according to section 8.2 in Annex II.The weighting factors used in the above calculation are according to section 2.7.1.Table 6Values ofugasin the raw and dilute exhaust gas for various exhaust componentsFuelNOxCOTHC/NMHCCO2CH4DieselExhaust raw0,0015870,0009660,0004790,0015180,000553Exhaust dilute0,0015880,0009670,0004800,0015190,000553EthanolExhaust raw0,0016090,0009800,0008050,0015390,000561Exhaust dilute0,0015880,0009670,0007950,0015190,000553CNGExhaust raw0,0016220,0009870,0005230,0015520,000565Exhaust dilute0,0015880,0009670,0005840,0015190,000553PropaneExhaust raw0,0016030,0009760,0005110,0015330,000559Exhaust dilute0,0015880,0009670,0005070,0015190,000553ButaneExhaust raw0,0016000,0009740,0005050,0015300,000558Exhaust dilute0,0015880,0009670,0005010,0015190,000553Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).5.6.   Calculation of the area control valuesFor the three control points selected according to section 2.7.6, the NOxemission shall be measured and calculated according to section 5.6.1 and also determined by interpolation from the modes of the test cycle closest to the respective control point according to section 5.6.2. The measured values are then compared to the interpolated values according to section 5.6.3.5.6.1.   Calculation of the Specific EmissionThe NOxemission for each of the control points (Z) shall be calculated as follows:mNOx,Z= 0,001587 ×cNOx,Z×kh,D×qmewText of image5.6.2.   Determination of the Emission Value from the Test CycleThe NOxemission for each of the control points shall be interpolated from the four closest modes of the test cycle that envelop the selected control point Z as shown in Figure 4. For these modes (R, S, T, U), the following definitions apply:Speed(R) = Speed(T) = nRTSpeed(S) = Speed(U) = nSUPer cent load(R) = Per cent load(S)Per cent load(T) = Per cent load(U).The NOxemission of the selected control point Z shall be calculated as follows:Text of imageand:Text of imageText of imageText of imageText of imagewhere:ER, ES, ET, EU= specific NOxemission of the enveloping modes calculated in accordance with section 5.6.1.MR, MS, MT, MU= engine torque of the enveloping modes.xTorqueSpeed5.6.3.   Comparison of NOxEmission ValuesThe measured specific NOxemission of the control point Z (NOx,Z) is compared to the interpolated value (EZ) as follows:Text of image6.   CALCULATION OF THE PARTICULATE EMISSIONS6.1.   Data EvaluationFor the evaluation of the particulates, the total sample masses (msep) through the filter shall be recorded for each mode.The filter shall be returned to the weighing chamber and conditioned for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight (see section 2.1) subtracted, which results in the particulate sample massmf.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded. If more than one measurement was made, the quotientmf,d/mdshall be calculated for each single measurement and the values averaged.6.2.   Partial Flow Dilution SystemThe final reported test results of the particulate emission shall be determined through the following steps. Since various types of dilution rate control may be used, different calculation methods forqmedfapply. All calculations shall be based upon the average values of the individual modes during the sampling period.6.2.1.   Isokinetic systemsqmedf= qmew×rdText of imagewhereracorresponds to the ratio of the cross sectional areas of the isokinetic probe and the exhaust pipe:Text of image6.2.2.   Systems with measurement of CO2or NOxconcentrationqmedf=qmew×rdText of imagewhere:cwE=wet concentration of the tracer gas in the raw exhaustcwD=wet concentration of the tracer gas in the diluted exhaustcwA=wet concentration of the tracer gas in the dilution airConcentrations measured on a dry basis shall be converted to a wet basis according to section 5.2 of this Appendix.6.2.3.   Systems with CO2measurement and carbon balance method(*)Text of imagewhere:c(CO2)D=CO2concentration of the diluted exhaustc(CO2)A=CO2concentration of the dilution air(concentrations in vol % on wet basis)This equation is based upon the carbon balance assumption (carbon atoms supplied to the engine are emitted as CO2) and determined through the following steps:qmedf=qmew×rdandText of image6.2.4.   Systems with flow measurementqmedf= qmew× rdText of image6.3.   Full Flow Dilution SystemAll calculations shall be based upon the average values of the individual modes during the sampling period. The diluted exhaust gas flowqmdewshall be determined in accordance with section 4.1 of Appendix 2 to this Annex. The total sample massmsepshall be calculated in accordance with section 6.2.1 of Appendix 2 to this Annex.6.4.   Calculation of the Particulate Mass Flow RateThe particulate mass flow rate shall be calculated as follows. If a full flow dilution system is used,qmedfas determined according to section 6.2 shall be replaced withqmdewas determined according to section 6.3.Text of imagePTmass = mf msep × qmedf 1000Text of imageqmedf = Σ i = 1 i = n qmedfi × WfiText of imagemsep = Σ i = 1 i = n msepii= 1, …nThe particulate mass flow rate may be background corrected as follows:Text of imagePTmass = {mf msep – [mf,d md × Σ i = 1 i = n (1 – 1 Di) × Wfi]} × qmedf 1000whereDshall be calculated in accordance with section 5.4.1 of Appendix 2 to this Annex.(*)The value is only valid for the reference fuel specified in Annex IV.’

                                                                     ” | pr | = | water vapour pressure after cooling bath, kPa, | pb | = | total atmospheric pressure, kPa, | Ha | = | intake air humidity, g water per kg dry air, | kf | = | 0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS | Ha | = | intake air humidity, g water per kg dry air | Hd | = | dilution air humidity, g water per kg dry air | (a) | for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae. | Ta | = | temperature of the intake air, K | Ha | = | humidity of the intake air, g water per kg dry air | (b) | for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae. | (a) | for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h | ugas | = | ratio between density of exhaust component and density of exhaust gas | cgas | = | concentration of the respective component in the raw exhaust gas, ppm | qmew | = | exhaust mass flow rate, kg/h | (b) | for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex. | ugas | = | ratio between density of exhaust component and density of air | cgas,c | = | background corrected concentration of the respective component in the diluted exhaust gas, ppm | qmdew | = | diluted exhaust mass flow rate, kg/h | Fuel |  | NOx | CO | THC/NMHC | CO2 | CH4 | Diesel | Exhaust raw | 0,001587 | 0,000966 | 0,000479 | 0,001518 | 0,000553 | Exhaust dilute | 0,001588 | 0,000967 | 0,000480 | 0,001519 | 0,000553 | Ethanol | Exhaust raw | 0,001609 | 0,000980 | 0,000805 | 0,001539 | 0,000561 | Exhaust dilute | 0,001588 | 0,000967 | 0,000795 | 0,001519 | 0,000553 | CNG | Exhaust raw | 0,001622 | 0,000987 | 0,000523 | 0,001552 | 0,000565 | Exhaust dilute | 0,001588 | 0,000967 | 0,000584 | 0,001519 | 0,000553 | Propane | Exhaust raw | 0,001603 | 0,000976 | 0,000511 | 0,001533 | 0,000559 | Exhaust dilute | 0,001588 | 0,000967 | 0,000507 | 0,001519 | 0,000553 | Butane | Exhaust raw | 0,001600 | 0,000974 | 0,000505 | 0,001530 | 0,000558 | Exhaust dilute | 0,001588 | 0,000967 | 0,000501 | 0,001519 | 0,000553 | Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4). | — | uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa | — | uvalues of dilute exhaust based on ideal gas properties and density of air | — | uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 % | — | uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4). | cwE | = | wet concentration of the tracer gas in the raw exhaust | cwD | = | wet concentration of the tracer gas in the diluted exhaust | cwA | = | wet concentration of the tracer gas in the dilution air | c(CO2)D | = | CO2concentration of the diluted exhaust | c(CO2)A | = | CO2concentration of the dilution air

pr | = | water vapour pressure after cooling bath, kPa,

pb | = | total atmospheric pressure, kPa,

Ha | = | intake air humidity, g water per kg dry air,

kf | = | 0,055584 × wALF– 0,0001083 × wBET– 0,0001562 × wGAM+ 0,0079936 × wDEL+ 0,0069978 × wEPS

Ha | = | intake air humidity, g water per kg dry air

Hd | = | dilution air humidity, g water per kg dry air

(a) | for compression ignition engines:Text of imagewith:Ta=temperature of the intake air, KHa=humidity of the intake air, g water per kg dry airwhere:Hamay be derived from relative humidity measurement, dewpoint measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae. | Ta | = | temperature of the intake air, K | Ha | = | humidity of the intake air, g water per kg dry air

Ta | = | temperature of the intake air, K

Ha | = | humidity of the intake air, g water per kg dry air

(b) | for spark ignition engineskh.G= 0,6272 + 44,030 × 10–3×Ha- 0,862 × 10–3×Ha2where:Hamay be derived from relative humidity measurement, dew point measurement, vapour pressure measurement or dry/wet bulb measurement using the generally accepted formulae.

(a) | for the raw exhaust gasmgas=ugas×cgas×qmewwhere:ugas=ratio between density of exhaust component and density of exhaust gascgas=concentration of the respective component in the raw exhaust gas, ppmqmew=exhaust mass flow rate, kg/h | ugas | = | ratio between density of exhaust component and density of exhaust gas | cgas | = | concentration of the respective component in the raw exhaust gas, ppm | qmew | = | exhaust mass flow rate, kg/h

ugas | = | ratio between density of exhaust component and density of exhaust gas

cgas | = | concentration of the respective component in the raw exhaust gas, ppm

qmew | = | exhaust mass flow rate, kg/h

(b) | for the diluted gasmgas=ugas×cgas,c×qmdewwhere:ugas=ratio between density of exhaust component and density of aircgas,c=background corrected concentration of the respective component in the diluted exhaust gas, ppmqmdew=diluted exhaust mass flow rate, kg/hwhere:Text of imageThe dilution factorDshall be calculated according to section 5.4.1 of Appendix 2 to this Annex. | ugas | = | ratio between density of exhaust component and density of air | cgas,c | = | background corrected concentration of the respective component in the diluted exhaust gas, ppm | qmdew | = | diluted exhaust mass flow rate, kg/h

ugas | = | ratio between density of exhaust component and density of air

cgas,c | = | background corrected concentration of the respective component in the diluted exhaust gas, ppm

qmdew | = | diluted exhaust mass flow rate, kg/h

Fuel |  | NOx | CO | THC/NMHC | CO2 | CH4

Diesel | Exhaust raw | 0,001587 | 0,000966 | 0,000479 | 0,001518 | 0,000553

Exhaust dilute | 0,001588 | 0,000967 | 0,000480 | 0,001519 | 0,000553

Ethanol | Exhaust raw | 0,001609 | 0,000980 | 0,000805 | 0,001539 | 0,000561

Exhaust dilute | 0,001588 | 0,000967 | 0,000795 | 0,001519 | 0,000553

CNG | Exhaust raw | 0,001622 | 0,000987 | 0,000523 | 0,001552 | 0,000565

Exhaust dilute | 0,001588 | 0,000967 | 0,000584 | 0,001519 | 0,000553

Propane | Exhaust raw | 0,001603 | 0,000976 | 0,000511 | 0,001533 | 0,000559

Exhaust dilute | 0,001588 | 0,000967 | 0,000507 | 0,001519 | 0,000553

Butane | Exhaust raw | 0,001600 | 0,000974 | 0,000505 | 0,001530 | 0,000558

Exhaust dilute | 0,001588 | 0,000967 | 0,000501 | 0,001519 | 0,000553

Notes:—uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa—uvalues of dilute exhaust based on ideal gas properties and density of air—uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %—uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4). | — | uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa | — | uvalues of dilute exhaust based on ideal gas properties and density of air | — | uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 % | — | uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

— | uvalues of raw exhaust based on ideal gas properties at λ = 2, dry air, 273 K, 101,3 kPa

— | uvalues of dilute exhaust based on ideal gas properties and density of air

— | uvalues of CNG accurate within 0,2 % for mass composition of: C = 66 – 76 %; H = 22 – 25 %; N = 0 – 12 %

— | uvalue of CNG for HC corresponds to CH2,93(for total HC useuvalue of CH4).

cwE | = | wet concentration of the tracer gas in the raw exhaust

cwD | = | wet concentration of the tracer gas in the diluted exhaust

cwA | = | wet concentration of the tracer gas in the dilution air

c(CO2)D | = | CO2concentration of the diluted exhaust

c(CO2)A | = | CO2concentration of the dilution air

(v) | Former section 6 is renumbered as section 7.

(f) | Appendix 2 is amended as follows:(i)Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer’s recommended starting procedure in the owner’s manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50  min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback  torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’(ii)The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine’s maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’(iii)Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’ | (i) | Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer’s recommended starting procedure in the owner’s manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50  min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback  torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’ | — | start collecting or analysing dilution air, | — | start collecting or analysing diluted exhaust gas, | — | start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures, | — | start recording the feedback data of speed and torque of the dynamometer. | — | start analysing the raw exhaust gas concentrations, | — | start measuring the exhaust gas or intake air and fuel flow rate, | — | start recording the feedback data of speed and torque of the dynamometer. | — | The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95, | — | The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum, | — | qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum. | y | = | Feedback (actual) value of speed (min-1), torque (Nm), or power (kW) | m | = | slope of the regression line | x | = | reference value of speed (min-1), torque (Nm), or power (kW) | b | = | y intercept of the regression line |  | Speed | Torque | Power | Standard error of estimate (SE) of Y on X | Max 100 min–1 | Max 13 % (15 %)(*)of power map maximum engine torque | Max 8 % (15 %)(*)of power map maximum engine power | Slope of the regression line, m | 0,95 to 1,03 | 0,83–1,03 | 0,89–1,03(0,83–1,03)(*) | Coefficient of determination, r2 | min 0,9700(min 0,9500)(*) | min 0,8800(min 0,7500)(*) | min 0,9100(min 0,7500)(*) | Y intercept of the regression line, b | ± 50  min–1 | ± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater | ± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater | Conditions | Points to be deleted | Full load demand and torque feedback < 95 % torque reference | Torque and/or power | Full load demand and speed feedback  torque reference | Torque and/or power | No load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque | Speed and/or power | No load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque reference | Torque and/or power | No load and speed feedback > 105 % speed reference | Speed and/or power’ | (ii) | The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine’s maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’ | V0 | = | volume of gas pumped per revolution under test conditions, m3/rev | NP | = | total revolutions of pump per test | pb | = | atmospheric pressure in the test cell, kPa | p1 | = | pressure depression below atmospheric at pump inlet, kPa | T | = | average temperature of the diluted exhaust gas at pump inlet over the cycle, K | t | = | cycle time, s | Kv | = | calibration coefficient of the critical flow venturi for standard conditions, | pp | = | absolute pressure at venturi inlet, kPa | T | = | absolute temperature at venturi inlet, K | A0 | = | collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of | d | = | diameter of the SSV throat, m | Cd | = | discharge coefficient of the SSV | pp | = | absolute pressure at venturi inlet, kPa | T | = | temperature at the venturi inlet, K | rp | = | ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA | rD | = | ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D | — | pressure differential devices, like flow nozzle, | — | ultrasonic flowmeter, | — | vortex flowmeter. | qmew,i | = | instantaneous exhaust mass flow, kg/s | qvt | = | tracer gas flow, cm3/min | cmix.i | = | instantaneous concentration of the tracer gas after mixing, ppm | ρe | = | density of the exhaust gas, kg/m3(cf. table 3) | ca | = | background concentration of the tracer gas in the intake air, ppm | A/Fst | = | stoichiometric air to fuel ratio, kg/kg | λ | = | excess air ratio | cCO2 | = | dry CO2concentration, % | cCO | = | dry CO concentration, ppm | cHC | = | HC concentration, ppm | (iii) | Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’ | (a) | for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements | ugas | = | ratio between density of exhaust component and density of exhaust gas from table 6 | cgas,i | = | instantaneous concentration of the respective component in the raw exhaust gas, ppm | qmew,i | = | instantaneous exhaust mass flow rate, kg/s | f | = | data sampling rate, Hz | n | = | number of measurements | (b) | for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg | ugas | = | ratio between density of exhaust component and density of air from table 6 | cgas | = | average background corrected concentration of the respective component, ppm | med | = | total diluted exhaust mass over the cycle, kg | (c) | for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1) | ce,i | = | instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm | cd | = | concentration of the respective component measured in the dilution air, ppm | qmdew,i | = | instantaneous diluted exhaust gas mass flow rate, kg/s | med | = | total mass of diluted exhaust gas over the cycle, kg | ugas | = | ratio between density of exhaust component and density of air from table 6 | D | = | dilution factor (see section 5.4.1) | (a) | GC method (full flow dilution system, only):cNMHC= cHC– cCH4 | (b) | NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC | cHC(w/Cutter) | = | HC concentration with the sample gas flowing through the NMC | cHC(w/oCutter) | = | HC concentration with the sample gas bypassing the NMC | ce | = | concentration of the respective pollutant measured in the diluted exhaust gas, ppm | cd | = | concentration of the respective pollutant measured in the dilution air, ppm | D | = | dilution factor | (a) | for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4 | (b) | for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5 | cCO2 | = | concentration of CO2in the diluted exhaust gas, % vol | cHC | = | concentration of HC in the diluted exhaust gas, ppm C1 | cNMHC | = | concentration of NMHC in the diluted exhaust gas, ppm C1 | cCO | = | concentration of CO in the diluted exhaust gas, ppm | FS | = | stoichiometric factor | FS(diesel) | = | 13,4 | FS(LPG) | = | 11,6 | FS(NG) | = | 9,5 | (a) | all components, except NOx:Text of imageMgas = mgas Wact | (b) | NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2. | n1 | = | number of ETC tests between two regenerations | n2 | = | number of ETC during a regeneration (minimum of one ETC test) | Mgas,n2 | = | emissions during a regeneration | Mgas,n1 | = | emissions after a regeneration. | mf | = | particulate mass sampled over the cycle, mg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | med | = | mass of diluted exhaust gas over the cycle, kg | mset | = | mass of double diluted exhaust gas through particulate filter, kg | mssd | = | mass of secondary dilution air, kg | mPT, msep, med | = | see above | md | = | mass of primary dilution air sampled by background particulate sampler, kg | mf,d | = | mass of the collected background particulates of the primary dilution air, mg | D | = | dilution factor as determined in section 5.4.1. | (a) | Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements | mf | = | particulate mass sampled over the cycle, mg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | medf | = | mass of equivalent diluted exhaust gas over the cycle, kg | qmedf,i | = | instantaneous equivalent diluted exhaust mass flow rate, kg/s | qmew,i | = | instantaneous exhaust mass flow rate, kg/s | rd,i | = | instantaneous dilution ratio | qmdew,i | = | instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s | qmdw,i | = | instantaneous dilution air mass flow rate, kg/s | f | = | data sampling rate, Hz | n | = | number of measurements | (b) | Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical. | mf | = | particulate mass sampled over the cycle, mg | rs | = | average sample ratio over the test cycle | mse | = | sample mass over the cycle, kg | mew | = | total exhaust mass flow over the cycle, kg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | msed | = | mass of diluted exhaust gas passing the dilution tunnel, kg. | n1 | = | number of ETC tests between two regeneration events | n2 | = | number of ETC tests during a regeneration (minimum of one ETC) | Text of imagePTn2 | = | emissions during a regeneration | Text of imagePTn1 | = | emissions outside a regeneration.’

(i) | Section 3 is replaced by the following:‘3.   EMISSIONS TEST RUNAt the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle.NG and LPG fuelled engines shall be run-in using the ETC test. The engine shall be run over a minimum of two ETC cycles and until the CO emission measured over one ETC cycle does not exceed by more than 10 % the CO emission measured over the previous ETC cycle.3.1.   Preparation of the sampling filters (if applicable)At least one hour before the test, each filter shall be placed in a partially covered petri dish, which is protected against dust contamination, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the tare weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.3.2.   Installation of the measuring equipmentThe instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full flow dilution system, if used.3.3.   Starting the dilution system and the engineThe dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice.3.4.   Starting the particulate sampling system (diesel engines only)The particulate sampling system shall be started and running on by-pass. The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle may be done and the values averaged.The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised according to the recommendation of the manufacturer and good engineering practice.In case of periodic regeneration aftertreatment, the regeneration shall not occur during the warm-up of the engine.3.5.   Adjustment of the dilution systemThe flow rates of the dilution system (full flow or partial flow) shall be set to eliminate water condensation in the system, and to obtain a maximum filter face temperature of 325 K (52 °C) or less (see section 2.3.1 of Annex V, DT).3.6.   Checking the analysersThe emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.3.7.   Engine starting procedureThe stabilised engine shall be started according to the manufacturer’s recommended starting procedure in the owner’s manual, using either a production starter motor or the dynamometer. Optionally, the test may start directly from the engine preconditioning phase without shutting the engine off, when the engine has reached the idle speed.3.8.   Test cycle3.8.1.   Test sequenceThe test sequence shall be started, if the engine has reached idle speed. The test shall be performed according to the reference cycle as set out in section 2 of this Appendix. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.3.8.2.   Gaseous emissions measurement3.8.2.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start collecting or analysing dilution air,—start collecting or analysing diluted exhaust gas,—start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,—start recording the feedback data of speed and torque of the dynamometer.HC and NOxshall be measured continuously in the dilution tunnel with a frequency of 2 Hz. The average concentrations shall be determined by integrating the analyzer signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO, CO2, NMHC and CH4shall be determined by integration or by analysing the concentrations in the sample bag, collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collecting into the background bag. All other values shall be recorded with a minimum of one measurement per second (1 Hz).3.8.2.2.   Raw exhaust measurementAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the measuring equipment shall be started, simultaneously:—start analysing the raw exhaust gas concentrations,—start measuring the exhaust gas or intake air and fuel flow rate,—start recording the feedback data of speed and torque of the dynamometer.For the evaluation of the gaseous emissions, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded and stored with at least 2 Hz on a computer system. The system response time shall be no greater than 10 s. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For calculation of the mass emission of the gaseous components the traces of the recorded concentrations and the trace of the exhaust gas mass flow rate shall be time aligned by the transformation time as defined in section 2 of Annex I. Therefore, the response time of each gaseous emissions analyser and of the exhaust gas mass flow system shall be determined according to the provisions of section 4.2.1 and section 1.5 of Appendix 5 to this Annex and recorded.3.8.3.   Particulate sampling (if applicable)3.8.3.1.   Full flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.If no flow compensation is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e., proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).Note:For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution air flow rate.The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.3.8.3.2.   Partial flow dilution systemAt the start of the engine or test sequence, if the cycle is started directly from the preconditioning, the particulate sampling system shall be switched from by-pass to collecting particulates.For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure in section 3.3 of Appendix 5 to Annex III. If the combined transformation time of the exhaust flow measurement (see section 4.2.1) and the partial flow system is less than 0,3 sec, online control may be used. If the transformation time exceeds 0,3 sec, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 sec and the delay time of the combination ≤ 10 sec.The total system response shall be designed as to ensure a representative sample of the particulates, qmp,i, proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of qmp,iversus qmew,ishall be conducted on a minimum 1 Hz data acquisition rate, and the following criteria shall be met:—The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,—The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,—qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.Optionally, a pretest may be run, and the exhaust mass flow signal of the pretest be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t50,Por the transformation time of the exhaust mass flow signal, t50,F, or both, are > 0,3 sec. A correct control of the partial dilution system is obtained, if the time trace of qmew,preof the pretest, which controls qmp, is shifted by a look-ahead time of t50,P+ t50,F.For establishing the correlation between qmp,iand qmew,ithe data taken during the actual test shall be used, with qmew,itime aligned by t50,Frelative to qmp,i(no contribution from t50,Pto the time alignment). That is, the time shift between qmewand qmpis the difference in their transformation times that were determined in section 3.3 of Appendix 5 to Annex III.3.8.4.   Engine stallingIf the engine stalls anywhere during the test cycle, the engine shall be preconditioned and restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.3.8.5.   Operations after testAt the completion of the test, the measurement of the diluted exhaust gas volume or raw exhaust gas flow rate, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.3.9.   Verification of the test run3.9.1.   Data shiftTo minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted the same amount in the same direction.3.9.2.   Calculation of the cycle workThe actual cycle work Wact(kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. This shall be done after any feedback data shift has occurred, if this option is selected. The actual cycle work Wactis used for comparison to the reference cycle work Wrefand for calculating the brake specific emissions (see sections 4.4 and 5.2). The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.Wactshall be between – 15 % and + 5 % of Wref3.9.3.   Validation statistics of the test cycleLinear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:y = mx + bwhere:y=Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)m=slope of the regression linex=reference value of speed (min-1), torque (Nm), or power (kW)b=y intercept of the regression lineThe standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.It is recommended that this analysis be performed at 1 Hertz. All negative reference torque values and the associated feedback values shall be deleted from the calculation of cycle torque and power validation statistics. For a test to be considered valid, the criteria of table 7 must be met.Table 7Regression line tolerancesSpeedTorquePowerStandard error of estimate (SE) of Y on XMax 100 min–1Max 13 % (15 %)(*)of power map maximum engine torqueMax 8 % (15 %)(*)of power map maximum engine powerSlope of the regression line, m0,95 to 1,030,83–1,030,89–1,03(0,83–1,03)(*)Coefficient of determination, r2min 0,9700(min 0,9500)(*)min 0,8800(min 0,7500)(*)min 0,9100(min 0,7500)(*)Y intercept of the regression line, b± 50  min–1± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greaterPoint deletions from the regression analyses are permitted where noted in Table 8.Table 8Permitted point deletions from regression analysisConditionsPoints to be deletedFull load demand and torque feedback < 95 % torque referenceTorque and/or powerFull load demand and speed feedback  torque referenceTorque and/or powerNo load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torqueSpeed and/or powerNo load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque referenceTorque and/or powerNo load and speed feedback > 105 % speed referenceSpeed and/or power’ | — | start collecting or analysing dilution air, | — | start collecting or analysing diluted exhaust gas, | — | start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures, | — | start recording the feedback data of speed and torque of the dynamometer. | — | start analysing the raw exhaust gas concentrations, | — | start measuring the exhaust gas or intake air and fuel flow rate, | — | start recording the feedback data of speed and torque of the dynamometer. | — | The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95, | — | The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum, | — | qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum. | y | = | Feedback (actual) value of speed (min-1), torque (Nm), or power (kW) | m | = | slope of the regression line | x | = | reference value of speed (min-1), torque (Nm), or power (kW) | b | = | y intercept of the regression line |  | Speed | Torque | Power | Standard error of estimate (SE) of Y on X | Max 100 min–1 | Max 13 % (15 %)(*)of power map maximum engine torque | Max 8 % (15 %)(*)of power map maximum engine power | Slope of the regression line, m | 0,95 to 1,03 | 0,83–1,03 | 0,89–1,03(0,83–1,03)(*) | Coefficient of determination, r2 | min 0,9700(min 0,9500)(*) | min 0,8800(min 0,7500)(*) | min 0,9100(min 0,7500)(*) | Y intercept of the regression line, b | ± 50  min–1 | ± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater | ± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater | Conditions | Points to be deleted | Full load demand and torque feedback < 95 % torque reference | Torque and/or power | Full load demand and speed feedback  torque reference | Torque and/or power | No load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque | Speed and/or power | No load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque reference | Torque and/or power | No load and speed feedback > 105 % speed reference | Speed and/or power’

— | start collecting or analysing dilution air,

— | start collecting or analysing diluted exhaust gas,

— | start measuring the amount of diluted exhaust gas (CVS) and the required temperatures and pressures,

— | start recording the feedback data of speed and torque of the dynamometer.

— | start analysing the raw exhaust gas concentrations,

— | start measuring the exhaust gas or intake air and fuel flow rate,

— | start recording the feedback data of speed and torque of the dynamometer.

— | The correlation coefficient R2of the linear regression between qmp,iand qmew,ishall not be less than 0,95,

— | The standard error of estimate of qmp,ion qmew,ishall not exceed 5 % of qmpmaximum,

— | qmpintercept of the regression line shall not exceed ± 2 % of qmpmaximum.

y | = | Feedback (actual) value of speed (min-1), torque (Nm), or power (kW)

m | = | slope of the regression line

x | = | reference value of speed (min-1), torque (Nm), or power (kW)

b | = | y intercept of the regression line

 | Speed | Torque | Power

Standard error of estimate (SE) of Y on X | Max 100 min–1 | Max 13 % (15 %)(*)of power map maximum engine torque | Max 8 % (15 %)(*)of power map maximum engine power

Slope of the regression line, m | 0,95 to 1,03 | 0,83–1,03 | 0,89–1,03(0,83–1,03)(*)

Coefficient of determination, r2 | min 0,9700(min 0,9500)(*) | min 0,8800(min 0,7500)(*) | min 0,9100(min 0,7500)(*)

Y intercept of the regression line, b | ± 50  min–1 | ± 20  Nm or ± 2  % (± 20  Nm or ± 3  %)(*)of max torque whichever is greater | ± 4  kW or ± 2  % (± 4  kW or ± 3  %)(*)of max power whichever is greater

Conditions | Points to be deleted

Full load demand and torque feedback < 95 % torque reference | Torque and/or power

Full load demand and speed feedback < 95 % speed reference | Speed and/or power

No load, not an idle point, and torque feedback > torque reference | Torque and/or power

No load, speed feedback ≤ idle speed + 50  min–1and torque feedback = manufacturer defined/measured idle torque ± 2  % of max. torque | Speed and/or power

No load, speed feedback > idle speed + 50  min–1and torque feedback > 105 % torque reference | Torque and/or power

No load and speed feedback > 105 % speed reference | Speed and/or power’

(ii) | The following section 4 is inserted:‘4.   CALCULATION OF THE EXHAUST GAS FLOW4.1.   Determination of the diluted exhaust gas flowThe total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V0for PDP,KVfor CFV,Cdfor SSV), as determined in section 2 of Appendix 5 to Annex III). The following formulae shall be applied, if the temperature of the diluted exhaust is kept constant over the cycle by using a heat exchanger (± 6 K for a PDP-CVS, ± 11 K for a CFV-CVS or ± 11 K for a SSV-CVS), see section 2.3 of Annex V).For the PDP-CVS system:med= 1,293 ×V0×NP× (pb-p1) × 273 / (101,3 ×T)where:V0=volume of gas pumped per revolution under test conditions, m3/revNP=total revolutions of pump per testpb=atmospheric pressure in the test cell, kPap1=pressure depression below atmospheric at pump inlet, kPaT=average temperature of the diluted exhaust gas at pump inlet over the cycle, KFor the CFV-CVS system:med= 1,293 ×t×Kv×pp/T0,5where:t=cycle time, sKv=calibration coefficient of the critical flow venturi for standard conditions,pp=absolute pressure at venturi inlet, kPaT=absolute temperature at venturi inlet, KFor the SSV-CVS systemmed= 1,293 ×QSSVwhere:Text of imageQSSV = A0d2Cdpp √[1 T (rp 1,4286 – rp 1,7143) × (1 1 – rD4rp1,4286)]with:A0=collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units ofd=diameter of the SSV throat, mCd=discharge coefficient of the SSVpp=absolute pressure at venturi inlet, kPaT=temperature at the venturi inlet, Krp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DIf a system with flow compensation is used (i.e. without heat exchanger), the instantaneous mass emissions shall be calculated and integrated over the cycle. In this case, the instantaneous mass of the diluted exhaust gas shall be calculated as follows.For the PDP-CVS system:med,i= 1,293 ×V0×NP,i× (pb-p1) × 273 / (101,3 ×T)where:NP,i= total revolutions of pump per time intervalFor the CFV-CVS system:med,i= 1,293 × Δti×KV×pp/T0,5where:Δti= time interval, sFor the SSV-CVS system:med= 1,293 × QSSV× Δtiwhere:Δti= time interval, sThe real time calculation shall be initialised with either a reasonable value forCd, such as 0,98, or a reasonable value ofQssv. If the calculation is initialised withQssv, the initial value ofQssvshall be used to evaluate Re.During all emissions tests, the Reynolds number at the SSV throat must be in the range of Reynolds numbers used to derive the calibration curve developed in section 2.4 of Appendix 5 to this Annex.4.2.   Determination of raw exhaust gas mass flowFor calculation of the emissions in the raw exhaust gas and for controlling of a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For the determination of the exhaust mass flow rate, either of the methods described in sections 4.2.2 to 4.2.5 may be used.4.2.1.   Response timeFor the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyzer response time, as defined in section 1.5 of Appendix 5 to this Annex.For the purpose of controlling of a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 seconds is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 seconds with a rise time of ≤ 1 second is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in section 3.8.3.2.4.2.2.   Direct measurement methodDirect measurement of the instantaneous exhaust flow may be done by systems such as:—pressure differential devices, like flow nozzle,—ultrasonic flowmeter,—vortex flowmeter.Precautions shall be taken to avoid measurement errors which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers’ recommendations and to good engineering practice. Engine performance and emissions shall especially not be affected by the installation of the device.The accuracy of exhaust flow determination shall be at least ± 2,5 % of reading or ± 1,5 % of engine’s maximum value, whichever is the greater.4.2.3.   Air and fuel measurement methodThis involves measurement of the air flow and the fuel flow. Air flowmeters and fuel flowmeters shall be used that meet the total exhaust flow accuracy requirement of section 4.2.2. The calculation of the exhaust gas flow is as follows:qmew= qmaw+ qmf4.2.4.   Tracer measurement methodThis involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but shall not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.The calculation of the exhaust gas flow is as follows:Text of imageqmew,i = qvt × ρe 60 × (cmix,i – ca)where:qmew,i=instantaneous exhaust mass flow, kg/sqvt=tracer gas flow, cm3/mincmix.i=instantaneous concentration of the tracer gas after mixing, ppmρe=density of the exhaust gas, kg/m3(cf. table 3)ca=background concentration of the tracer gas in the intake air, ppmWhen the background concentration is less than 1 % of the concentration of the tracer gas after mixing (cmix.i) at maximum exhaust flow, the background concentration may be neglected.The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to section 1.7 of Appendix 5 to this Annex.4.2.5.   Air flow and air-to-fuel ratio measurement methodThis involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:Text of imageqmew,i = qmaw,i × (1 + 1 A/Fst × λi)with:Text of imageA/Fst = 138,0 × (β + α 4 – ε 2 + γ) 12,011 × β + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γText of imageλi = β × (100 – cCO × 10–4 2 – cHC × 10–4) + (α 4 × 1 – 2 × cCO × 10–4 3,5 × cCO2 1 + cCO × 10–4 3,5 × cCO2 – ε 2 – δ 2) × (cCO2 + cCO × 10–4) 4,764 × (β + α 4 – ε 2 + γ) × (cCO2 + cCO × 10–4 + cHC × 10–4)where:A/Fst=stoichiometric air to fuel ratio, kg/kgλ=excess air ratiocCO2=dry CO2concentration, %cCO=dry CO concentration, ppmcHC=HC concentration, ppmNote:βcan be 1 for fuels containing carbon and 0 for hydrogen fuel.The air flowmeter shall meet the accuracy specifications of section 2.2 of Appendix 4 to this Annex, the CO2analyser used shall meet the specifications of section 3.3.2 of Appendix 4 to this Annex and the total system shall meet the accuracy specifications for the exhaust gas flow.Optionally, air to fuel ratio measurement equipment such as a zirconia type sensor may be used for the measurement of the excess air ratio which meets the specifications of section 3.3.6 of Appendix 4 to this Annex.’ | V0 | = | volume of gas pumped per revolution under test conditions, m3/rev | NP | = | total revolutions of pump per test | pb | = | atmospheric pressure in the test cell, kPa | p1 | = | pressure depression below atmospheric at pump inlet, kPa | T | = | average temperature of the diluted exhaust gas at pump inlet over the cycle, K | t | = | cycle time, s | Kv | = | calibration coefficient of the critical flow venturi for standard conditions, | pp | = | absolute pressure at venturi inlet, kPa | T | = | absolute temperature at venturi inlet, K | A0 | = | collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of | d | = | diameter of the SSV throat, m | Cd | = | discharge coefficient of the SSV | pp | = | absolute pressure at venturi inlet, kPa | T | = | temperature at the venturi inlet, K | rp | = | ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA | rD | = | ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D | — | pressure differential devices, like flow nozzle, | — | ultrasonic flowmeter, | — | vortex flowmeter. | qmew,i | = | instantaneous exhaust mass flow, kg/s | qvt | = | tracer gas flow, cm3/min | cmix.i | = | instantaneous concentration of the tracer gas after mixing, ppm | ρe | = | density of the exhaust gas, kg/m3(cf. table 3) | ca | = | background concentration of the tracer gas in the intake air, ppm | A/Fst | = | stoichiometric air to fuel ratio, kg/kg | λ | = | excess air ratio | cCO2 | = | dry CO2concentration, % | cCO | = | dry CO concentration, ppm | cHC | = | HC concentration, ppm

V0 | = | volume of gas pumped per revolution under test conditions, m3/rev

NP | = | total revolutions of pump per test

pb | = | atmospheric pressure in the test cell, kPa

p1 | = | pressure depression below atmospheric at pump inlet, kPa

T | = | average temperature of the diluted exhaust gas at pump inlet over the cycle, K

t | = | cycle time, s

Kv | = | calibration coefficient of the critical flow venturi for standard conditions,

pp | = | absolute pressure at venturi inlet, kPa

T | = | absolute temperature at venturi inlet, K

A0 | = | collection of constants and units conversionsText of image(m3 min) (K1 2 kPa) (1 mm2)= 0,006111 in SI units of

d | = | diameter of the SSV throat, m

Cd | = | discharge coefficient of the SSV

pp | = | absolute pressure at venturi inlet, kPa

T | = | temperature at the venturi inlet, K

rp | = | ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD | = | ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D

— | pressure differential devices, like flow nozzle,

— | ultrasonic flowmeter,

— | vortex flowmeter.

qmew,i | = | instantaneous exhaust mass flow, kg/s

qvt | = | tracer gas flow, cm3/min

cmix.i | = | instantaneous concentration of the tracer gas after mixing, ppm

ρe | = | density of the exhaust gas, kg/m3(cf. table 3)

ca | = | background concentration of the tracer gas in the intake air, ppm

A/Fst | = | stoichiometric air to fuel ratio, kg/kg

λ | = | excess air ratio

cCO2 | = | dry CO2concentration, %

cCO | = | dry CO concentration, ppm

cHC | = | HC concentration, ppm

(iii) | Sections 4 and 5 are replaced by the following:‘5.   CALCULATION OF THE GASEOUS EMISSIONS5.1.   Data evaluationFor the evaluation of the gaseous emissions in the diluted exhaust gas, the emission concentrations (HC, CO and NOx) and the diluted exhaust gas mass flow rate shall be recorded according to section 3.8.2.1 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.For the evaluation of the gaseous emissions in the raw exhaust gas, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be recorded according to section 3.8.2.2 and stored on a computer system. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.5.2.   Dry/wet correctionIf the concentration is measured on a dry basis, it shall be converted to a wet basis according to the following formula. For continuous measurement, the conversion shall be applied to each instantaneous measurement before any further calculation.cwet= kW× cdryThe conversion equations of section 5.2 of Appendix 1 to this Annex shall apply.5.3.   NOxcorrection for humidity and temperatureAs the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and humidity with the factors given in section 5.3 of Appendix 1 to this Annex. The factors are valid in the range between 0 and 25 g/kg dry air.5.4.   Calculation of the emission mass flow ratesThe emission mass over the cycle (g/test) shall be calculated as follows depending on the measurement method applied. The measured concentration shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex, if not already measured on a wet basis. The respective values forugasshall be applied that are given in Table 6 of Appendix 1 to this Annex for selected components based on ideal gas properties and the fuels relevant for this Directive.(a)for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg(c)for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1)If applicable, the concentration of NMHC and CH4shall be calculated by either of the methods shown in section 3.3.4 of Appendix 4 to this Annex, as follows:(a)GC method (full flow dilution system, only):cNMHC= cHC– cCH4(b)NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC5.4.1.   Determination of the background corrected concentrations (full flow dilution system, only)The average background concentration of the gaseous pollutants in the dilution air shall be subtracted from measured concentrations to get the net concentrations of the pollutants. The average values of the background concentrations can be determined by the sample bag method or by continuous measurement with integration. The following formula shall be used.Text of imagec = ce – cd × (1 – 1 D)where:ce=concentration of the respective pollutant measured in the diluted exhaust gas, ppmcd=concentration of the respective pollutant measured in the dilution air, ppmD=dilution factorThe dilution factor shall be calculated as follows:(a)for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4(b)for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,55.5.   Calculation of the specific emissionsThe emissions (g/kWh) shall be calculated in the following way:(a)all components, except NOx:Text of imageMgas = mgas Wact(b)NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.5.5.1.   In case of a periodic exhaust aftertreatment system, the emissions shall be weighted as follows:Text of imageMGas = (n1 × MGas,n1 + n2 × MGas,n2) / (n1 + n2)where:n1=number of ETC tests between two regenerationsn2=number of ETC during a regeneration (minimum of one ETC test)Mgas,n2=emissions during a regenerationMgas,n1=emissions after a regeneration.6.   CALCULATION OF THE PARTICULATE EMISSION (IF APPLICABLE)6.1.   Data evaluationThe particulate filter shall be returned to the weighing chamber no later than one hour after completion of the test. It shall be conditioned in a partially covered petri dish, which is protected against dust contamination, for at least one hour, but not more than 80 hours, and then weighed. The gross weight of the filters shall be recorded and the tare weight subtracted, which results in the particulate sample massmf. For the evaluation of the particulate concentration, the total sample mass (msep) through the filters over the test cycle shall be recorded.If background correction is to be applied, the dilution air mass (md) through the filter and the particulate mass (mf,d) shall be recorded.6.2.   Calculation of the mass flow6.2.1.   Full flow dilution systemThe particulate mass (g/test) shall be calculated as follows:Text of imagemPT = mf msep × med 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmed=mass of diluted exhaust gas over the cycle, kgIf a double dilution system is used, the mass of the secondary dilution air shall be subtracted from the total mass of the double diluted exhaust gas sampled through the particulate filters.msep= mset– mssdwhere:mset=mass of double diluted exhaust gas through particulate filter, kgmssd=mass of secondary dilution air, kgIf the particulate background level of the dilution air is determined in accordance with section 3.4, the particulate mass may be background corrected. In this case, the particulate mass (g/test) shall be calculated as follows:Text of imagemPT = [mf msep – (mf,d md × (1 – 1 D))] × med 1000where:mPT, msep, med=see abovemd=mass of primary dilution air sampled by background particulate sampler, kgmf,d=mass of the collected background particulates of the primary dilution air, mgD=dilution factor as determined in section 5.4.1.6.2.2.   Partial flow dilution systemThe mass of particulates (g/test) shall be calculated by either of the following methods:(a)Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements(b)Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical.6.3.   Calculation of the Specific EmissionThe particulate emission (g/kWh) shall be calculated in the following way:Text of imageMPT = mPT Wactwhere:Wact= actual cycle work as determined according to section 3.9.2, kWh.6.3.1.   In case of a periodic regeneration aftertreatment system, the emissions shall be weighted as follows:Text of imagePT = (n1 × PTn1 + n2 × PT n2) / (n1 + n2)where:n1=number of ETC tests between two regeneration eventsn2=number of ETC tests during a regeneration (minimum of one ETC)Text of imagePTn2=emissions during a regenerationText of imagePTn1=emissions outside a regeneration.’ | (a) | for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements | ugas | = | ratio between density of exhaust component and density of exhaust gas from table 6 | cgas,i | = | instantaneous concentration of the respective component in the raw exhaust gas, ppm | qmew,i | = | instantaneous exhaust mass flow rate, kg/s | f | = | data sampling rate, Hz | n | = | number of measurements | (b) | for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg | ugas | = | ratio between density of exhaust component and density of air from table 6 | cgas | = | average background corrected concentration of the respective component, ppm | med | = | total diluted exhaust mass over the cycle, kg | (c) | for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1) | ce,i | = | instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm | cd | = | concentration of the respective component measured in the dilution air, ppm | qmdew,i | = | instantaneous diluted exhaust gas mass flow rate, kg/s | med | = | total mass of diluted exhaust gas over the cycle, kg | ugas | = | ratio between density of exhaust component and density of air from table 6 | D | = | dilution factor (see section 5.4.1) | (a) | GC method (full flow dilution system, only):cNMHC= cHC– cCH4 | (b) | NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC | cHC(w/Cutter) | = | HC concentration with the sample gas flowing through the NMC | cHC(w/oCutter) | = | HC concentration with the sample gas bypassing the NMC | ce | = | concentration of the respective pollutant measured in the diluted exhaust gas, ppm | cd | = | concentration of the respective pollutant measured in the dilution air, ppm | D | = | dilution factor | (a) | for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4 | (b) | for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5 | cCO2 | = | concentration of CO2in the diluted exhaust gas, % vol | cHC | = | concentration of HC in the diluted exhaust gas, ppm C1 | cNMHC | = | concentration of NMHC in the diluted exhaust gas, ppm C1 | cCO | = | concentration of CO in the diluted exhaust gas, ppm | FS | = | stoichiometric factor | FS(diesel) | = | 13,4 | FS(LPG) | = | 11,6 | FS(NG) | = | 9,5 | (a) | all components, except NOx:Text of imageMgas = mgas Wact | (b) | NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2. | n1 | = | number of ETC tests between two regenerations | n2 | = | number of ETC during a regeneration (minimum of one ETC test) | Mgas,n2 | = | emissions during a regeneration | Mgas,n1 | = | emissions after a regeneration. | mf | = | particulate mass sampled over the cycle, mg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | med | = | mass of diluted exhaust gas over the cycle, kg | mset | = | mass of double diluted exhaust gas through particulate filter, kg | mssd | = | mass of secondary dilution air, kg | mPT, msep, med | = | see above | md | = | mass of primary dilution air sampled by background particulate sampler, kg | mf,d | = | mass of the collected background particulates of the primary dilution air, mg | D | = | dilution factor as determined in section 5.4.1. | (a) | Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements | mf | = | particulate mass sampled over the cycle, mg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | medf | = | mass of equivalent diluted exhaust gas over the cycle, kg | qmedf,i | = | instantaneous equivalent diluted exhaust mass flow rate, kg/s | qmew,i | = | instantaneous exhaust mass flow rate, kg/s | rd,i | = | instantaneous dilution ratio | qmdew,i | = | instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s | qmdw,i | = | instantaneous dilution air mass flow rate, kg/s | f | = | data sampling rate, Hz | n | = | number of measurements | (b) | Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical. | mf | = | particulate mass sampled over the cycle, mg | rs | = | average sample ratio over the test cycle | mse | = | sample mass over the cycle, kg | mew | = | total exhaust mass flow over the cycle, kg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | msed | = | mass of diluted exhaust gas passing the dilution tunnel, kg. | n1 | = | number of ETC tests between two regeneration events | n2 | = | number of ETC tests during a regeneration (minimum of one ETC) | Text of imagePTn2 | = | emissions during a regeneration | Text of imagePTn1 | = | emissions outside a regeneration.’

(a) | for the raw exhaust gas:Text of imagemgas = ugas × Σ i = 1 i = n cgas,i × qmew,i × 1 fwhere:ugas=ratio between density of exhaust component and density of exhaust gas from table 6cgas,i=instantaneous concentration of the respective component in the raw exhaust gas, ppmqmew,i=instantaneous exhaust mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements | ugas | = | ratio between density of exhaust component and density of exhaust gas from table 6 | cgas,i | = | instantaneous concentration of the respective component in the raw exhaust gas, ppm | qmew,i | = | instantaneous exhaust mass flow rate, kg/s | f | = | data sampling rate, Hz | n | = | number of measurements

ugas | = | ratio between density of exhaust component and density of exhaust gas from table 6

cgas,i | = | instantaneous concentration of the respective component in the raw exhaust gas, ppm

qmew,i | = | instantaneous exhaust mass flow rate, kg/s

f | = | data sampling rate, Hz

n | = | number of measurements

(b) | for the diluted exhaust gas without flow compensation:mgas= ugas× cgas× medwhere:ugas=ratio between density of exhaust component and density of air from table 6cgas=average background corrected concentration of the respective component, ppmmed=total diluted exhaust mass over the cycle, kg | ugas | = | ratio between density of exhaust component and density of air from table 6 | cgas | = | average background corrected concentration of the respective component, ppm | med | = | total diluted exhaust mass over the cycle, kg

ugas | = | ratio between density of exhaust component and density of air from table 6

cgas | = | average background corrected concentration of the respective component, ppm

med | = | total diluted exhaust mass over the cycle, kg

(c) | for the diluted exhaust gas with flow compensation:Text of imagemgas = [ugas × Σ i = 1 i = n (ce,i × qmdew,i × 1 f)] – [(med × cd × (1 – 1/D) × ugas)]where:ce,i=instantaneous concentration of the respective component measured in the diluted exhaust gas, ppmcd=concentration of the respective component measured in the dilution air, ppmqmdew,i=instantaneous diluted exhaust gas mass flow rate, kg/smed=total mass of diluted exhaust gas over the cycle, kgugas=ratio between density of exhaust component and density of air from table 6D=dilution factor (see section 5.4.1) | ce,i | = | instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm | cd | = | concentration of the respective component measured in the dilution air, ppm | qmdew,i | = | instantaneous diluted exhaust gas mass flow rate, kg/s | med | = | total mass of diluted exhaust gas over the cycle, kg | ugas | = | ratio between density of exhaust component and density of air from table 6 | D | = | dilution factor (see section 5.4.1)

ce,i | = | instantaneous concentration of the respective component measured in the diluted exhaust gas, ppm

cd | = | concentration of the respective component measured in the dilution air, ppm

qmdew,i | = | instantaneous diluted exhaust gas mass flow rate, kg/s

med | = | total mass of diluted exhaust gas over the cycle, kg

ugas | = | ratio between density of exhaust component and density of air from table 6

D | = | dilution factor (see section 5.4.1)

(a) | GC method (full flow dilution system, only):cNMHC= cHC– cCH4

(b) | NMC method:Text of imagecNMHC = cHC(w/oCutter) × (1 – EM) – cHC (w/Cutter) EE – EMText of imagecCH4 = cHC(w/Cutter) – cHC(w/oCutter) × (1 – EE) EE – EMwhere:cHC(w/Cutter)=HC concentration with the sample gas flowing through the NMCcHC(w/oCutter)=HC concentration with the sample gas bypassing the NMC | cHC(w/Cutter) | = | HC concentration with the sample gas flowing through the NMC | cHC(w/oCutter) | = | HC concentration with the sample gas bypassing the NMC

cHC(w/Cutter) | = | HC concentration with the sample gas flowing through the NMC

cHC(w/oCutter) | = | HC concentration with the sample gas bypassing the NMC

ce | = | concentration of the respective pollutant measured in the diluted exhaust gas, ppm

cd | = | concentration of the respective pollutant measured in the dilution air, ppm

D | = | dilution factor

(a) | for diesel and LPG fueled gas enginesText of imageD = FS cCO2 + (cHC + cCO) × 10–4

(b) | for NG fueled gas enginesText of imageD = FS cCO2 + (cNMHC + cCO) × 10–4where:cCO2=concentration of CO2in the diluted exhaust gas, % volcHC=concentration of HC in the diluted exhaust gas, ppm C1cNMHC=concentration of NMHC in the diluted exhaust gas, ppm C1cCO=concentration of CO in the diluted exhaust gas, ppmFS=stoichiometric factorConcentrations measured on dry basis shall be converted to a wet basis in accordance with section 5.2 of Appendix 1 to this Annex.The stoichiometric factor shall be calculated as follows:Text of imageFS = 100 × 1 1 + α 2 + 3,76 × (1 + α 4 – ε 2)where:α, ε are the molar ratios referring to a fuel CHαOεAlternatively, if the fuel composition is not known, the following stoichiometric factors may be used:FS(diesel)=13,4FS(LPG)=11,6FS(NG)=9,5 | cCO2 | = | concentration of CO2in the diluted exhaust gas, % vol | cHC | = | concentration of HC in the diluted exhaust gas, ppm C1 | cNMHC | = | concentration of NMHC in the diluted exhaust gas, ppm C1 | cCO | = | concentration of CO in the diluted exhaust gas, ppm | FS | = | stoichiometric factor | FS(diesel) | = | 13,4 | FS(LPG) | = | 11,6 | FS(NG) | = | 9,5

cCO2 | = | concentration of CO2in the diluted exhaust gas, % vol

cHC | = | concentration of HC in the diluted exhaust gas, ppm C1

cNMHC | = | concentration of NMHC in the diluted exhaust gas, ppm C1

cCO | = | concentration of CO in the diluted exhaust gas, ppm

FS | = | stoichiometric factor

FS(diesel) | = | 13,4

FS(LPG) | = | 11,6

FS(NG) | = | 9,5

(a) | all components, except NOx:Text of imageMgas = mgas Wact

(b) | NOx:Text of imageMgas = mgas × kh Wactwhere:Wact= actual cycle work as determined according to section 3.9.2.

n1 | = | number of ETC tests between two regenerations

n2 | = | number of ETC during a regeneration (minimum of one ETC test)

Mgas,n2 | = | emissions during a regeneration

Mgas,n1 | = | emissions after a regeneration.

mf | = | particulate mass sampled over the cycle, mg

msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg

med | = | mass of diluted exhaust gas over the cycle, kg

mset | = | mass of double diluted exhaust gas through particulate filter, kg

mssd | = | mass of secondary dilution air, kg

mPT, msep, med | = | see above

md | = | mass of primary dilution air sampled by background particulate sampler, kg

mf,d | = | mass of the collected background particulates of the primary dilution air, mg

D | = | dilution factor as determined in section 5.4.1.

(a) | Text of imagemPT = mf msep × medf 1000where:mf=particulate mass sampled over the cycle, mgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmedf=mass of equivalent diluted exhaust gas over the cycle, kgThe total mass of equivalent diluted exhaust gas mass over the cycle shall be determined as follows:Text of imagemedf = i = n Σ i = 1 qmedf,i × 1 fText of imageqmedf,i = qmew,i × rd,iText of imagerd,i = qmdew,,i (qmdew,,i – qmdw,,i)where:qmedf,i=instantaneous equivalent diluted exhaust mass flow rate, kg/sqmew,i=instantaneous exhaust mass flow rate, kg/srd,i=instantaneous dilution ratioqmdew,i=instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/sqmdw,i=instantaneous dilution air mass flow rate, kg/sf=data sampling rate, Hzn=number of measurements | mf | = | particulate mass sampled over the cycle, mg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | medf | = | mass of equivalent diluted exhaust gas over the cycle, kg | qmedf,i | = | instantaneous equivalent diluted exhaust mass flow rate, kg/s | qmew,i | = | instantaneous exhaust mass flow rate, kg/s | rd,i | = | instantaneous dilution ratio | qmdew,i | = | instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s | qmdw,i | = | instantaneous dilution air mass flow rate, kg/s | f | = | data sampling rate, Hz | n | = | number of measurements

mf | = | particulate mass sampled over the cycle, mg

msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg

medf | = | mass of equivalent diluted exhaust gas over the cycle, kg

qmedf,i | = | instantaneous equivalent diluted exhaust mass flow rate, kg/s

qmew,i | = | instantaneous exhaust mass flow rate, kg/s

rd,i | = | instantaneous dilution ratio

qmdew,i | = | instantaneous diluted exhaust mass flow rate through dilution tunnel, kg/s

qmdw,i | = | instantaneous dilution air mass flow rate, kg/s

f | = | data sampling rate, Hz

n | = | number of measurements

(b) | Text of imagemPT = mf rs × 1000where:mf=particulate mass sampled over the cycle, mgrs=average sample ratio over the test cyclewith:Text of imagers = mse mew × msep msedwhere:mse=sample mass over the cycle, kgmew=total exhaust mass flow over the cycle, kgmsep=mass of diluted exhaust gas passing the particulate collection filters, kgmsed=mass of diluted exhaust gas passing the dilution tunnel, kg.Note:In case of the total sampling type system,msepandMsedare identical. | mf | = | particulate mass sampled over the cycle, mg | rs | = | average sample ratio over the test cycle | mse | = | sample mass over the cycle, kg | mew | = | total exhaust mass flow over the cycle, kg | msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg | msed | = | mass of diluted exhaust gas passing the dilution tunnel, kg.

mf | = | particulate mass sampled over the cycle, mg

rs | = | average sample ratio over the test cycle

mse | = | sample mass over the cycle, kg

mew | = | total exhaust mass flow over the cycle, kg

msep | = | mass of diluted exhaust gas passing the particulate collection filters, kg

msed | = | mass of diluted exhaust gas passing the dilution tunnel, kg.

n1 | = | number of ETC tests between two regeneration events

n2 | = | number of ETC tests during a regeneration (minimum of one ETC)

Text of imagePTn2 | = | emissions during a regeneration

Text of imagePTn1 | = | emissions outside a regeneration.’

(g) | Appendix 4 is amended as follows:(i)Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’(ii)Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine’s Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine’s maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’(iii)Sections 2.3 and 2.4 are deleted.(iv)Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’

                                                         ” | (i) | Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’ | — | a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or | — | a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or | — | any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’ | (ii) | Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine’s Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine’s maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’ | Measuring Instrument | Accuracy | Fuel Consumption | ± 2  % of Engine’s Maximum Value | Air Consumption | ± 2  % of reading or ± 1  % of engine’s maximum value whichever is greater | Exhaust Gas Flow | ± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greater | Temperatures ≤ 600 K (327 °C) | ± 2  K Absolute | Temperatures ≥ 600 K (327 °C) | ± 1  % of Reading | Atmospheric Pressure | ± 0,1  kPa Absolute | Exhaust Gas Pressure | ± 0,2  kPa Absolute | Intake Depression | ± 0,05  kPa Absolute | Other Pressures | ± 0,1  kPa Absolute | Relative Humidity | ± 3  % Absolute | Absolute Humidity | ± 5  % of Reading | Dilution Air Flow | ± 2  % of Reading | Diluted Exhaust Gas Flow | ± 2  % of Reading’ | (iii) | Sections 2.3 and 2.4 are deleted. | (iv) | Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’

                                                         ” | ± 3 % of reading | λ < 2 | ± 5 % of reading | 2 ≤ λ < 5 | ± 10 % of reading | 5 ≤ λ | — | the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test, | — | the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx. | Filter Diameter (mm) | Minimum loading (mg) | 47 | 0,11 | 70 | 0,25 | 90 | 0,41 | 110 | 0,62

(i) | Section 1 is replaced by the following:‘1.   INTRODUCTIONGaseous components, particulates, and smoke emitted by the engine submitted for testing shall be measured by the methods described in Annex V. The respective sections of Annex V describe the recommended analytical systems for the gaseous emissions (section 1), the recommended particulate dilution and sampling systems (section 2), and the recommended opacimeters for smoke measurement (section 3).For the ESC, the gaseous components shall be determined in the raw exhaust gas. Optionally, they may be determined in the diluted exhaust gas, if a full flow dilution system is used for particulate determination. Particulates shall be determined with either a partial flow or a full flow dilution system.For the ETC, the following systems may be used—a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or—a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or—any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’ | — | a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or | — | a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or | — | any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’

— | a CVS full flow dilution system for determining gaseous and particulate emissions (double dilution systems are permissible),or

— | a combination of raw exhaust measurement for the gaseous emissions and a partial flow dilution system for particulate emissions,or

— | any combination of the two principles (e.g. raw gaseous measurement and full flow particulate measurement).’

(ii) | Section 2.2 is replaced by the following:‘2.2.   Other instrumentsMeasuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in table 9:Table 9Accuracy of measuring instrumentsMeasuring InstrumentAccuracyFuel Consumption± 2  % of Engine’s Maximum ValueAir Consumption± 2  % of reading or ± 1  % of engine’s maximum value whichever is greaterExhaust Gas Flow± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greaterTemperatures ≤ 600 K (327 °C)± 2  K AbsoluteTemperatures ≥ 600 K (327 °C)± 1  % of ReadingAtmospheric Pressure± 0,1  kPa AbsoluteExhaust Gas Pressure± 0,2  kPa AbsoluteIntake Depression± 0,05  kPa AbsoluteOther Pressures± 0,1  kPa AbsoluteRelative Humidity± 3  % AbsoluteAbsolute Humidity± 5  % of ReadingDilution Air Flow± 2  % of ReadingDiluted Exhaust Gas Flow± 2  % of Reading’ | Measuring Instrument | Accuracy | Fuel Consumption | ± 2  % of Engine’s Maximum Value | Air Consumption | ± 2  % of reading or ± 1  % of engine’s maximum value whichever is greater | Exhaust Gas Flow | ± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greater | Temperatures ≤ 600 K (327 °C) | ± 2  K Absolute | Temperatures ≥ 600 K (327 °C) | ± 1  % of Reading | Atmospheric Pressure | ± 0,1  kPa Absolute | Exhaust Gas Pressure | ± 0,2  kPa Absolute | Intake Depression | ± 0,05  kPa Absolute | Other Pressures | ± 0,1  kPa Absolute | Relative Humidity | ± 3  % Absolute | Absolute Humidity | ± 5  % of Reading | Dilution Air Flow | ± 2  % of Reading | Diluted Exhaust Gas Flow | ± 2  % of Reading’

Measuring Instrument | Accuracy

Fuel Consumption | ± 2  % of Engine’s Maximum Value

Air Consumption | ± 2  % of reading or ± 1  % of engine’s maximum value whichever is greater

Exhaust Gas Flow | ± 2,5  % of reading or ± 1,5  % of engine’s maximum value whichever is greater

Temperatures ≤ 600 K (327 °C) | ± 2  K Absolute

Temperatures ≥ 600 K (327 °C) | ± 1  % of Reading

Atmospheric Pressure | ± 0,1  kPa Absolute

Exhaust Gas Pressure | ± 0,2  kPa Absolute

Intake Depression | ± 0,05  kPa Absolute

Other Pressures | ± 0,1  kPa Absolute

Relative Humidity | ± 3  % Absolute

Absolute Humidity | ± 5  % of Reading

Dilution Air Flow | ± 2  % of Reading

Diluted Exhaust Gas Flow | ± 2  % of Reading’

(iii) | Sections 2.3 and 2.4 are deleted.

(iv) | Sections 3 and 4 are replaced by the following:‘3.   DETERMINATION OF THE GASEOUS COMPONENTS3.1.   General analyser specificationsThe analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 3.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15 % and 100 % of full scale.If read-out systems (computers, data loggers) can provide sufficient accuracy and resolution below 15 % of full scale, measurements below 15 % of full scale are also acceptable. In this case, additional calibrations of at least 4 non-zero nominally equally spaced points are to be made to ensure the accuracy of the calibration curves according to section 1.6.4 of Appendix 5 to this Annex.The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.3.1.1.   AccuracyThe analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading over the whole measurement range except zero, or ± 0,3 % of full scale whichever is larger. The accuracy shall be determined according to the calibration requirements laid down in section 1.6 of Appendix 5 to this Annex.Note:For the purpose of this Directive, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (= true value).3.1.2.   PrecisionThe precision, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, has to be not greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppmC) or ± 2 % of each range used below 155 ppm (or ppmC).3.1.3.   NoiseThe analyser peak-to-peak response to zero and calibration or span gases over any 10 second period shall not exceed 2 % of full scale on all ranges used.3.1.4.   Zero driftZero response is defined as the mean response, including noise, to a zero gas during a 30 seconds time interval. The drift of the zero response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.5.   Span driftSpan response is defined as the mean response, including noise, to a span gas during a 30 seconds time interval. The drift of the span response during a one hour period shall be less than 2 % of full scale on the lowest range used.3.1.6.   Rise timeThe rise time of the analyser installed in the measurement system shall not exceed 3,5 s.Note:Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes and especially dead volumes through out the system will not only effect the transportation time from the probe to the analyser, but also effect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside NOxanalysers. The determination of the total system response time is described in section 1.5 of Appendix 5 to this Annex.3.2.   Gas dryingThe optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.3.3.   AnalysersSections 3.3.1 to 3.3.4 describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex V. The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.3.3.1.   Carbon monoxide (CO) analysisThe carbon monoxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.2.   Carbon dioxide (CO2) analysisThe carbon dioxide analyser shall be of the Non-Dispersive InfraRed (NDIR) absorption type.3.3.3.   Hydrocarbon (HC) analysisFor diesel and LPG fuelled gas engines, the hydrocarbon analyser shall be of the Heated Flame Ionisation Detector (HFID) type with detector, valves, pipework, etc. heated so as to maintain a gas temperature of 463 K ± 10 K (190 ± 10 °C). For NG fuelled gas engines, the hydrocarbon analyser may be of the non heated Flame Ionisation Detector (FID) type depending upon the method used (see section 1.3 of Annex V).3.3.4.   Non-Methane Hydrocarbon (NMHC) analysis (NG fuelled gas engines only)Non-methane hydrocarbons shall be determined by either of the following methods:3.3.4.1.   Gas chromatographic (GC) methodNon-methane hydrocarbons shall be determined by subtraction of the methane analysed with a Gas Chromatograph (GC) conditioned at 423 K (150 °C) from the hydrocarbons measured according to section 3.3.3.3.3.4.2.   Non-Methane Cutter (NMC) methodThe determination of the non-methane fraction shall be performed with a heated NMC operated in line with an FID as per section 3.3.3 by subtraction of the methane from the hydrocarbons.3.3.5.   Oxides of Nitrogen (NOx) analysisThe oxides of nitrogen analyser shall be of the ChemiLuminescent Detector (CLD) or Heated ChemiLuminescent Detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (see section 1.9.2.2 of Appendix 5 to this Annex) is satisfied.3.3.6.   Air-to-fuel measurementThe air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 4.2.5 of Appendix 2 to this Annex shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type. The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.The accuracy of the sensor with incorporated electronics shall be within:± 3 % of readingλ < 2± 5 % of reading2 ≤ λ < 5± 10 % of reading5 ≤ λTo fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.3.4.   Sampling of Gaseous Emissions3.4.1.   Raw exhaust gasThe gaseous emissions sampling probes shall be fitted at least 0,5 m or 3 times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system but sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest CO2emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.If the engine is equipped with an exhaust aftertreatment system, the exhaust sample shall be taken downstream of the exhaust aftertreatment system.3.4.2.   Diluted exhaust gasThe exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of section 2.3.1 of Annex V (EP).The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.Sampling can generally be done in two ways:—the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,—the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.4.   DETERMINATION OF THE PARTICULATESThe determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow double dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems. The temperature of the diluted exhaust gas shall be below 325 K (52 °C)(*)immediately upstream of the filter holders. Humidity control of the dilution air before entering the dilution system is permitted, and especially dehumidifying is useful if dilution air humidity is high. The temperature of the dilution air shall be higher than 288 K (15 °C) in close proximity to the entrance into the dilution tunnel.The partial flow dilution system has to be designed to extract a proportional raw exhaust sample from the engine exhaust stream, thus responding to excursions in the exhaust stream flow rate, and introduce dilution air to this sample to achieve a temperature below 325 K (52 °C) at the test filter. For this it is essential that the dilution ratio or the sampling ratiordilorrsbe determined such that the accuracy limits of section 3.2.1 of Appendix 5 to this Annex are fulfilled. Different extraction methods can be applied, whereby the type of extraction used dictates to a significant degree the sampling hardware and procedures to be used (section 2.2 of Annex V).In general, the particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, but sufficiently distant as to not cause interference. Therefore, the installation provisions of section 3.4.1 also apply to particulate sampling. The sampling line shall conform to the requirements of section 2 of Annex V.In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a “Vee” engine configuration, it is recommended to combine the manifolds upstream of the sampling probe. If this is not practical, it is permissible to acquire a sample from the group with the highest particulate emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emission calculation the total exhaust mass flow shall be used.To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance, and a temperature and humidity controlled weighing chamber, are required.For particulate sampling, the single filter method shall be applied which uses one filter (see section 4.1.3) for the whole test cycle. For the ESC, considerable attention must be paid to sampling times and flows during the sampling phase of the test.4.1.   Particulate sampling filtersThe diluted exhaust shall be sampled by a filter that meets the requirements of sections 4.1.1 and 4.1.2 during the test sequence.4.1.1.   Filter specificationFluorocarbon coated glass fiber filters are required. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s.4.1.2.   Filter sizeParticulate filters with a diameter of 47 mm or 70 mm are recommended. Larger diameter filters are acceptable (section 4.1.4), but smaller diameter filters are not permitted.4.1.3.   Filter face velocityA gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.4.1.4.   Filter loadingThe required minimum filter loadings for the most common filter sizes are shown in table 10. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2filter area.Table 10Minimum Filter LoadingsFilter Diameter (mm)Minimum loading (mg)470,11700,25900,411100,62If, based on previous testing, the required minimum filter loading is unlikely to be reached on a test cycle after optimisation of flow rates and dilution ratio, a lower filter loading may be acceptable, with the agreement of the parties involved, if it can be shown to meet the accuracy requirements of section 4.2, e.g. with a 0,1 μg balance.4.1.5.   Filter holderFor the emissions test, the filters shall be placed in a filter holder assembly meeting the requirements of section 2.2 of Annex V. The filter holder assembly shall be of a design that provides an even flow distribution across the filter stain area. Quick acting valves shall be located either upstream or downstream of the filter holder. An inertial pre-classifier with a 50 % cut point between 2,5 μm and 10 μm may be installed immediately upstream of the filter holder. The use of the pre-classifier is strongly recommended if an open tube sampling probe facing upstream into the exhaust flow is used.4.2.   Weighing chamber and analytical balance specifications4.2.1.   Weighing chamber conditionsThe temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K ± 3 K (22 °C ± 3 °C) during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 K ± 3 K (9,5 °C ± 3 °C) and a relative humidity of 45 % ± 8 %.4.2.2.   Reference filter weighingThe chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personal entrance into the weighing room. At least two unused reference filters shall be weighed within 4 hours of, but preferably at the same time as the sample filter weightings. They shall be the same size and material as the sample filters.If the average weight of the reference filters changes between sample filter weightings by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.If the weighing room stability criteria outlined in section 4.2.1 is not met, but the reference filter weightings meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.4.2.3.   Analytical balanceThe analytical balance used to determine the filter weight shall have a precision (standard deviation) of at least 2 μg and a resolution of at least 1 μg (1 digit = 1 μg) specified by the balance manufacturer.4.2.4.   Elimination of static electricity effectsTo eliminate the effects of static electricity, the filters shall be neutralized prior to weighing, e.g. by a Polonium neutralizer, a Faraday cage or a device of similar effect.4.2.5.   Specifications for flow measurement4.2.5.1.   General requirementsAbsolute accuracies of flow meter or flow measurement instrumentation shall be as specified in section 2.2.4.2.5.2.   Special provisions for partial flow dilution systemsFor partial flow dilution systems, the accuracy of the sample flowqmpis of special concern, if not measured directly, but determined by differential flow measurement:qmp=qmdew–qmdwIn this case an accuracy of ± 2 % forqmdewandqmdwis not sufficient to guarantee acceptable accuracies ofqmp. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy ofqmpis within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.Acceptable accuracies ofqmpcan be obtained by either of the following methods:The absolute accuracies ofqmdewandqmdware ± 0,2 % which guarantees an accuracy ofqmpof ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios;calibration ofqmdwrelative toqmdewis carried out such that the same accuracies forqmpas in a) are obtained. For the details of such a calibration see section 3.2.1 of Appendix 5 to Annex III;the accuracy ofqmpis determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method a) forqmpare required;the absolute accuracy ofqmdewandqmdwis within ± 2 % of full scale, the maximum error of the difference betweenqmdewandqmdwis within 0,2 %, and the linearity error is within ± 0,2 % of the highestqmdewobserved during the test.(*)The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’

                                                         ” | ± 3 % of reading | λ < 2 | ± 5 % of reading | 2 ≤ λ < 5 | ± 10 % of reading | 5 ≤ λ | — | the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test, | — | the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx. | Filter Diameter (mm) | Minimum loading (mg) | 47 | 0,11 | 70 | 0,25 | 90 | 0,41 | 110 | 0,62

± 3 % of reading | λ < 2

± 5 % of reading | 2 ≤ λ < 5

± 10 % of reading | 5 ≤ λ

— | the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,

— | the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.

Filter Diameter (mm) | Minimum loading (mg)

47 | 0,11

70 | 0,25

90 | 0,41

110 | 0,62

(h) | Appendix 5 is amended as follows:(i)The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’(ii)Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’(iii)The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’(iv)Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’(v)Former section 1.6 becomes section 1.6.7.(vi)The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer’s prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’(vii)Former section 2.4 becomes Section 2.5.(viii)Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’ | (i) | The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’ | (ii) | Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’ | Vs | = | system volume, l | qvs | = | system flow rate, l/min | (iii) | The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’ | (iv) | Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’ | — | Each normally used operating range shall be calibrated | — | Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero | — | The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established | — | The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale | — | The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used | — | The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger | — | The zero setting shall be rechecked and the calibration procedure repeated, if necessary. | (v) | Former section 1.6 becomes section 1.6.7. | (vi) | The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer's prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’ | QSSV | = | air flow rate at standard conditions (101,3 kPa, 273 K), m3/s | T | = | temperature at the venturi inlet, K | d | = | diameter of the SSV throat, m | rp | = | ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA | rD | = | ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D | A1 | = | a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m) | QSSV | = | air flow rate at standard conditions (101,3 kPa, 273 K), m3/s | d | = | diameter of the SSV throat, m | μ | = | absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s | b | = | empirical constant =Text of image1,458 × 10 6 kg msK 1/2 | S | = | empirical constant = 110,4K | (vii) | Former section 2.4 becomes Section 2.5. | (viii) | Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’ | — | To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards. | — | If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd | (a) | The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed. | (b) | A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test. | (c) | The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test. | (d) | A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd | — | The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp. | — | A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration. | — | The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1. | — | If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other. | — | A pre-test check shall be performed within 2 hours before the test run in the following way: | — | The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test. | — | If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted. | — | The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method: | — | An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice. | — | A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz. | — | From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex). | — | The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

(i) | The following section 1.2.3 is added:‘1.2.3.   Use of precision blending devicesThe gases used for calibration and span may also be obtained by means of precision blending devices (gas dividers), diluting with purified N2or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the blended calibration gases is accurate to within ± 2 %. This accuracy implies that primary gases used for blending must be known to an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device.Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.’

(ii) | Section 1.4 is replaced by the following:‘1.4.   Leakage testA system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilisation period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected.The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increaseΔp(kPa/min) in the system should not exceed:Δp=p/Vs× 0,005 ×qvswhere:Vs=system volume, lqvs=system flow rate, l/minAnother method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas. If after an adequate period of time the reading is about 1 % low compared to the introduced concentration, these points to calibration or leakage problems.’ | Vs | = | system volume, l | qvs | = | system flow rate, l/min

Vs | = | system volume, l

qvs | = | system flow rate, l/min

(iii) | The following section 1.5 is inserted:‘1.5.   Response time check of analytical systemThe system settings for the response time evaluation shall be exactly the same as during measurement of the test run (i.e. pressure, flow rates, filter settings on the analyzers and all other response time influences). The response time determination shall be done with gas switching directly at the inlet of the sample probe. The gas switching shall be done in less than 0,1 second. The gases used for the test shall cause a concentration change of at least 60 % FS.The concentration trace of each single gas component shall be recorded. The response time is defined to be the difference in time between the gas switching and the appropriate change of the recorded concentration. The system response time (t90) consists of the delay time to the measuring detector and the rise time of the detector. The delay time is defined as the time from the change (t0) until the response is 10 % of the final reading (t10). The rise time is defined as the time between 10 % and 90 % response of the final reading (t90–t10).For time alignment of the analyzer and exhaust flow signals in the case of raw measurement, the transformation time is defined as the time from the change (t0) until the response is 50 % of the final reading (t50).The system response time shall be ≤ 10 seconds with a rise time ≤ 3,5 seconds for all limited components (CO, NOx, HC or NMHC) and all ranges used.’

(iv) | Former section 1.5 is replaced by the following:‘1.6.   Calibration1.6.1.   Instrument assemblyThe instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.1.6.2.   Warming-up timeThe warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two hours is recommended for warming up the analysers.1.6.3.   NDIR and HFID analyserThe NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimised (section 1.8.1).1.6.4.   Establishment of the calibration curve—Each normally used operating range shall be calibrated—Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero—The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established—The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale—The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used—The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger—The zero setting shall be rechecked and the calibration procedure repeated, if necessary.1.6.5.   Alternative methodsIf it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.1.6.6.   Calibration of tracer gas analyser for exhaust flow measurementThe calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale. The calibration curve is calculated by the method of least squares.The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger.The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80 % of the analyser full scale.’ | — | Each normally used operating range shall be calibrated | — | Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero | — | The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established | — | The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale | — | The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used | — | The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger | — | The zero setting shall be rechecked and the calibration procedure repeated, if necessary.

— | Each normally used operating range shall be calibrated

— | Using purified synthetic air (or nitrogen), the CO, CO2, NOxand HC analysers shall be set at zero

— | The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established

— | The calibration curve shall be established by at least 6 calibration points (excluding zero) approximately equally spaced over the operating range. The highest nominal concentration shall be equal to or higher than 90 % of full scale

— | The calibration curve shall be calculated by the method of least-squares. A best-fit linear or non-linear equation may be used

— | The calibration points shall not differ from the least-squares best-fit line by more than ± 2 % of reading or ± 0,3 % of full scale whichever is larger

— | The zero setting shall be rechecked and the calibration procedure repeated, if necessary.

(v) | Former section 1.6 becomes section 1.6.7.

(vi) | The following section 2.4 is inserted:‘2.4.   Calibration of the Subsonic Venturi (SSV)Calibration of the SSV is based upon the flow equation for a subsonic venturi. Gas flow is a function of inlet pressure and temperature, pressure drop between the SSV inlet and throat.2.4.1.   Data analysisThe air flowrate (QSSV) at each restriction setting (minimum 16 settings) shall be calculated in standard m3/min from the flowmeter data using the manufacturer’s prescribed method. The discharge coefficient shall be calculated from the calibration data for each setting as follows:Text of imageQSSV = A0d2Cdpp √ [1 T (rp1,4286 – rp1,7143) × (1 1 – rD 4rp1,4286)]where:QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sT=temperature at the venturi inlet, Kd=diameter of the SSV throat, mrp=ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PArD=ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged DTo determine the range of subsonic flow,Cdshall be plotted as a function of Reynolds number at the SSV throat. The Re at the SSV throat is calculated with the following formula:Text of imageRe = A1 QSSV dμwhere:A1=a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)QSSV=air flow rate at standard conditions (101,3 kPa, 273 K), m3/sd=diameter of the SSV throat, mμ=absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–sb=empirical constant =Text of image1,458 × 10 6 kg msK 1/2S=empirical constant = 110,4KBecauseQSSVis an input to the Re formula, the calculations must be started with an initial guess forQSSVorCdof the calibration venturi, and repeated untilQSSVconverges. The convergence method must be accurate to 0,1 % of point or better.For a minimum of sixteen points in the region of subsonic flow, the calculated values ofCdfrom the resulting calibration curve fit equation must be within ± 0,5 % of the measuredCdfor each calibration point.’ | QSSV | = | air flow rate at standard conditions (101,3 kPa, 273 K), m3/s | T | = | temperature at the venturi inlet, K | d | = | diameter of the SSV throat, m | rp | = | ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA | rD | = | ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D | A1 | = | a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m) | QSSV | = | air flow rate at standard conditions (101,3 kPa, 273 K), m3/s | d | = | diameter of the SSV throat, m | μ | = | absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s | b | = | empirical constant =Text of image1,458 × 10 6 kg msK 1/2 | S | = | empirical constant = 110,4K

QSSV | = | air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

T | = | temperature at the venturi inlet, K

d | = | diameter of the SSV throat, m

rp | = | ratio of the SSV throat to inlet absolute, static pressure =Text of image1 – ΔP PA

rD | = | ratio of the SSV throat diameter, d, to the inlet pipe inner diameter =Text of imaged D

A1 | = | a collection of constants and units conversionsText of image= 25,55152 (1m3) (min s) (mm m)

QSSV | = | air flow rate at standard conditions (101,3 kPa, 273 K), m3/s

d | = | diameter of the SSV throat, m

μ | = | absolute or dynamic viscosity of the gas, calculated with the following formula:Text of imageμ = bT 3/2 S + T = bT 1/2 1 + S T kg/m–s

b | = | empirical constant =Text of image1,458 × 10 6 kg msK 1/2

S | = | empirical constant = 110,4K

(vii) | Former section 2.4 becomes Section 2.5.

(viii) | Section 3 is replaced by the following:‘3.   CALIBRATION OF THE PARTICULATE MEASURING SYSTEM3.1.   IntroductionThe calibration of the particulate measurement is limited to the flow meters used to determine sample flow and dilution ratio. Each flow meter shall be calibrated as often as necessary to fulfil the accuracy requirements of this Directive. The calibration method that shall be used is described in section 3.2.3.2.   Flow measurement3.2.1.   Periodical calibration—To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.—If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd—The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.3.2.2.   Carbon flow check—A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.—The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.—If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.3.2.3.   Pre-test check—A pre-test check shall be performed within 2 hours before the test run in the following way:—The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.—If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.3.3.   Determination of transformation time (for partial flow dilution systems on ETC only)—The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:—An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.—A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.—From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).—The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.3.4.   Checking the partial flow conditionsThe range of the exhaust gas velocity and the pressure oscillations shall be checked and adjusted according to the requirements of section 2.2.1 of Annex V (EP), if applicable.3.5.   Calibration intervalsThe flow measurement instrumentation shall be calibrated at least every 3 months or whenever a system repair or change is made that could influence calibration.’ | — | To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards. | — | If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd | (a) | The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed. | (b) | A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test. | (c) | The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test. | (d) | A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd | — | The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp. | — | A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration. | — | The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1. | — | If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other. | — | A pre-test check shall be performed within 2 hours before the test run in the following way: | — | The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test. | — | If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted. | — | The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method: | — | An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice. | — | A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz. | — | From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex). | — | The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

— | To fulfil the absolute accuracy of the flow measurements as specified in section 2.2 of Appendix 4 to this Annex, the flow meter or the flow measurement instrumentation shall be calibrated with an accurate flow meter traceable to international and/or national standards.

— | If the sample gas flow is determined by differential flow measurement the flow meter or the flow measurement instrumentation shall be calibrated in one of the following procedures, such that the probe flowqmpinto the tunnel shall fulfil the accuracy requirements of section 4.2.5.2 of Appendix 4 to this Annex:(a)The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.(b)A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.(c)The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.(d)A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd | (a) | The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed. | (b) | A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test. | (c) | The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test. | (d) | A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

(a) | The flow meter forqmdwshall be connected in series to the flow meter forqmdew, the difference between the two flow meters shall be calibrated for at least 5 set points with flow values equally spaced between the lowestqmdwvalue used during the test and the value ofqmdewused during the test. The dilution tunnel may be bypassed.

(b) | A calibrated mass flow device shall be connected in series to the flowmeter forqmdewand the accuracy shall be checked for the value used for the test. Then the calibrated mass flow device shall be connected in series to the flow meter forqmdw, and the accuracy shall be checked for at least 5 settings corresponding to dilution ratio between 3 and 50, relative toqmdewused during the test.

(c) | The transfer tube TT shall be disconnected from the exhaust, and a calibrated flow measuring device with a suitable range to measureqmpshall be connected to the transfer tube. Thenqmdewshall be set to the value used during the test, andqmdwshall be sequentially set to at least 5 values corresponding to dilution ratios q between 3 and 50. Alternatively, a special calibration flow path, may be provided, in which the tunnel is bypassed, but the total and dilution air flow through the corresponding meters as in the actual test.

(d) | A tracer gas, shall be fed into the exhaust transfer tube TT. This tracer gas may be a component of the exhaust gas, like CO2or NOx. After dilution in the tunnel the tracer gas component shall be measured. This shall be carried out for 5 dilution ratios between 3 and 50. The accuracy of the sample flow shall be determined from the dilution rationrd:Text of imageqmp = qmdew rd

— | The accuracies of the gas analysers shall be taken into account to guarantee the accuracy ofqmp.

— | A carbon flow check using actual exhaust is recommended for detecting measurement and control problems and verifying the proper operation of the partial flow system. The carbon flow check should be run at least each time a new engine is installed, or something significant is changed in the test cell configuration.

— | The engine shall be operated at peak torque load and speed or any other steady state mode that produces 5 % or more of CO2. The partial flow sampling system shall be operated with a dilution factor of about 15 to 1.

— | If a carbon flow check is conducted, the procedure given in Appendix 6 to this Annex shall be applied. The carbon flow rates shall be calculated according to sections 2.1 to 2.3 of Appendix 6 to this Annex. All carbon flow rates should agree to within 6 % of each other.

— | A pre-test check shall be performed within 2 hours before the test run in the following way:

— | The accuracy of the flow meters shall be checked by the same method as used for calibration (see section 3.2.1) for at least two points, including flow values ofqmdwthat correspond to dilution ratios between 5 and 15 for theqmdewvalue used during the test.

— | If it can be demonstrated by records of the calibration procedure under section 3.2.1 that the flow meter calibration is stable over a longer period of time, the pre-test check may be omitted.

— | The system settings for the transformation time evaluation shall be exactly the same as during measurement of the test run. The transformation time shall be determined by the following method:

— | An independent reference flowmeter with a measurement range appropriate for the probe flow shall be put in series with and closely coupled to the probe. This flowmeter shall have a transformation time of less than 100 ms for the flow step size used in the response time measurement, with flow restriction sufficiently low as to not affect the dynamic performance of the partial flow dilution system, and consistent with good engineering practice.

— | A step change shall be introduced to the exhaust flow (or air flow if exhaust flow is calculated) input of the partial flow dilution system, from a low flow to at least 90 % of full scale. The trigger for the step change should be the same one used to start the look-ahead control in actual testing. The exhaust flow step stimulus and the flowmeter response shall be recorded at a sample rate of at least 10 Hz.

— | From this data, the transformation time shall be determined for the partial flow dilution system, which is the time from the initiation of the step stimulus to the 50 % point of the flowmeter response. In a similar manner, the transformation times of theqmpsignal of the partial flow dilution system and of theqmew,isignal of the exhaust flow meter shall be determined. These signals are used in the regression checks performed after each test (see section 3.8.3.2 of Appendix 2 to this Annex).

— | The calculation shall be repeated for at least 5 rise and fall stimuli, and the results shall be averaged. The internal transformation time (< 100 msec) of the reference flowmeter shall be subtracted from this value. This is the “look-ahead” value of the partial flow dilution system, which shall be applied in accordance with section 3.8.3.2 of Appendix 2 to this Annex.

(i) | The following Appendix 6 is added:‘Appendix 6CARBON FLOW CHECK1.   INTRODUCTIONAll but a tiny part of the carbon in the exhaust comes from the fuel, and all but a minimal part of this is manifest in the exhaust gas as CO2. This is the basis for a system verification check based on CO2measurements.The flow of carbon into the exhaust measurement systems is determined from the fuel flow rate. The flow of carbon at various sampling points in the emissions and particulate sampling systems is determined from the CO2concentrations and gas flow rates at those points.In this sense, the engine provides a known source of carbon flow, and observing the same carbon flow in the exhaust pipe and at the outlet of the partial flow PM sampling system verifies leak integrity and flow measurement accuracy. This check has the advantage that the components are operating under actual engine test conditions of temperature and flow.The following diagram shows the sampling points at which the carbon flows shall be checked. The specific equations for the carbon flows at each of the sample points are given below.Measuring points for carbon flow checkAirFuelCO2 RAWENGINEPartial Flow SystemCO2 PFS2.   CALCULATIONS2.1.   Carbon flow rate into the engine (location 1)The carbon mass flow rate into the engine for a fuel CHαOεis given by:Text of imageqmCf = 12,011 12,011 + α + 15,9994 × ε × qmfwhere:qmf= fuel mass flow rate, kg/s2.2.   Carbon flow rate in the raw exhaust (location 2)The carbon mass flow rate in the exhaust pipe of the engine shall be determined from the raw CO2concentration and the exhaust gas mass flow rate:Text of imageqmCe = (cCO2,r – cCO2,a 100) × qmew × 12,011 Mrewhere:cCO2,r=wet CO2concentration in the raw exhaust gas, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmew=exhaust gas mass flow rate on wet basis, kg/sMre=molecular mass of exhaust gasIf CO2is measured on a dry basis it shall be converted to a wet basis according to section 5.2 of Appendix 1 to this Annex.2.3.   Carbon flow rate in the dilution system (location 3)The carbon flow rate shall be determined from the dilute CO2concentration, the exhaust gas mass flow rate and the sample flow rate:Text of imageqmCp = (cCO2,d – cCO2,a 100) × qmdew × 12,011 Mre × qmew qmpwhere:cCO2,d=wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %cCO2,a=wet CO2concentration in the ambient air, % (around 0,04 %)qmdew=diluted exhaust gas mass flow rate on wet basis, kg/sqmew=exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)qmp=sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)Mre=molecular mass of exhaust gasIf CO2is measured on a dry basis, it shall be converted to wet basis according to section 5.2 of Appendix 1 to this Annex.2.4.   The molecular mass (Mre) of the exhaust gas shall be calculated as follows:Text of imageMre = 1 + qmf qmaw qmf qmaw × α 4 + ε 2 + δ 2 12,011 + 1,00794 × α + 15,9994 × ε + 14,0067 × δ + 32,065 × γ + Ha × 10–3 2 × 1,00794 + 15,9994 + 1 Mra 1 + Ha × 10–3where:qmf=fuel mass flow rate, kg/sqmaw=intake air mass flow rate on wet basis, kg/sHa=humidity of intake air, g water per kg dry airMra=molecular mass of dry intake air (= 28,9 g/mol)α, δ, ε, γ=molar ratios referring to a fuel CHαOδNεSγAlternatively, the following molecular masses may be used:Mre(diesel)=28,9 g/molMre(LPG)=28,6 g/molMre(NG)=28,3 g/mol’ | cCO2,r | = | wet CO2concentration in the raw exhaust gas, % | cCO2,a | = | wet CO2concentration in the ambient air, % (around 0,04 %) | qmew | = | exhaust gas mass flow rate on wet basis, kg/s | Mre | = | molecular mass of exhaust gas | cCO2,d | = | wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, % | cCO2,a | = | wet CO2concentration in the ambient air, % (around 0,04 %) | qmdew | = | diluted exhaust gas mass flow rate on wet basis, kg/s | qmew | = | exhaust gas mass flow rate on wet basis, kg/s (partial flow system only) | qmp | = | sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only) | Mre | = | molecular mass of exhaust gas | qmf | = | fuel mass flow rate, kg/s | qmaw | = | intake air mass flow rate on wet basis, kg/s | Ha | = | humidity of intake air, g water per kg dry air | Mra | = | molecular mass of dry intake air (= 28,9 g/mol) | α, δ, ε, γ | = | molar ratios referring to a fuel CHαOδNεSγ | Mre(diesel) | = | 28,9 g/mol | Mre(LPG) | = | 28,6 g/mol | Mre(NG) | = | 28,3 g/mol’

cCO2,r | = | wet CO2concentration in the raw exhaust gas, %

cCO2,a | = | wet CO2concentration in the ambient air, % (around 0,04 %)

qmew | = | exhaust gas mass flow rate on wet basis, kg/s

Mre | = | molecular mass of exhaust gas

cCO2,d | = | wet CO2concentration in the dilute exhaust gas at the outlet of the dilution tunnel, %

cCO2,a | = | wet CO2concentration in the ambient air, % (around 0,04 %)

qmdew | = | diluted exhaust gas mass flow rate on wet basis, kg/s

qmew | = | exhaust gas mass flow rate on wet basis, kg/s (partial flow system only)

qmp | = | sample flow of exhaust gas into partial flow dilution system, kg/s (partial flow system only)

Mre | = | molecular mass of exhaust gas

qmf | = | fuel mass flow rate, kg/s

qmaw | = | intake air mass flow rate on wet basis, kg/s

Ha | = | humidity of intake air, g water per kg dry air

Mra | = | molecular mass of dry intake air (= 28,9 g/mol)

α, δ, ε, γ | = | molar ratios referring to a fuel CHαOδNεSγ

Mre(diesel) | = | 28,9 g/mol

Mre(LPG) | = | 28,6 g/mol

Mre(NG) | = | 28,3 g/mol’

(4) | Annex IV is amended as follows:(a)The title of section 1.1 is replaced by the following:1.1.Diesel reference fuel for testing engines to the emission limits given in row a of the Tables in Section 6.2.1 of Annex I(1)’(b)The following section 1.2 is inserted:1.2.Diesel reference fuel for testing engines to the emission limits given in rows B1, B2 or C of the Tables in Section 6.2.1 of Annex IParameterUnitLimits(1)Test MethodminimummaximumCetane number(2)52,054,0EN-ISO 5165Density at 15 °Ckg/m3833837EN-ISO 3675Distillation:— 50 % point°C245—EN-ISO 3405— 95 % point°C345350EN-ISO 3405— Final boiling point°C—370EN-ISO 3405Flash point°C55—EN 22719CFPP°C—–5EN 116Viscosity at 40 °Cmm2/s2,33,3EN-ISO 3104Polycyclic aromatic hydrocarbons% m/m2,06,0IP 391Sulphur content(3)mg/kg—10ASTM D 5453Copper corrosion—class 1EN-ISO 2160Conradson carbon residue (10 % DR)% m/m—0,2EN-ISO 10370Ash content% m/m—0,01EN-ISO 6245Water content% m/m—0,02EN-ISO 12937Neutralisation (strong acid) numbermg KOH/g—0,02ASTM D 974Oxidation stability(4)mg/ml—0,025EN-ISO 12205Lubricity (HFRR wear scan diameter at 60 °C)μm—400CEC F-06-A-96FAMEprohibited(c)Former Section 1.2 becomes section 1.3.(d)Section 3 is replaced by the following:‘3.   TECHNICAL DATA OF THE LPG REFERENCE FUELSA.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row A of the tables in Section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalanceC4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreeFreevisual inspectionTotal sulphur contentmg/kgmax. 50max. 50EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(5)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex BB.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row B1, B2 or C of the tables in section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreefreeVisual inspectionTotal sulphur contentmg/kgmax. 10max. 10EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(6)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex B | (a) | The title of section 1.1 is replaced by the following:1.1.Diesel reference fuel for testing engines to the emission limits given in row a of the Tables in Section 6.2.1 of Annex I(1)’ | (b) | The following section 1.2 is inserted:1.2.Diesel reference fuel for testing engines to the emission limits given in rows B1, B2 or C of the Tables in Section 6.2.1 of Annex IParameterUnitLimits(1)Test MethodminimummaximumCetane number(2)52,054,0EN-ISO 5165Density at 15 °Ckg/m3833837EN-ISO 3675Distillation:— 50 % point°C245—EN-ISO 3405— 95 % point°C345350EN-ISO 3405— Final boiling point°C—370EN-ISO 3405Flash point°C55—EN 22719CFPP°C—–5EN 116Viscosity at 40 °Cmm2/s2,33,3EN-ISO 3104Polycyclic aromatic hydrocarbons% m/m2,06,0IP 391Sulphur content(3)mg/kg—10ASTM D 5453Copper corrosion—class 1EN-ISO 2160Conradson carbon residue (10 % DR)% m/m—0,2EN-ISO 10370Ash content% m/m—0,01EN-ISO 6245Water content% m/m—0,02EN-ISO 12937Neutralisation (strong acid) numbermg KOH/g—0,02ASTM D 974Oxidation stability(4)mg/ml—0,025EN-ISO 12205Lubricity (HFRR wear scan diameter at 60 °C)μm—400CEC F-06-A-96FAMEprohibited | Parameter | Unit | Limits(1) | Test Method | minimum | maximum | Cetane number(2) |  | 52,0 | 54,0 | EN-ISO 5165 | Density at 15 °C | kg/m3 | 833 | 837 | EN-ISO 3675 | Distillation: |  |  |  |  | — 50 % point | °C | 245 | — | EN-ISO 3405 | — 95 % point | °C | 345 | 350 | EN-ISO 3405 | — Final boiling point | °C | — | 370 | EN-ISO 3405 | Flash point | °C | 55 | — | EN 22719 | CFPP | °C | — | –5 | EN 116 | Viscosity at 40 °C | mm2/s | 2,3 | 3,3 | EN-ISO 3104 | Polycyclic aromatic hydrocarbons | % m/m | 2,0 | 6,0 | IP 391 | Sulphur content(3) | mg/kg | — | 10 | ASTM D 5453 | Copper corrosion |  | — | class 1 | EN-ISO 2160 | Conradson carbon residue (10 % DR) | % m/m | — | 0,2 | EN-ISO 10370 | Ash content | % m/m | — | 0,01 | EN-ISO 6245 | Water content | % m/m | — | 0,02 | EN-ISO 12937 | Neutralisation (strong acid) number | mg KOH/g | — | 0,02 | ASTM D 974 | Oxidation stability(4) | mg/ml | — | 0,025 | EN-ISO 12205 | Lubricity (HFRR wear scan diameter at 60 °C) | μm | — | 400 | CEC F-06-A-96 | FAME | prohibited | (c) | Former Section 1.2 becomes section 1.3. | (d) | Section 3 is replaced by the following:‘3.   TECHNICAL DATA OF THE LPG REFERENCE FUELSA.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row A of the tables in Section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalanceC4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreeFreevisual inspectionTotal sulphur contentmg/kgmax. 50max. 50EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(5)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex BB.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row B1, B2 or C of the tables in section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreefreeVisual inspectionTotal sulphur contentmg/kgmax. 10max. 10EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(6)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex B | Parameter | Unit | Fuel A | Fuel B | Test method | Composition: |  |  |  | ISO 7941 | C3-content | % vol | 50 ± 2 | 85 ± 2 |  | C4-content | % vol | balance | balance |  | C4 | % vol | max. 2 | max. 2 |  | Olefins | % vol | max. 12 | max. 14 |  | Evaporation residue | mg/kg | max. 50 | max. 50 | ISO 13757 | Water at 0 °C |  | free | Free | visual inspection | Total sulphur content | mg/kg | max. 50 | max. 50 | EN 24260 | Hydrogen sulphide |  | none | none | ISO 8819 | Copper strip corrosion | rating | class 1 | class 1 | ISO 6251(5) | Odour |  | characteristic | characteristic |  | Motor octane number |  | min. 92,5 | min. 92,5 | EN 589 Annex B | Parameter | Unit | Fuel A | Fuel B | Test method | Composition: |  |  |  | ISO 7941 | C3-content | % vol | 50 ± 2 | 85 ± 2 |  | C4-content | % vol | balance | balance |  |  C4 | % vol | max. 2 | max. 2 |  | Olefins | % vol | max. 12 | max. 14 |  | Evaporation residue | mg/kg | max. 50 | max. 50 | ISO 13757 | Water at 0 °C |  | free | free | Visual inspection | Total sulphur content | mg/kg | max. 10 | max. 10 | EN 24260 | Hydrogen sulphide |  | none | none | ISO 8819 | Copper strip corrosion | rating | class 1 | class 1 | ISO 6251(6) | Odour |  | characteristic | characteristic |  | Motor octane number |  | min. 92,5 | min. 92,5 | EN 589 Annex B

(a) | The title of section 1.1 is replaced by the following:1.1.Diesel reference fuel for testing engines to the emission limits given in row a of the Tables in Section 6.2.1 of Annex I(1)’

(b) | The following section 1.2 is inserted:1.2.Diesel reference fuel for testing engines to the emission limits given in rows B1, B2 or C of the Tables in Section 6.2.1 of Annex IParameterUnitLimits(1)Test MethodminimummaximumCetane number(2)52,054,0EN-ISO 5165Density at 15 °Ckg/m3833837EN-ISO 3675Distillation:— 50 % point°C245—EN-ISO 3405— 95 % point°C345350EN-ISO 3405— Final boiling point°C—370EN-ISO 3405Flash point°C55—EN 22719CFPP°C—–5EN 116Viscosity at 40 °Cmm2/s2,33,3EN-ISO 3104Polycyclic aromatic hydrocarbons% m/m2,06,0IP 391Sulphur content(3)mg/kg—10ASTM D 5453Copper corrosion—class 1EN-ISO 2160Conradson carbon residue (10 % DR)% m/m—0,2EN-ISO 10370Ash content% m/m—0,01EN-ISO 6245Water content% m/m—0,02EN-ISO 12937Neutralisation (strong acid) numbermg KOH/g—0,02ASTM D 974Oxidation stability(4)mg/ml—0,025EN-ISO 12205Lubricity (HFRR wear scan diameter at 60 °C)μm—400CEC F-06-A-96FAMEprohibited | Parameter | Unit | Limits(1) | Test Method | minimum | maximum | Cetane number(2) |  | 52,0 | 54,0 | EN-ISO 5165 | Density at 15 °C | kg/m3 | 833 | 837 | EN-ISO 3675 | Distillation: |  |  |  |  | — 50 % point | °C | 245 | — | EN-ISO 3405 | — 95 % point | °C | 345 | 350 | EN-ISO 3405 | — Final boiling point | °C | — | 370 | EN-ISO 3405 | Flash point | °C | 55 | — | EN 22719 | CFPP | °C | — | –5 | EN 116 | Viscosity at 40 °C | mm2/s | 2,3 | 3,3 | EN-ISO 3104 | Polycyclic aromatic hydrocarbons | % m/m | 2,0 | 6,0 | IP 391 | Sulphur content(3) | mg/kg | — | 10 | ASTM D 5453 | Copper corrosion |  | — | class 1 | EN-ISO 2160 | Conradson carbon residue (10 % DR) | % m/m | — | 0,2 | EN-ISO 10370 | Ash content | % m/m | — | 0,01 | EN-ISO 6245 | Water content | % m/m | — | 0,02 | EN-ISO 12937 | Neutralisation (strong acid) number | mg KOH/g | — | 0,02 | ASTM D 974 | Oxidation stability(4) | mg/ml | — | 0,025 | EN-ISO 12205 | Lubricity (HFRR wear scan diameter at 60 °C) | μm | — | 400 | CEC F-06-A-96 | FAME | prohibited

Parameter | Unit | Limits(1) | Test Method

minimum | maximum

Cetane number(2) |  | 52,0 | 54,0 | EN-ISO 5165

Density at 15 °C | kg/m3 | 833 | 837 | EN-ISO 3675

Distillation: |  |  |  | 

— 50 % point | °C | 245 | — | EN-ISO 3405

— 95 % point | °C | 345 | 350 | EN-ISO 3405

— Final boiling point | °C | — | 370 | EN-ISO 3405

Flash point | °C | 55 | — | EN 22719

CFPP | °C | — | –5 | EN 116

Viscosity at 40 °C | mm2/s | 2,3 | 3,3 | EN-ISO 3104

Polycyclic aromatic hydrocarbons | % m/m | 2,0 | 6,0 | IP 391

Sulphur content(3) | mg/kg | — | 10 | ASTM D 5453

Copper corrosion |  | — | class 1 | EN-ISO 2160

Conradson carbon residue (10 % DR) | % m/m | — | 0,2 | EN-ISO 10370

Ash content | % m/m | — | 0,01 | EN-ISO 6245

Water content | % m/m | — | 0,02 | EN-ISO 12937

Neutralisation (strong acid) number | mg KOH/g | — | 0,02 | ASTM D 974

Oxidation stability(4) | mg/ml | — | 0,025 | EN-ISO 12205

Lubricity (HFRR wear scan diameter at 60 °C) | μm | — | 400 | CEC F-06-A-96

FAME | prohibited

(c) | Former Section 1.2 becomes section 1.3.

(d) | Section 3 is replaced by the following:‘3.   TECHNICAL DATA OF THE LPG REFERENCE FUELSA.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row A of the tables in Section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalanceC4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreeFreevisual inspectionTotal sulphur contentmg/kgmax. 50max. 50EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(5)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex BB.   Technical data of the LPG reference fuels used for testing vehicles to the emission limits given in row B1, B2 or C of the tables in section 6.2.1 of Annex IParameterUnitFuel AFuel BTest methodComposition:ISO 7941C3-content% vol50 ± 285 ± 2C4-content% volbalancebalance C4% volmax. 2max. 2Olefins% volmax. 12max. 14Evaporation residuemg/kgmax. 50max. 50ISO 13757Water at 0 °CfreefreeVisual inspectionTotal sulphur contentmg/kgmax. 10max. 10EN 24260Hydrogen sulphidenonenoneISO 8819Copper strip corrosionratingclass 1class 1ISO 6251(6)OdourcharacteristiccharacteristicMotor octane numbermin. 92,5min. 92,5EN 589 Annex B | Parameter | Unit | Fuel A | Fuel B | Test method | Composition: |  |  |  | ISO 7941 | C3-content | % vol | 50 ± 2 | 85 ± 2 |  | C4-content | % vol | balance | balance |  | C4 | % vol | max. 2 | max. 2 |  | Olefins | % vol | max. 12 | max. 14 |  | Evaporation residue | mg/kg | max. 50 | max. 50 | ISO 13757 | Water at 0 °C |  | free | Free | visual inspection | Total sulphur content | mg/kg | max. 50 | max. 50 | EN 24260 | Hydrogen sulphide |  | none | none | ISO 8819 | Copper strip corrosion | rating | class 1 | class 1 | ISO 6251(5) | Odour |  | characteristic | characteristic |  | Motor octane number |  | min. 92,5 | min. 92,5 | EN 589 Annex B | Parameter | Unit | Fuel A | Fuel B | Test method | Composition: |  |  |  | ISO 7941 | C3-content | % vol | 50 ± 2 | 85 ± 2 |  | C4-content | % vol | balance | balance |  |  C4 | % vol | max. 2 | max. 2 |  | Olefins | % vol | max. 12 | max. 14 |  | Evaporation residue | mg/kg | max. 50 | max. 50 | ISO 13757 | Water at 0 °C |  | free | free | Visual inspection | Total sulphur content | mg/kg | max. 10 | max. 10 | EN 24260 | Hydrogen sulphide |  | none | none | ISO 8819 | Copper strip corrosion | rating | class 1 | class 1 | ISO 6251(6) | Odour |  | characteristic | characteristic |  | Motor octane number |  | min. 92,5 | min. 92,5 | EN 589 Annex B

Parameter | Unit | Fuel A | Fuel B | Test method

Composition: |  |  |  | ISO 7941

C3-content | % vol | 50 ± 2 | 85 ± 2 | 

C4-content | % vol | balance | balance | 

C4 | % vol | max. 2 | max. 2 | 

Olefins | % vol | max. 12 | max. 14 | 

Evaporation residue | mg/kg | max. 50 | max. 50 | ISO 13757

Water at 0 °C |  | free | Free | visual inspection

Total sulphur content | mg/kg | max. 50 | max. 50 | EN 24260

Hydrogen sulphide |  | none | none | ISO 8819

Copper strip corrosion | rating | class 1 | class 1 | ISO 6251(5)

Odour |  | characteristic | characteristic | 

Motor octane number |  | min. 92,5 | min. 92,5 | EN 589 Annex B

Parameter | Unit | Fuel A | Fuel B | Test method

Composition: |  |  |  | ISO 7941

C3-content | % vol | 50 ± 2 | 85 ± 2 | 

C4-content | % vol | balance | balance | 

 C4 | % vol | max. 2 | max. 2 | 

Olefins | % vol | max. 12 | max. 14 | 

Evaporation residue | mg/kg | max. 50 | max. 50 | ISO 13757

Water at 0 °C |  | free | free | Visual inspection

Total sulphur content | mg/kg | max. 10 | max. 10 | EN 24260

Hydrogen sulphide |  | none | none | ISO 8819

Copper strip corrosion | rating | class 1 | class 1 | ISO 6251(6)

Odour |  | characteristic | characteristic | 

Motor octane number |  | min. 92,5 | min. 92,5 | EN 589 Annex B

(5) | Annex VI is amended as follows:(a)The Appendix becomes ‘Appendix 1’.(b)Appendix 1 is amended as follows:(i)The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’(ii)Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’

                                                               “(*)Delete what is not applicable.’

                                                         “(*)Delete what is not applicable.’

                                                         “(c)The following Appendix 2 is added:‘Appendix 2OBD RELATED INFORMATIONAs noted in Appendix 5 of Annex II to this Directive, the information in this appendix is provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment. Such information need not be supplied by the vehicle manufacturer if it is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Upon request, this appendix will be made available to any interested component, diagnostic tools or test equipment manufacturer, on a non-discriminatory basis.In compliance with the provisions of section 1.3.3 of Appendix 5 to Annex II, the information required by this section shall be identical to that provided in that Appendix.1.A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.2.A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.3.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’ | (a) | The Appendix becomes ‘Appendix 1’. | (b) | Appendix 1 is amended as follows:(i)The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’(ii)Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’

                                                               “(*)Delete what is not applicable.’

                                                         “(*)Delete what is not applicable.’

                                                         ” | (i) | The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’ | (ii) | Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’

                                                               “(*)Delete what is not applicable.’

                                                         “(*)Delete what is not applicable.’

                                                         ” | ESC test | DF: | CO | THC | NOx | PT |  |  |  |  | Emissions | CO(g/kWh) | THC(g/kWh) | NOx(g/kWh) | PT(g/kWh) | Measured: |  |  |  |  | Calculated with DF: |  |  |  |  | ETC test | DF: | CO | NMHC | CH4 | NOx | PT |  |  |  |  |  | Emissions | CO(g/kWh) | NMHC(g/kWh)(7) | CH4(g/kWh)(7) | NOx(g/kWh) | PT(g/kWh)(7) | Measured with regeneration: |  |  |  |  |  | Measured without regeneration: |  |  |  |  |  | Measured/weighted: |  |  |  |  |  | Calculated with DF: |  |  |  |  |  | (c) | The following Appendix 2 is added:‘Appendix 2OBD RELATED INFORMATIONAs noted in Appendix 5 of Annex II to this Directive, the information in this appendix is provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment. Such information need not be supplied by the vehicle manufacturer if it is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Upon request, this appendix will be made available to any interested component, diagnostic tools or test equipment manufacturer, on a non-discriminatory basis.In compliance with the provisions of section 1.3.3 of Appendix 5 to Annex II, the information required by this section shall be identical to that provided in that Appendix.1.A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.2.A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.3.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’ | 1. | A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle. | 2. | A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system. | 3. | A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’

(a) | The Appendix becomes ‘Appendix 1’.

(b) | Appendix 1 is amended as follows:(i)The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’(ii)Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’

                                                               “(*)Delete what is not applicable.’

                                                         “(*)Delete what is not applicable.’

                                                         ” | (i) | The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’ | (ii) | Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’

                                                               “(*)Delete what is not applicable.’

                                                         “(*)Delete what is not applicable.’

                                                         ” | ESC test | DF: | CO | THC | NOx | PT |  |  |  |  | Emissions | CO(g/kWh) | THC(g/kWh) | NOx(g/kWh) | PT(g/kWh) | Measured: |  |  |  |  | Calculated with DF: |  |  |  |  | ETC test | DF: | CO | NMHC | CH4 | NOx | PT |  |  |  |  |  | Emissions | CO(g/kWh) | NMHC(g/kWh)(7) | CH4(g/kWh)(7) | NOx(g/kWh) | PT(g/kWh)(7) | Measured with regeneration: |  |  |  |  |  | Measured without regeneration: |  |  |  |  |  | Measured/weighted: |  |  |  |  |  | Calculated with DF: |  |  |  |  | 

(i) | The following section 1.2.2 is added:1.2.2.   Engine Control Unit (EECU) software calibration number:’

(ii) | Section 1.4 is replaced by the following:‘1.4.   Emission levels of the engine/parent engine(*):1.4.1.   ESC test:Deterioration factor (DF): calculated/fixed(*)Specify the DF values and the emissions on the ESC test in the table below:ESC testDF:COTHCNOxPTEmissionsCO(g/kWh)THC(g/kWh)NOx(g/kWh)PT(g/kWh)Measured:Calculated with DF:1.4.2.   ELR test:smoke value: … m–11.4.3.   ETC test:Deterioration factor (DF): calculated/fixed(*)ETC testDF:CONMHCCH4NOxPTEmissionsCO(g/kWh)NMHC(g/kWh)(7)CH4(g/kWh)(7)NOx(g/kWh)PT(g/kWh)(7)Measured with regeneration:Measured without regeneration:Measured/weighted:Calculated with DF:(*)Delete what is not applicable.’

                                                               “(*)Delete what is not applicable.’

                                                         “(*)Delete what is not applicable.’

                                                         ” | ESC test | DF: | CO | THC | NOx | PT |  |  |  |  | Emissions | CO(g/kWh) | THC(g/kWh) | NOx(g/kWh) | PT(g/kWh) | Measured: |  |  |  |  | Calculated with DF: |  |  |  |  | ETC test | DF: | CO | NMHC | CH4 | NOx | PT |  |  |  |  |  | Emissions | CO(g/kWh) | NMHC(g/kWh)(7) | CH4(g/kWh)(7) | NOx(g/kWh) | PT(g/kWh)(7) | Measured with regeneration: |  |  |  |  |  | Measured without regeneration: |  |  |  |  |  | Measured/weighted: |  |  |  |  |  | Calculated with DF: |  |  |  |  | 

ESC test

DF: | CO | THC | NOx | PT

 |  |  | 

Emissions | CO(g/kWh) | THC(g/kWh) | NOx(g/kWh) | PT(g/kWh)

Measured: |  |  |  | 

Calculated with DF: |  |  |  | 

ETC test

DF: | CO | NMHC | CH4 | NOx | PT

 |  |  |  | 

Emissions | CO(g/kWh) | NMHC(g/kWh)(7) | CH4(g/kWh)(7) | NOx(g/kWh) | PT(g/kWh)(7)

Measured with regeneration: |  |  |  |  | 

Measured without regeneration: |  |  |  |  | 

Measured/weighted: |  |  |  |  | 

Calculated with DF: |  |  |  |  | 

(c) | The following Appendix 2 is added:‘Appendix 2OBD RELATED INFORMATIONAs noted in Appendix 5 of Annex II to this Directive, the information in this appendix is provided by the vehicle manufacturer for the purposes of enabling the manufacture of OBD-compatible replacement or service parts and diagnostic tools and test equipment. Such information need not be supplied by the vehicle manufacturer if it is covered by intellectual property rights or constitutes specific know-how of the manufacturer or the OEM supplier(s).Upon request, this appendix will be made available to any interested component, diagnostic tools or test equipment manufacturer, on a non-discriminatory basis.In compliance with the provisions of section 1.3.3 of Appendix 5 to Annex II, the information required by this section shall be identical to that provided in that Appendix.1.A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.2.A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.3.A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’ | 1. | A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle. | 2. | A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system. | 3. | A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’

1. | A description of the type and number of the pre-conditioning cycles used for the original type approval of the vehicle.

2. | A description of the type of the OBD demonstration cycle used for the original type approval of the vehicle for the component monitored by the OBD system.

3. | A comprehensive document describing all sensed components with the strategy for fault detection and MI activation (fixed number of driving cycles or statistical method), including a list of relevant secondary sensed parameters for each component monitored by the OBD system. A list of all OBD output codes and format used (with an explanation of each) associated with individual emission related powertrain components and individual non-emission related components, where monitoring of the component is used to determine MI activation.’

(*)  

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

            OJ L 313, 29.11.2005, p. 1.

(***)  Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC.

(****)  

            OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32).’
(*)  The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive.

(**)  Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”.

(***)  This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’
(*)  The Commission intends to review this section by 31 December 2006.

(**)  The Commission intends to review those values by 31 December 2005.’
(*)  Delete where inapplicable.’
(*)  Delete where inapplicable.’
(*)  Delete where inapplicable.’
(*)  Delete where inapplicable.’
(*)  The value is only valid for the reference fuel specified in Annex IV.’
(*)  The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’
(*)  Delete what is not applicable.’

         ’

(*)  Until 1 October 2005, the figures shown in brackets may be used for the type-approval testing of gas engines. (The Commission shall report on the development of gas engine technology to confirm or modify the regression line tolerances applicable to gas engines given in this table.)

(1)  The values quoted in the specifications are “true values”. In establishment of their limit values the terms of ISO 4259 “Petroleum products – Determination and application of precision data in relation to methods of test” have been applied and in fixing a minimum value, a minimum difference of 2R above zero has been taken into account; in fixing a maximum and minimum value, the minimum difference is 4R (R = reproducibility).Notwithstanding this measure, which is necessary for technical reasons, the manufacturer of fuels should nevertheless aim at a zero value where the stipulated maximum value is 2R and at the mean value in the case of quotations of maximum and minimum limits. Should it be necessary to clarify the questions as to whether a fuel meets the requirements of the specifications, the terms of ISO 4259 should be applied.

(2)  The range for cetane number is not in accordance with the requirements of a minimum range of 4R. However, in the case of a dispute between fuel supplier and fuel user, the terms of ISO 4259 may be used to resolve such disputes provided replicate measurements, of sufficient number to archive the necessary precision, are made in preference to single determinations.

(3)  The actual sulphur content of the fuel used for the Type I test shall be reported.

(4)  Even though oxidation stability is controlled, it is likely that shelf life will be limited. Advice should be sought from the supplier as to storage conditions and life.’
(5)  This method may not accurately determine the presence of corrosive materials if the sample contains corrosion inhibitors or other chemicals which diminish the corrosivity of the sample to the copper strip. Therefore, the addition of such compounds for the sole purpose of biasing the test method is prohibited.

(6)  This method may not accurately determine the presence of corrosive materials if the sample contains corrosion inhibitors or other chemicals which diminish the corrosivity of the sample to the copper strip. Therefore, the addition of such compounds for the sole purpose of biasing the test method is prohibited.’
(7)  Delete what is not applicable.
1.   INTRODUCTIONANNEX IIPROCEDURES FOR CONDUCTING THE TEST FOR DURABILITY OF EMISSION CONTROL SYSTEMSThis Annex details the procedures for selecting a family of engines to be tested over a service accumulation schedule for the purpose of determining deterioration factors. Such deterioration factors will be applied to the measured emissions from engines undergoing a periodical audit to ensure that in-service engine emissions remain in conformity with the applicable emission limits, as given in the tables in section 6.2.1 of Annex I to Directive 2005/55/EC, over the durability period applicable to the vehicle in which the engine is installed.

This Annex also details the emission and non-emission-related maintenance that will be carried out on engines undergoing a service accumulation schedule. Such maintenance will be performed on in-service engines and communicated to owners of new heavy-duty engines.

2.   SELECTION OF ENGINES FOR ESTABLISHING USEFUL LIFE DETERIORATION FACTORS2.1.   Engines will be selected from the engine family defined in section 8.1 of Annex I to Directive 2005/55/EC for emission testing to establish useful life deterioration factors.

2.2.   Engines from different engine families may be further combined into families based on the type of exhaust aftertreatment system utilised. In order to place engines with different numbers of cylinders and different cylinder configuration but having the same technical specifications and installation for the exhaust aftertreatment systems into the same engine-aftertreatment system family, the manufacturer shall provide data to the approval authority that demonstrates that the emissions of such engines are similar.

One engine representing the engine-aftertreatment system family shall be selected by the engine manufacturer for testing over the service accumulation schedule defined in section 3.2 of this Annex, according to the criteria for selecting engines given in section 8.2 of Annex I to Directive 2005/55/EC and shall be reported to the type-approval authority before any testing commences.

2.3.1.   If the type-approval authority decides that the worst case emission rate of the engine-aftertreatment system family can be characterised better by another engine then the test engine shall be selected jointly by the type-approval authority and the engine manufacturer.

3.   ESTABLISHING USEFUL LIFE DETERIORATION FACTORS3.1.   GeneralDeterioration factors applicable to an engine-aftertreatment system family are developed from the selected engines based on a distance and service accumulation procedure that includes periodic testing for gaseous and particulate emissions over the ESC and ETC tests.

3.2.   Service accumulation scheduleService accumulation schedules may be carried out at the choice of the manufacturer by running a vehicle equipped with the selected parent engine over an “in-service accumulation” schedule or by running the selected parent engine over a “dynamometer service accumulation” schedule.

3.2.1.   In-service and dynamometer service accumulation3.2.1.1.   The manufacturer shall determine the form and extent of the distance and service accumulation for engines, consistent with good engineering practice.

3.2.1.2.   The manufacturer will determine when the engine will be tested for gaseous and particulate emissions over the ESC and ETC tests.

3.2.1.3.   A single engine-operating schedule shall be used for all engines in an engine-aftertreatment system family.

3.2.1.4.   At the request of the manufacturer and with the agreement of the type-approval authority, only one test cycle (either the ESC or ETC test) need be run at each test point with the other test cycle run only at the beginning and at the end of the service accumulation schedule.

3.2.1.5.   Operating schedules may be different for different engine-aftertreatment system families.

3.2.1.6.   Operating schedules may be shorter than the useful life period provided that the number of test points allows for a proper extrapolation of the test results, according to section 3.5.2. In any case, the service accumulation shall not be shorter than shown in the table in section 3.2.1.8.

3.2.1.7   The manufacturer has to provide the applicable correlation between minimum service accumulation period (driving distance) and engine dynamometer hours, for example, fuel consumption correlation, vehicle speed versus engine revolutions correlation etc.

3.2.1.8.   Minimum service accumulation
Category of vehicle in which engine will be installed | Minimum service accumulation period | Useful life(Article of this Directive)

Category N1 vehicles | 100 000  km | Article 3(1)(a)

Category N2 vehicles | 125 000  km | Article 3(1)(b)

Category N3 vehicles with a maximum technically permissible mass not exceeding 16 tonnes | 125 000  km | Article 3(1)(b)

Category N3 vehicles with a maximum technically permissible mass exceeding 16 tonnes | 167 000  km | Article 3(1)(c)

Category M2 vehicles | 100 000  km | Article 3(1)(a)

Category M3 vehicles of classes I, II, A and B, with a maximum technically permissible mass not exceeding 7,5 tonnes | 125 000  km | Article 3(1)(b)

Category M3 vehicles of classes III and B, with a maximum technically permissible mass exceeding 7,5 tonnes | 167 000  km | Article 3(1)(c)3.2.1.9.   The in-service accumulation schedule shall be fully described in the application for type-approval and reported to the type-approval authority before the start of any testing.

3.2.2.   If the type-approval authority decides that additional measurements need to be carried out on the ESC and ETC tests between the points selected by the manufacturer it shall notify the manufacturer. The revised in-service accumulation schedule or dynamometer service accumulation schedule shall be prepared by the manufacturer and agreed by the type-approval authority.

3.3.   Engine testing3.3.1.   Start of the service accumulation schedule3.3.1.1.   For each engine-aftertreatment system family, the manufacturer shall determine the number of hours of engine running after which the operation of the engine-after-treatment system has stabilised. If requested by the approval authority the manufacturer shall make available the data and analysis used to make this determination. As an alternative, the manufacturer may elect to run the engine for 125 hours to stabilise the engine-aftertreatment system.

3.3.1.2.   The stabilisation period determined in section 3.3.1.1 will be deemed to be the start of the service accumulation schedule.

3.3.2.   Service accumulation testing3.3.2.1.   After stabilisation, the engine will be run over the service accumulation schedule selected by the manufacturer, as described in section 3.2 above. At the periodic intervals in the service accumulation schedule determined by the manufacturer, and, where appropriate, also stipulated by the type-approval authority according to section 3.2.2, the engine shall be tested for gaseous and particulate emissions over the ESC and ETC tests. In accordance with section 3.2, if it has been agreed that only one test cycle (ESC or ETC) be run at each test point, the other test cycle (ESC or ETC) must be run at the beginning and end of the service accumulation schedule.

3.3.2.2.   During the service accumulation schedule, maintenance will be carried out on the engine according to section 4.

3.3.2.3.   During the service accumulation schedule, unscheduled maintenance on the engine or vehicle may be performed, for example if the OBD system has specifically detected a problem that has resulted in the malfunction indicator (MI) being activated.

3.4.   Reporting3.4.1.   The results of all emission tests (ESC and ETC) conducted during the service accumulation schedule shall be made available to the type-approval authority. If any emission test is declared to be void, the manufacturer shall provide an explanation of why the test has been declared void. In such a case, another series of emission tests over the ESC and ETC tests shall be carried out within a further 100 hours of service accumulation.

3.4.2.   Whenever a manufacturer tests an engine over a service accumulation schedule for the establishment of deterioration factors, the manufacturer shall retain in its records all information concerning all the emission tests and maintenance carried out on the engine during the service accumulation schedule. This information shall be submitted to the approval authority along with the results of the emission tests conducted over the service accumulation schedule.

3.5.   Determination of deterioration factors3.5.1.   For each pollutant measured on the ESC and ETC tests and at each test point during the service accumulation schedule, a “best fit” regression analysis shall be made on the basis of all test results. The results of each test for each pollutant shall be expressed to the same number of decimal places as the limit value for that pollutant, as shown in the Tables in section 6.2.1 of Annex I to Directive 2005/55/EC, plus one additional decimal place. In accordance with section 3.2, if it has been agreed that only one test cycle (ESC or ETC) be run at each test point and the other test cycle (ESC or ETC) run only at the beginning and end of the service accumulation schedule, the regression analysis shall be made only on the basis of the test results from the test cycle run at each test point.

3.5.2.   On the basis of the regression analysis, the manufacturer shall calculate the projected emission values for each pollutant at the start of the service accumulation schedule and at the useful life that is applicable for the engine under test by extrapolation of the regression equation as determined in section 3.5.1.

3.5.3.   For engines not equipped with an exhaust aftertreatment system, the deterioration factor for each pollutant is the difference between the projected emission values at the useful life period and at the start of the service accumulation schedule.

For engines equipped with an exhaust aftertreatment system, the deterioration factor for each pollutant is the ratio of the projected emission values at the useful life period and at the start of the service accumulation schedule.

In accordance with section 3.2, if it has been agreed that only one test cycle (ESC or ETC) be run at each test point and the other test cycle (ESC or ETC) run only at the beginning and end of the service accumulation schedule, the deterioration factor calculated for the test cycle that has been run at each test point shall be applicable also for the other test cycle, provided that for both test cycles, the relationship between the measured values run at the beginning and at the end of the service accumulation schedule are similar.

3.5.4.   The deterioration factors for each pollutant on the appropriate test cycles shall be recorded in section 1.5 of Appendix 1 to Annex VI to Directive 2005/55/EC.

As an alternative to using a service accumulation schedule to determine deterioration factors, engine manufacturers may choose to use the following deterioration factors:
Engine type | Test cycle | CO | HC | NMHC | CH4 | NOx | PM

Diesel engine(1) | ESC | 1,1 | 1,05 | — | — | 1,05 | 1,1

ETC | 1,1 | 1,05 | — | — | 1,05 | 1,1

Gas engine(1) | ETC | 1,1 | 1,05 | 1,05 | 1,2 | 1,05 | —3.6.1.   The manufacturer may select to carry across the DF’s determined for an engine or engine/aftertreatment combination to engines or engine/aftertreatment combinations that do not fall into the same engine family category as determined according to section 2.1. In such cases, the manufacturer must demonstrate to the approval authority that the base engine or engine/aftertreatment combination and the engine or engine/aftertreatment combination for which the DF’s are being carried over have the same technical specifications and installation requirements on the vehicle and that the emissions of such engine or engine/aftertreatment combinations are similar.

3.7.   Checking of conformity of production3.7.1.   Conformity of production for emissions compliance is checked on the basis of section 9 of Annex I to Directive 2005/55/EC.

3.7.2.   At the time of type-approval, the manufacturer may choose to measure at the same time the pollutant emissions before any exhaust aftertreatment system. In so doing, the manufacturer may develop an informal deterioration factor separately for the engine and the aftertreatment system that may be used by the manufacturer as an aid to end of production line auditing.

3.7.3.   For the purposes of type-approval, only the deterioration factors adopted by the manufacturer from section 3.6.1 or the deterioration factors developed according to section 3.5 shall be recorded in section 1.4 of Appendix 1 to Annex VI to Directive 2005/55/EC.

4.   MAINTENANCEDuring the service accumulation schedule, maintenance performed on engines and proper consumption of any required reagent used to determine deterioration factors are classified as either emission-related or non-emission-related and each of these can be classified as scheduled and unscheduled. Some emission-related maintenance is also classified as critical emission-related maintenance.

4.1.   Emission-related scheduled maintenance4.1.1.   This section specifies emission-related scheduled maintenance for the purpose of conducting a service accumulation schedule and for inclusion in the maintenance instructions furnished to owners of new heavy-duty vehicles and heavy-duty engines.

4.1.2.   All emission-related scheduled maintenance for purposes of conducting a service accumulation schedule must occur at the same or equivalent distance intervals that will be specified in the manufacturer’s maintenance instructions to the owner of the heavy-duty vehicle or heavy-duty engine. This maintenance schedule may be updated as necessary throughout the service accumulation schedule provided that no maintenance operation is deleted from the maintenance schedule after the operation has been performed on the test engine.

4.1.3.   Any emission-related maintenance performed on engines must be necessary to assure in-use conformity with the relevant emission standards. The manufacturer shall submit data to the type-approval authority to demonstrate that all of the emission-related scheduled maintenance is technically necessary.

4.1.4.   The engine manufacturer shall specify the adjustment, cleaning and maintenance (where necessary) of the following items:
— | Filters and coolers in the exhaust gas re-circulation system

— | Positive crankcase ventilation valve

— | Fuel injector tips (cleaning only)

— | Fuel injectors

— | Turbocharger

— | Electronic engine control unit and its associated sensors and actuators

— | Particulate filter system (including related components)

— | Exhaust gas re-circulation system, including all related control valves and tubing

— | Any exhaust aftertreatment system.4.1.5.   For the purposes of maintenance, the following components are defined as critical emission-related items:
— | Any exhaust aftertreatment system

— | Electronic engine control unit and its associated sensors and actuators

— | Exhaust gas re-circulation system including all related filters, coolers, control valves and tubing

— | Positive crankcase ventilation valve.4.1.6.   All critical emission-related scheduled maintenance must have a reasonable likelihood of being performed in-use. The manufacturer shall demonstrate to the approval authority the reasonable likelihood of such maintenance being performed in-use and such demonstration shall be made prior to the performance of the maintenance during the service accumulation schedule.

Critical emission-related scheduled maintenance items that satisfy any of the conditions defined in sections 4.1.7.1 to 4.1.7.4 will be accepted as having a reasonable likelihood of the maintenance item being performed in-use.

4.1.7.1.   Data is submitted which establishes a connection between emissions and vehicle performance such that as emissions increase due to lack of maintenance, vehicle performance will simultaneously deteriorate to a point unacceptable for typical driving.

4.1.7.2.   Survey data is submitted which demonstrates that, at an 80 % confidence level, 80 % of such engines already have this critical maintenance item performed in-use at the recommended interval(s).

4.1.7.3.   In association with the requirements of section 4.7 of Annex IV to this Directive, a clearly visible indicator shall be installed on the dashboard of the vehicle to alert the driver that maintenance is due. The indicator shall be actuated at the appropriate distance or by component failure. The indicator must remain activated while the engine is in operation and shall not be erased without the required maintenance being carried out. Re-setting of the signal shall be a required step in the maintenance schedule. The system must not be designed to deactivate upon the end of the appropriate useful life period of the engine or thereafter.

4.1.7.4.   Any other method which the approval authority determines as establishing a reasonable likelihood that the critical maintenance will be performed in-use.

4.2.   Changes to scheduled maintenance4.2.1.   The manufacturer must submit a request to the type-approval authority for approval of any new scheduled maintenance that it wishes to perform during the service accumulation schedule and thereby recommend to owners of heavy-duty vehicles and engines. The manufacturer shall also include its recommendation as to the category (i.e. emission-related, non-emission-related, critical or non-critical) of the new scheduled maintenance being proposed and, for emission-related maintenance, the maximum feasible maintenance interval. The request must be accompanied by data supporting the need for the new scheduled maintenance and the maintenance interval.

4.3.   Non-emission-related scheduled maintenance4.3.1.   Non-emission-related scheduled maintenance which is reasonable and technically necessary (e.g. oil change, oil filter change, fuel filter change, air filter change, cooling system maintenance, idle speed adjustment, governor, engine bolt torque, valve lash, injector lash, timing, adjustment of the tension of any drive-belt, etc) may be performed on engines or vehicles selected for the service accumulation schedule at the least frequent intervals recommended by the manufacturer to the owner (e.g. not at the intervals recommended for severe service).

4.4.   Maintenance on engines selected for testing over a service accumulation schedule4.4.1.   Repairs to the components of an engine selected for testing over a service accumulation schedule other than the engine, emission control system or fuel system shall be performed only as a result of part failure or engine system malfunction.

4.4.2.   Equipment, instruments or tools may not be used to identify malfunctioning, maladjusted or defective engine components unless the same or equivalent equipment, instruments or tools will be available to dealerships and other service outlets and,
— | Are used in conjunction with scheduled maintenance on such components,and

— | Are used subsequent to the identification of an engine malfunction.4.5.   Critical emission-related unscheduled maintenance4.5.1.   The consumption of a required reagent is defined as critical emission-related unscheduled maintenance for the purpose of conducting a service accumulation schedule and for inclusion in the maintenance instructions furnished by manufacturers to owners of new heavy-duty vehicles or heavy-duty engines.
(1)  Where appropriate and on the basis of information to be supplied by the Member States, the Commission may propose a revision of the DF’s shown in this table in accordance with the procedure laid down in Article 13 of Directive 70/156/EEC.
1.   GENERALANNEX IIICONFORMITY OF IN-SERVICE VEHICLES/ENGINES1.1.   With reference to type-approvals granted for emissions, measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use (conformity of in-service vehicles/engines properly maintained and used).

1.2.   For the purpose of this Directive these measures must be checked over a period corresponding to the appropriate useful life period defined in Article 3 of this Directive for vehicles or engines which are type-approved to either row B1, row B2 or row C of the tables in section 6.2.1 of Annex I to Directive 2005/55/EC.

1.3.   The checking of conformity of in-service vehicles/engines is done on the basis of information provided by the manufacturer to the type-approval authority conducting an audit of the emissions-performance of a range of representative vehicles or engines of which the manufacturer holds the type-approval.

Figures 1 in this Annex illustrates the procedure for in-service conformity checking.

2.   PROCEDURES FOR AUDIT2.1.   Audit of in-service conformity by the type-approval authority is conducted on the basis of any relevant information that the manufacturer has, under procedures similar to those defined in Article 10(1) and (2), and in sections 1 and 2 of Annex X to Directive 70/156/EEC.

Alternatives are in-service monitoring reports supplied by the manufacturer, type approval authority surveillance testing and/or information on surveillance testing performed by a Member State. The procedures to be used are given in section 3.

3.   AUDIT PROCEDURESAn audit of in-service conformity will be conducted by the type-approval authority on the basis of information supplied by the manufacturer. The manufacturers’ in-service monitoring (ISM) report should be based on in-use testing of engines or vehicles using proven and relevant testing protocols. Such information (the ISM report) must include, but is not limited to, the following (see sections 3.1.1 to 3.1.13):

3.1.1.   The name and address of the manufacturer.

3.1.2.   The name, address, telephone and fax numbers and e-mail address of his authorised representative within the areas covered by the manufacturer’s information.

3.1.3.   The model name(s) of the engines included in the manufacturer’s information.

3.1.4.   Where appropriate, the list of engine types covered within the manufacturer’s information, i.e. the engine-after-treatment system family.

3.1.5.   The vehicle identification number (VIN) codes applicable to the vehicles equipped with an engine that is part of the audit.

Figure 1
In-service conformity checking – audit procedure

START

Vehicle or engine manufacturer and Type Approval Authority complete vehicle or engine approval for the new vehicle or engine type. Type Approval Authority (TAA) grants type-approval

Manufacture and sales of approved vehicle or engine type

Vehicle or engine manufacturer develops own in-service conformity procedure

Vehicle or engine manufacturer carries out own in-service conformity procedure (vehicle or engine type or family)

Vehicle manufacturer compiles report of the in-house procedure (including all data required by section 3 of Annex XII)

In-house in-service conformity report for approved vehicle or engine type or family

Does the TAA (a) decide to audit the manufacturer’s compliance data for this vehicle or engine type or family?

NO

Manufacturer files report for future reference

Manufacturer provides or obtains additional information or test data.

Manufacturer compiles new in-service conformity report

YES

Manufacturer submits in-service conformity report to TAA (a) for audit

TAA (a) reviews manufacturer’s in-service conformity report fabricante

YES

Does TAA (a) decide that information is insufficient to reach a decision?

NO

Does the TAA (a) accept that manufacturer’s in-service conformity report confirms acceptability of a vehicle or engine type within the family? (section 3.4. of Annex XII)

NO

YES

TAA (a) begins formal testing of suspect engine type or family (as described in section 5 of Annex XII)

Process Completed.

No further action required

(a) In this case, TAA means the Type-Approval Authority that granted the type-approval.

3.1.6.   The numbers of the type approvals applicable to the engine types within the in-service family, including, where applicable, the numbers of all extensions and field fixes/recalls (re-works):

3.1.7.   Details of extensions, field fixes/recalls to those type approvals for the engines covered within the manufacturer’s information (if requested by the type-approval authority).

3.1.8.   The period of time over which the manufacturer’s information was collected.

3.1.9.   The engine build period covered within the manufacturer’s information (e.g. ‘vehicles or engines manufactured during the 2005 calendar year’).

The manufacturer’s in-service conformity checking procedure, including:

3.1.10.1.   Vehicle or engine location method

3.1.10.2.   Selection and rejection criteria for vehicle or engine

3.1.10.3.   Test types and procedures used for the programme

3.1.10.4.   The manufacturer’s acceptance/rejection criteria for the in-service family group

3.1.10.5.   Geographical area(s) within which the manufacturer has collected information

3.1.10.6.   Sample size and sampling plan used.

The results from the manufacturer’s in-service conformity procedure, including:

3.1.11.1.   Identification of the engines included in the programme (whether tested or not). The identification will include:
— | model name

— | vehicle identification number (VIN)

— | engine identification number

— | vehicle registration number equipped with an engine that is part of the audit

— | date of manufacture

— | region of use (where known)

— | type of use of the vehicle (where known), i.e. urban delivery, long haul etc.3.1.11.2.   The reason(s) for rejecting a vehicle or engine from a sample (e.g., vehicle being in-use for less than one year, improper emission-related maintenance, evidence of using a fuel having a higher sulphur content than required for normal vehicle use, emission control equipment not in conformity with type-approval). The reason for rejection shall be substantiated (e.g., the nature of non-fulfilment of maintenance instructions, etc.). A vehicle should not be excluded solely on the ground that the AECS may have been excessively in operation.

3.1.11.3.   Emission-related servicing and maintenance history for each engine in the sample (including any re-works).

3.1.11.4.   Repair history for each engine in the sample (where known).

3.1.11.5.   Test data, including:
(a) | date of test

(b) | location of test

(c) | where applicable, distance indicated odometer of vehicle equipped with an engine that is covered by the audit

(d) | test fuel specifications (e.g. test reference fuel or market fuel)

(e) | test conditions (temperature, humidity, dynamometer inertia weight)

(f) | dynamometer settings (e.g. power setting)

(g) | emission test results conducted on the ESC, ETC and ELR tests according to section 4 of this Annex. A minimum of five engines shall be tested

(h) | alternative to item (g) above, tests may be conducted using another protocol. The relevance for monitoring in-service functionality with such a test shall be stated and substantiated by manufacturer in conjunction with the type-approval process (sections 3 and 4 in Annex I to Directive 2005/55/EC).3.1.12.   Records of indication from the OBD system.

Record of experiences of the use of consumable reagent. Reports should detail, but not be limited to, operator experiences with the handling of filling, refilling and consumption of the reagent, and the conduct of the filling installations, and, specifically, the frequency of activation in-use of the temporary performance limiter and events of other defect instances, activation of the MI and the registering of a fault code relating to a lack of the consumable reagent.

3.1.13.1.   The manufacturer shall supply in-use and defect reports. The manufacturer shall report on warranty claims and their nature, and in-field indications of activation/deactivation of the MI and the registering of a fault code relating to a lack of the consumable reagent and the activation/deactivation of the engine performance limiter (see section 6.5.5 of Annex I to Directive 2005/55/EC).

3.2.   The information gathered by the manufacturer must be sufficiently comprehensive to ensure that in-service performance can be assessed for normal conditions over the appropriate durability/useful life period defined in Article 3 of this Directive and in a way representative of the manufacturer’s geographic penetration.

3.3.   The manufacturer may whish to run in-service monitoring comprising fewer engines/vehicles than the number given in section 3.1.11.5, item (g), and using a procedure defined under section 3.1.11.5, item (h). The reason could be that the engines in the engine family(-ies) covered by the report are in a small number. The conditions should have been agreed on beforehand by the type-approval authority.

3.4.   On the basis of the monitoring report referred to in this section, the type-approval authority must either:
— | decide that the in-service conformity of an engine type or an engine family is satisfactory and not to take any further action

— | decide that the data provided by the manufacturer is insufficient to reach a decision and request additional information and/or test data from the manufacturer. Where requested, and depending on the type-approval of the engine, such additional test data shall include ESC, ELR, and ETC test results, or from other proven procedures according to section 3.1.11.5, item (h)

— | decide that the in-service conformity of an engine family is unsatisfactory and proceed to have confirmatory testing carried out on a sample of engines from the engine family, according to section 5 of this Annex.3.5.   A Member State may conduct and report its’ surveillance testing, based on the audit procedure spelled out in this section. Information on the procurement, maintenance, and manufacturer’s participation in the activities may be recorded. Likewise, the Member State may use alternative emission test protocols, according to section 3.1.11.5, item (h).

3.6.   The type-approval authority may take up surveillance testing conducted and reported by a Member State as a basis for the decisions according to section 3.4.

3.7.   The manufacturer should report to the type-approval authority and the Member State(s) where the subject engines/vehicles are kept in service when planning to conduct a voluntary remedial action. The reporting shall be supplied by the manufacturer in conjunction with taking the decision to take action, specifying the particulars of the action, describe the groups of engines/vehicles to be included in the action, and regularly thereafter on the commencement of the campaign. The applicable particulars of section 7 to this Annex may be used.

4.   EMISSION TESTS4.1.   An engine selected from the engine family shall be tested over the ESC and ETC test cycles for gaseous and particulate emissions and over the ELR test cycle for smoke emission. The engine shall be representative of the type of use expected for this type of engine, and come from a vehicle in normal use. The procurement, inspection, and restorative maintenance of the engine/vehicle shall be conducted using a protocol such as is specified in section 3, and shall be documented.

The appropriate maintenance schedule, referred to in section 4 of Annex II, shall have been carried out on the engine.

4.2.   The emission values determined from the ESC, ETC and ELR tests shall be expressed to the same number of decimal places as the limit value for that pollutant, as shown in the tables in section 6.2.1 of Annex I to Directive 2005/55/EC, plus one additional decimal place.

5.   CONFIRMATORY TESTINGConfirmatory testing is done for the purpose of confirmation of the in-service emission functionality of an engine family.

5.1.1.   If the type-approval authority is not satisfied with the manufacturers’ ISM according to section 3.4 or on a reported evidence of unsatisfactory in-service conformity, e.g., according to section 3.5, may order the manufacturer to run test for confirmatory purposes. The type-approval authority will examine the confirmatory test report supplied by the manufacturer.

5.1.2.   The type-approval authority may conduct confirmatory testing.

5.2.   The confirmatory test should be applicable engine ESC, ETC and ELR tests, as specified in Section 4. Representative engines to be tested should be dismounted from vehicles used under normal conditions and be tested. Alternatively, after prior agreement with the type-approval authority, the manufacturer may test emission control components from vehicles in use, after being dismounted, transferred and mounted on properly used and representative engine(s). For each series of tests, the same package of emission control components shall be selected. The reason for the selection shall be stated.

5.3.   A test result may be regarded as non-satisfactory when, from tests of two or more engines representing the same engine family, for any regulated pollutant component, the limit value as shown in section 6.2.1 of Annex I to Directive 2005/55/EC is exceeded significantly.

6.   ACTIONS TO BE TAKEN6.1.   Where the type-approval authority is not satisfied with the information or test data supplied by the manufacturer, and, having carried out confirmatory engine testing according to section 5, or based on confirmatory testing conducted by a Member State (section 6.3), and it is certain that an engine type is not in conformity with the requirements of these provisions, the type-approval authority must request the manufacturer to submit a plan of remedial measure to remedy the non-conformity.

6.2.   In this case, the remedial measures referred to in Article 11(2) and in Annex X to Directive 70/156/EEC [or the refont of the framework Directive] are extended to engines in service belonging to the same vehicle type which are likely to be affected with the same defects, in accordance with section 8.

To be valid the plan of remedial measures presented by the manufacturer must be approved by the type-approval authority. The manufacturer is responsible for the execution of the remedial plan as approved.

The type-approval authority must notify its decision to all Member States within 30 days. The Member States may require that the same plan of remedial measures be applied to all engines of the same type registered in their territory.

6.3.   If a Member State has established that an engine type does not conform to the applicable requirements of this Annex, it must notify without delay the Member State which granted the original type-approval in accordance with the requirements of Article 11(3) of Directive 70/156/EEC.

Then, subject to the provision of Article 11(6) of Directive 70/156/EEC, the competent authority of the Member State which granted the original type-approval shall inform the manufacturer that an engine type fails to satisfy the requirements of these provisions and that certain measures are expected of the manufacturer. The manufacturer shall submit to the authority, within two months after this notification, a plan of measures to overcome the defects, the substance of which should correspond with the requirements of section 7. The competent authority which granted the original type-approval shall, within two months, consult the manufacturer in order to secure agreement on a plan of measures and on carrying out the plan. If the competent authority which granted the original type-approval establishes that no agreement can be reached, the procedure pursuant to Article 11(3) and (4) of Directive 70/156/EEC shall be initiated.

7.   PLAN OF REMEDIAL MEASURES7.1.   The plan of remedial measures, requested according to section 6.1, must be filed with the type-approval authority not later than 60 working days from the date of the notification referred to in section 6.1. The type-approval authority must within 30 working days declare its approval or disapproval of the plan of remedial measures. However, where the manufacturer can demonstrate to the satisfaction of the competent type-approval authority, that further time is required to investigate the non-compliance in order to submit a plan of remedial measures, an extension is granted.

7.2.   The remedial measures must apply to all engines likely to be affected by the same defect. The need to amend the type-approval documents must be assessed.

7.3.   The manufacturer must provide a copy of all communications related to the plan of remedial measures, must also maintain a record of the recall campaign, and supply regular status reports to the type-approval authority.

The plan of remedial measures must include the requirements specified in 7.4.1 to 7.4.11. The manufacturer must assign a unique identifying name or number to the plan of remedial measures.

7.4.1.   A description of each engine type included in the plan of remedial measures.

7.4.2.   A description of the specific modifications, alterations, repairs, corrections, adjustments, or other changes to be made to bring the engines into conformity including a brief summary of the data and technical studies which support the manufacturer’s decision as to the particular measures to be taken to correct the non-conformity.

7.4.3.   A description of the method by which the manufacturer informs the engine or vehicle owners about the remedial measures.

7.4.4.   A description of the proper maintenance or use, if any, which the manufacturer stipulates as a conditions of eligibility for repair under the plan of remedial measures, and an explanation of the manufacturer’s reasons for imposing any such condition. No maintenance or use conditions may be imposed unless it is demonstrably related to the non-conformity and the remedial measures.

7.4.5.   A description of the procedure to be followed by engine owners to obtain correction of the non-conformity. This must include a date after which the remedial measures may be taken, the estimated time for the workshop to perform the repairs and where they can be done. The repair must be done expediently, within a reasonable time after delivery of the vehicle.

7.4.6.   A copy of the information transmitted to the vehicle owner.

7.4.7.   A brief description of the system which the manufacturer uses to assure an adequate supply of component or systems for fulfilling the remedial action. It must be indicated when there will be an adequate supply of components or systems to initiate the campaign.

7.4.8.   A copy of all instructions to be sent to those persons who are to perform the repair.

7.4.9.   A description of the impact of the proposed remedial measures on the emissions, fuel consumption, driveability, and safety of each engine type, covered by the plan of remedial measures with data, technical studies, etc. which support these conclusions.

7.4.10.   Any other information, reports or data the type-approval authority may reasonably determine is necessary to evaluate the plan of remedial measures.

7.4.11.   Where the plan of remedial measures includes a recall, a description of the method for recording the repair must be submitted to the type-approval authority. If a label is used, an example of it must be submitted.

7.5.   The manufacturer may be required to conduct reasonably designed and necessary tests on components and engines incorporating a proposed change, repair, or modification to demonstrate the effectiveness of the change, repair, or modification.

7.6.   The manufacturer is responsible for keeping a record of every engine or vehicle recalled and repaired and the workshop which performed the repair. The type-approval authority must have access to the record on request for a period of 5 years from the implementation of the plan of remedial measures.

7.7.   The repair and/or modification or addition of new equipment shall be recorded in a certificate supplied by the manufacturer to the owner of the engine.
1.   INTRODUCTIONANNEX IVON-BOARD DIAGNOSTIC SYSTEMS (OBD)This Annex describes the provisions specific to the on-board diagnostic (OBD) system for the emission control systems of motor vehicles.

2.   DEFINITIONSFor the purposes of this Annex, the following definitions, in addition to the definitions contained in section 2 of Annex I to Directive 2005/55/EC, apply:

‘arm-up cycle’ means sufficient engine operation such that the coolant temperature has risen by at least 22 K from engine starting and reaches a minimum temperature of 343 K (70 °C);

‘access’ means the availability of all emission-related OBD data including all fault codes required for the inspection, diagnosis, servicing or repair of emissions related parts of the vehicle, via the serial interface of the standard diagnostic connector;

‘deficiency’ means, in respect of engine OBD systems, that up to two separate components or systems that are monitored contain temporary or permanent operating characteristics that impair the otherwise efficient OBD monitoring of those components or systems or do not meet all the other detailed requirements for OBD. Engines or vehicles in respect of their engine may be type-approved, registered and sold with such deficiencies according to the requirements of section 4.3 of this Annex;

‘deteriorated component/system’ means an engine or exhaust aftertreatment component/system that has been intentionally deteriorated in a controlled manner by the manufacturer for the purpose of conducting a type-approval test on the OBD system;

‘OBD test cycle’ means a driving cycle which is a version of the ESC test cycle having the same running-order of the 13 individual modes as described in section 2.7.1 of Appendix 1 to Annex III to Directive 2005/55/EC but where the length of each mode is reduced to 60 seconds;

‘operating sequence’ means the sequence used for determining the conditions for extinguishing the MI. It consists of an engine start-up, an operating period, an engine shut-off, and the time until the next start-up, where the OBD monitoring is running and a malfunction would be detected if present;

‘preconditioning cycle’ means the running of at least three consecutive OBD test cycles or emission test cycles for the purpose of achieving stability of the engine operation, the emission control system and OBD monitoring readiness;

‘repair information’ means all information required for diagnosis, servicing, inspection, periodic monitoring or repair of the engine and which the manufacturers provide for their authorised dealers/repair shops. Where necessary, such information shall include service handbooks, technical manuals, diagnosis information (e.g. minimum and maximum theoretical values for measurements), wiring diagrams, the software calibration identification number applicable to an engine type, information enabling the update of the software of the electronic systems in accordance with the specifications of the vehicle manufacturer, instructions for individual and special cases, information provided concerning tools and equipment, data record information and two-directional monitoring and test data. The manufacturer shall not be obliged to make available that information which is covered by intellectual property rights or constitutes specific know-how of manufacturers and/or OEM suppliers; in this case the necessary technical information shall not be improperly withheld;

‘standardised’ means that all emission related OBD data (i.e. stream information in the case a scanning tool is used), including all fault codes used, shall be produced only in accordance with industry standards which, by virtue of the fact that their format and the permitted options are clearly defined, provide for a maximum level of harmonisation in the motor vehicle industry, and whose use is expressly permitted in this Directive;

‘unrestricted’ means:
— | access not dependent on an access code obtainable only from the manufacturer, or a similar device,or

— | access allowing evaluation of the data produced without the need for any unique decoding information, unless that information itself is standardised.3.   REQUIREMENTS AND TESTS3.1.   General requirements3.1.1.   OBD systems must be designed, constructed and installed in a vehicle so as to enable it to identify types of malfunction over the entire life of the engine. In achieving this objective the approval authority must accept that engines which have been used in excess of the appropriate durability period defined in Article 3 of this Directive may show some deterioration in OBD system performance such that the OBD thresholds given in the table in Article 4(3) of this Directive may be exceeded before the OBD system signals a failure to the driver of the vehicle.

A sequence of diagnostic checks must be initiated at each engine start and completed at least once provided that the correct test conditions are met. The test conditions must be selected in such a way that they all occur under the driving conditions as represented by the test defined in section 2 of Appendix 1 to this Annex.

3.1.2.1.   Manufacturers are not required to activate a component/system exclusively for the purpose of OBD functional monitoring under vehicle operating conditions when it would not normally be active (e.g. activation of a reagent tank heater of a deNOxsystem or combined deNOx-particulate filter when such a system would not normally be active).

3.1.3.   OBD may involve devices, which measure, senses or responds to operating variables (e.g. vehicle speed, engine speed, gear used, temperature, intake pressure or any other parameter) for the purpose of detecting malfunctions and of minimising the risk of indicating false malfunction. These devices are not defeat devices.

3.1.4.   Access to the OBD system required for the inspection, diagnosis, servicing or repair of the engine must be unrestricted and standardised. All emission related fault codes must be consistent with those described in section 6.8.5 of this Annex.

3.2.   OBD Stage 1 requirements3.2.1.   From the dates given in Article 4(1) of this Directive, the OBD system of all diesel engines and of vehicles equipped with a diesel engine must indicate the failure of an emission-related component or system when that failure results in an increase in emissions above the appropriate OBD thresholds given in the table in Article 4(3) of this Directive.

In satisfying the Stage 1 requirements, the OBD system must monitor for:

3.2.2.1.   complete removal of a catalyst, where fitted in a separate housing, that may or may not be part of a deNOxsystem or particulate filter.

3.2.2.2.   reduction in the efficiency of the deNOxsystem, where fitted, with respect to the emissions of NOxonly.

3.2.2.3.   reduction in the efficiency of the particulate filter, where fitted, with respect to the emissions of particulate only.

3.2.2.4.   reduction in the efficiency of a combined deNOx-particulate filter system, where fitted, with respect to both the emissions of NOxand particulate.

3.2.3.   Major functional failure3.2.3.1.   As an alternative to monitoring against the appropriate OBD threshold limits with respect to sections 3.2.2.1 to 3.2.2.4, OBD systems of diesel engines may in accordance with Article 4(1) of this Directive monitor for major functional failure of the following components:
— | a catalyst, where fitted as a separate unit, that may or may not be part of a deNOxsystem or particulate filter

— | a deNOxsystem, where fitted

— | a particulate filter, where fitted

— | a combined deNOx-particulate filter system.3.2.3.2.   In the case of an engine equipped with a deNOxsystem, examples of monitoring for major functional failure are for complete removal of the system or replacement of the system by a bogus system (both intentional major functional failure), lack of required reagent for a deNOxsystem, failure of any SCR electrical component, any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a deNOxsystem including, when applicable, the reagent heating system, failure of the reagent dosing system (e.g. missing air supply, clogged nozzle, dosing pump failure).

3.2.3.3.   In the case of an engine equipped with a particulate filter, examples of monitoring for major functional failure are for major melting of the trap substrate or a clogged trap resulting in a differential pressure out of the range declared by the manufacturer, any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a particulate filter, any failure, when applicable, of a reagent dosing system (e.g. clogged nozzle, dosing pump failure).

3.2.4.   Manufacturers may demonstrate to the approval authority that certain components or systems need not be monitored if, in the event of their total failure or removal, emissions do not exceed the applicable thresholds limits for OBD Stage 1 given in the table in Article 4(3) of this Directive when measured over the cycles shown in section 1.1 of Appendix 1 to this Annex. This provision shall not apply to an exhaust gas recirculation (EGR) device, a deNOxsystem, a particulate filter or a combined deNOx-particulate filter system nor shall it apply to a component or system that is monitored for major functional failure.

3.3.   OBD Stage 2 requirements3.3.1.   From the dates given in Article 4(2) of this Directive the OBD system of all diesel or gas engines and of vehicles equipped with a diesel or a gas engine must indicate the failure of an emission-related component or system of the engine system when that failure results in an increase in emissions above the appropriate OBD thresholds given in the table in Article 4(3) of this Directive.

The OBD system must consider the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control. The OBD system must diagnose the integrity of the connection between the EECU and the medium that provides the link with these other vehicle components (e.g. the communication bus).

In satisfying the Stage 2 requirements, the OBD system must monitor for:

3.3.2.1   reduction in the efficiency of the catalyst, where fitted in a separate housing, that may or may not be part of a deNOxsystem or particulate filter.

3.3.2.2   reduction in the efficiency of the deNOxsystem, where fitted, with respect to the emissions of NOxonly.

3.3.2.3   reduction in the efficiency of the particulate filter, where fitted, with respect to the emissions of particulate only.

3.3.2.4   reduction in the efficiency of a combined deNOx-particulate filter system, where fitted, with respect to both the emissions of NOxand particulate.

3.3.2.5   the interface between the engine electronic control unit (EECU) and any other powertrain or vehicle electrical or electronic system (e.g. the transmission control unit (TECU)) for electrical disconnection.

3.3.3   Manufacturers may demonstrate to the approval authority that certain components or systems need not be monitored if, in the event of their total failure or removal, emissions do not exceed the applicable thresholds limits for OBD Stage 2 given in the table in Article 4(3) of this Directive when measured over the cycles shown in section 1.1 of Appendix 1 to this Annex. This provision shall not apply to an exhaust gas recirculation (EGR) device, a deNOxsystem, a particulate filter or a combined deNOx-particulate filter system.

3.4.   Stage 1 and Stage 2 requirementsIn satisfying both the Stage 1 or Stage 2 requirements the OBD system must monitor:

3.4.1.1.   the fuel-injection system electronic, fuel quantity and timing actuator(s) for circuit continuity (i.e. open circuit or short circuit) and total functional failure.

3.4.1.2.   all other engine or exhaust aftertreatment emission-related components or systems, which are connected to a computer, the failure of which would result in tailpipe emissions exceeding the OBD threshold limits given in the table in Article 4(3) of this Directive. At a minimum, examples include the exhaust gas recirculation (EGR) system, systems or components for monitoring and control of air mass-flow, air volumetric flow (and temperature), boost pressure and inlet manifold pressure (and relevant sensors to enable these functions to be carried out), sensors and actuators of a deNOxsystem, sensors and actuators of an electronically activated active particulate filter.

3.4.1.3.   any other emission-related engine or exhaust aftertreatment component or system connected to an electronic control unit must be monitored for electrical disconnection unless otherwise monitored.

3.4.1.4.   In the case of engines equipped with an aftertreatment system using a consumable reagent, the OBD system must monitor for:
— | lack of any required reagent

— | the quality of the required reagent being within the specifications declared by the manufacturer in Annex II to Directive 2005/55/EC

— | reagent consumption and dosing activityaccording to section 6.5.4 of Annex I to Directive 2005/55/EC.

3.5.   OBD operation and temporary disablement of certain OBD monitoring capabilitiesThe OBD system must be so designed, constructed and installed in a vehicle as to enable it to comply with the requirements of this Annex during the conditions of use defined in section 6.1.5.4 of Annex I to Directive 2005/55/EC.

Outside these normal operating conditions the emission control system may show some degradation in OBD system performance such that the thresholds given in the table in Article 4(3) of this Directive may be exceeded before the OBD system signals a failure to the driver of the vehicle.

The OBD system must not be disabled unless one or more of the following conditions for disablement are met:

3.5.1.1.   The affected OBD monitoring systems may be disabled if its ability to monitor is affected by low fuel levels. For this reason, disablement is permitted when the fuel tank level falls below 20 % of the nominal capacity of the fuel tank.

3.5.1.2.   The affected OBD monitoring systems may be temporarily disabled during the operation of an auxiliary emission control strategy as described in section 6.1.5.1 of Annex I to Directive 2005/55/EC.

3.5.1.3.   The affected OBD monitoring systems may be temporarily disabled when operational safety or limp-home strategies are activated.

3.5.1.4.   For vehicles designed to accommodate the installation of power take-off units, disablement of affected OBD monitoring systems is permitted provided disablement takes place only when the power take-off unit is active and the vehicle is not being driven.

3.5.1.5.   The affected OBD monitoring systems may be disabled temporarily during the periodic regeneration of an emission control system downstream of the engine (i.e. a particulate filter, deNOxsystem or combined deNOx-particulate filter).

3.5.1.6.   The affected OBD monitoring systems may be disabled temporarily outside the conditions of use defined in section 6.1.5.4 of Annex I to Directive 2005/55/EC when this disablement can be justified by a limitation of the OBD monitoring (including modelling) capability.

3.5.2.   The OBD monitoring system is not required to evaluate components during malfunction if such evaluation would result in a risk to safety or component failure.

3.6.   Activation of malfunction indicator (MI)3.6.1.   The OBD system must incorporate a malfunction indicator readily visible to the vehicle operator. Except in the case of section 3.6.2 of this Annex, the MI (e.g. symbol or lamp) must not be used for any purpose other than emission related malfunction except to indicate emergency start-up or limp-home routines to the driver. Safety related messages can be given the highest priority. The MI must be visible in all reasonable lighting conditions. When activated, it must display a symbol in conformity with ISO 2575(1)(as a dashboard telltale lamp or a symbol on a dashboard display). A vehicle must not be equipped with more than one general purpose MI for emission-related problems. Displaying separate specific information is permitted (e.g. such as information dealing with brake system, fasten seat belt, oil pressure, servicing requirements, or indicating the lack of necessary reagent for the deNOxsystem). The use of red for the MI is prohibited.

3.6.2.   The MI may be used to indicate to the driver that an urgent service task needs to be carried out. Such an indication may also be accompanied by an appropriate message on a dashboard display that an urgent servicing requirement needs to be carried out.

3.6.3.   For strategies requiring more than a preconditioning cycle for MI activation, the manufacturer must provide data and/or an engineering evaluation which adequately demonstrates that the monitoring system is equally effective and timely in detecting component deterioration. Strategies requiring on average more than ten OBD or emission test cycles for MI activation are not accepted.

3.6.4.   The MI must also activate whenever the engine control enters a permanent emission default mode of operation. The MI must also activate if the OBD system is unable to fulfil the basic monitoring requirements specified in this Directive.

3.6.5.   Where reference is made to this section, the MI must be activated and, in addition, a distinct warning mode should also be activated, e.g. flashing MI or activation of a symbol in conformity with ISO 2575(2)in addition to MI activation.

3.6.6.   The MI must activate when the vehicle’s ignition is in the ‘key-on’ position before engine starting or cranking and de-activate within 10 seconds after engine starting if no malfunction has previously been detected.

3.7.   Fault code storageThe OBD system must record fault code(s) indicating the status of the emission-control system. A fault code must be stored for any detected and verified malfunction causing MI activation and must identify the malfunctioning system or component as uniquely as possible. A separate code should be stored indicating the expected MI activation status (e.g. MI commanded ‘ON’, MI commanded ‘OFF’).

Separate status codes must be used to identify correctly functioning emission control systems and those emission control systems that need further engine operation to be fully evaluated. If the MI is activated due to malfunction or permanent emission default modes of operation, a fault code must be stored that identifies the likely area of malfunction. A fault code must also be stored in the cases referred to in sections 3.4.1.1 and 3.4.1.3 of this Annex.

3.7.1.   If monitoring has been disabled for 10 driving cycles due to the continued operation of the vehicle under conditions conforming to those specified in section 3.5.1.2 of this Annex, readiness for the subject monitoring system may be set to ‘ready’ status without monitoring having been completed.

3.7.2.   The hours run by the engine while the MI is activated must be available upon request at any instant through the serial port on the standard link connector, according to the specifications given in section 6.8 of this Annex.

3.8.   Extinguishing the MI3.8.1.   The MI may be de-activated after three subsequent sequential operating sequences or 24 engine running hours during which the monitoring system responsible for activating the MI ceases to detect the malfunction and if no other malfunction has been identified that would independently activate the MI.

3.8.2.   In the case of MI activation due to lack of reagent for the deNOxsystem, or combined deNOx-particulate after-treatment device or use of a reagent outside the specifications declared by the manufacturer, the MI may be switched back to the previous state of activation after filling or replacement of the storage medium with a reagent having the correct specifications.

3.8.3.   In the case of MI activation due to incorrect reagent consumption and dosing activity, the MI may be switched back to the previous state of activation if the conditions given in section 6.5.4 of Annex I to Directive 2005/55/EC no longer apply.

3.9.   Erasing a fault code3.9.1.   The OBD system may erase a fault code and the hours run by the engine and freeze-frame information if the same fault is not re-registered in at least 40 engine warm-up cycles or 100 engine running hours, whichever occurs first, with the exception of the cases referred to in section 3.9.2.

3.9.2.   From 1 October 2006 for new type approvals and from 1 October 2007 for all registrations, in the case of a fault code being generated according to sections 6.5.3 or 6.5.4 of Annex I to Directive 2005/55/EC, the OBD system shall retain a record of the fault code and the hours run by the engine during the MI activation for at least 400 days or 9 600 hours of engine operation.

Any such fault code and the corresponding hours run by the engine during MI activation shall not be erased through use of any external diagnostic or other tool as referred to in section 6.8.3 of this Annex.

4.   REQUIREMENTS RELATING TO THE TYPE-APPROVAL OF OBD SYSTEMSFor the purpose of type-approval, the OBD system shall be tested according to the procedures given in Appendix 1 to this Annex.

An engine representative of its engine family (see section 8 of Annex I to Directive 2005/55/EC) shall be used for the OBD demonstration tests or the test report of the parent OBD system of the OBD engine family will be provided to the type-approval authority as an alternative to carrying out the OBD demonstration test.

In the case of OBD stage 1 referred to in section 3.2, the OBD system must:

4.1.1.1.   indicate the failure of an emission-related component or system when that failure results in an increase in emissions above the OBD thresholds given in the table in Article 4(3) of this Directive, or;

4.1.1.2.   where appropriate, indicate any major functional failure of an exhaust aftertreatment system.

4.1.2.   In the case of OBD stage 2 referred to in section 3.3, the OBD system must indicate the failure of an emission-related component or system when that failure results in an increase in emissions above the OBD thresholds given in the table in Article 4(3) of this Directive.

4.1.3.   In the case of both OBD 1 and OBD 2, the OBD system must indicate the lack of any required reagent necessary for the operation of an exhaust aftertreatment system.

4.2.   Installation requirements4.2.1.   The installation on the vehicle of an engine equipped with an OBD system shall comply with the following provisions of this Annex with respect to the vehicle equipment:
— | the provisions of sections 3.6.1, 3.6.2 and 3.6.5 concerning the MI and, where appropriate, additional warning modes;

— | when applicable, the provisions of section 6.8.3.1 concerning the use of an on-board diagnostic facility;

— | the provisions of section 6.8.6 concerning the connection interface.4.3.   Type-approval of an OBD system containing deficiencies4.3.1.   A manufacturer may request to the authority that an OBD system be accepted for type-approval even though the system contains one or more deficiencies such that the specific requirements of this Annex are not fully met.

4.3.2.   In considering the request, the authority shall determine whether compliance with the requirements of this Annex is feasible or unreasonable.

The authority shall take into consideration data from the manufacturer that details such factors as, but not limited to, technical feasibility, lead time and production cycles including phase-in or phase-out of engines designs and programmed upgrades of computers, the extend to which the resultant OBD system will be effective in complying with the requirements of this directive and that the manufacturer has demonstrated an acceptable level of effort toward the requirements of the Directive.

4.3.3.   The authority will not accept any deficiency request that includes the complete lack of a required diagnostic monitor.

4.3.4.   The authority shall not accept any deficiency request that does not respect the OBD threshold limits given in the table in Article 4(3) of this Directive.

4.3.5.   In determining the identified order of deficiencies, deficiencies relating to OBD Stage 1 in respect of sections 3.2.2.1, 3.2.2.2, 3.2.2.3, 3.2.2.4 and 3.4.1.1 and OBD Stage 2 in respect of sections 3.3.2.1, 3.3.2.2, 3.3.2.3, 3.3.2.4 and 3.4.1.1 of this Annex shall be identified first.

4.3.6.   Prior to or at the time of type-approval, no deficiency shall be granted in respect of the requirements of section 3.2.3 and section 6, except sub-section 6.8.5 of this Annex.

4.3.7.   Deficiency period4.3.7.1.   A deficiency may be carried-over for a period of two years after the date of type-approval of the engine type or vehicle in respect of its engine type, unless it can be adequately demonstrated that substantial engine modifications and additional lead-time beyond two years would be necessary to correct the deficiency. In such a case, the deficiency may be carried-out for a period not exceeding three years.

4.3.7.2.   A manufacturer may request that the original type-approval authority grant a deficiency retrospectively when such a deficiency is discovered after the original type-approval. In this case, the deficiency may be carried-over for a period of two years after the date of notification to the type-approval authority unless it can be adequately demonstrated that substantial engine modifications and additional lead-time beyond two years would be necessary to correct the deficiency. In such a case, the deficiency may be carried-out for a period not exceeding three years.

4.3.7.3.   The authority shall notify its decision in granting a deficiency request to all authorities in other Member States according to the requirements of Article 4 to Directive 70/156/EEC.

5.   ACCESS TO OBD INFORMATION5.1.   Replacement parts, diagnostic tools and test equipment5.1.1.   Applications for type-approval or amendment of a type-approval according to either Article 3 or Article 5 of Directive 70/156/EEC shall be accompanied by the relevant information concerning the OBD system. This relevant information shall enable manufacturers of replacement or retrofit components to make the parts they manufacture compatible with the OBD system with a view to fault-free operation assuring the vehicle user against malfunctions. Similarly, such relevant information shall enable the manufacturers of diagnostic tools and test equipment to make tools and equipment that provide for effective and accurate diagnosis of emission control systems.

Upon request, the type-approval authorities shall make Appendix 2 to the EC type approval certificate containing the relevant information on the OBD system available to any interested components, diagnostic tools or test equipment manufacturer on a non-discriminatory basis.

5.1.2.1.   In the case of replacement or service components, information can only be requested for such components that are subject to EC type-approval, or for components that form part of a system that is subject to EC type-approval.

5.1.2.2.   The request for information must identify the exact specification of the engine model type/engine model type within an engine family for which the information is required. It must confirm that the information is required for the development of replacement or retrofit parts or components or diagnostic tools or test equipment.

5.2.   Repair information5.2.1.   No later than three months after the manufacturer has provided any authorised dealer or repair shop within the Community with repair information, the manufacturer shall make that information (including all subsequent amendments and supplements) available upon reasonable and non-discriminatory payment.

5.2.2.   The manufacturer must also make accessible, where appropriate upon payment the technical information required for the repair or maintenance of motor vehicles unless that information is covered by an intellectual property right or constitutes essential, secret know-how which is identified in an appropriate form; in such case, the necessary technical information must not be withheld improperly.

Entitled to such information is any person engaged in commercially servicing or repairing, road-side rescuing, inspecting or testing of vehicles or in manufacturing or selling replacement or retro-fit components, diagnostic tools and test equipment.

5.2.3.   In the event of failure to comply with these provisions the approval authority shall take appropriate measures to ensure that repair information is available, in accordance with the procedures laid down for type-approval and in-service surveys.

6.   DIAGNOSTIC SIGNALS6.1.   Upon determination of the first malfunction of any component or system, ‘freeze-frame’ engine conditions present at the time must be stored in computer memory. Stored engine conditions must include, but are not limited to calculated load value, engine speed, coolant temperature, intake manifold pressure (if available), and the fault code which caused the data to be stored. For freeze-frame storage, the manufacturer must choose the most appropriate set of conditions facilitating effective repairs.

6.2.   Only one frame of data is required. Manufacturers may choose to store additional frames provided that at least the required frame can be read by a generic scan tool meeting the specifications of sections 6.8.3 and 6.8.4. If the fault code causing the conditions to be stored is erased in accordance with section 3.9 of this Annex, the stored engine conditions may also be erased.

6.3.   If available, the following signals in addition to the required freeze-frame information must be made available on demand through the serial port on the standardised data link connector, if the information is available to the on-board computer or can be determined using information available to the on-board computer: diagnostic trouble codes, engine coolant temperature, injection timing, intake air temperature, manifold air pressure, air flow rate, engine speed, pedal position sensor output value, calculated load value, vehicle speed and fuel pressure.

The signals must be provided in standard units based on the specifications given in section 6.8. Actual signals must be clearly identified separately from default value or limp-home signals.

6.4.   For all emission control systems for which specific on-board evaluation tests are conducted, separate status codes, or readiness codes, must be stored in computer memory to identify correctly functioning emission control systems and those emission control systems which require further vehicle operation to complete a proper diagnostic evaluation. A readiness code need not be stored for those monitors that can be considered continuously operating monitors. Readiness codes should never be set to ‘not ready’ status upon ‘key-on’ or ‘key-off’. The intentional setting of readiness codes to ‘not ready’ status via service procedures must apply to all such codes, rather than applying to individual codes.

6.5.   The OBD requirements to which the vehicle is certified (i.e. stage 1 OBD or stage 2 OBD) and the major emission control systems monitored by the OBD system consistent with section 6.8.4 must be available through the serial data port on the standardised data link connector according to the specifications given in section 6.8.

6.6.   The software calibration identification number as declared in Annexes II and VI to Directive 2005/55/EC shall be made available through the serial port of the standardised diagnostic connector. The software calibration identification number shall be provided in a standardised format.

6.7.   The vehicle identification number (VIN) number shall be made available through the serial port of the standardised diagnostic connector. The VIN number shall be provided in a standardised format.

The emission control diagnostic system must provide for standardised or unrestricted access and conform to either ISO 15765 or SAE J1939, as specified in the following sections(3).

6.8.1.   The use of either ISO 15765 or SAE J1939 shall be consistent throughout sections 6.8.2 to 6.8.5.

6.8.2.   The on-board to off-board communications link must conform to ISO 15765-4 or to the similar clauses within the SAE J1939 series of standards.

Test equipment and diagnostic tools needed to communicate with OBD systems must meet or exceed the functional specification given in ISO 15031-4 or SAE J1939-73 section 5.2.2.1.

6.8.3.1.   The use of an on-board diagnostic facility such as a dashboard mounted video display device for enabling access to OBD information is permitted but this is in addition to enabling access to OBD information by means of the standard diagnostic connector.

6.8.4.   Diagnostic data, (as specified in this section) and bi-directional control information must be provided using the format and units described in ISO 15031-5 or SAE J1939-73 section 5.2.2.1 and must be available using a diagnostic tool meeting the requirements of ISO 15031-4 or SAE J1939-73 section 5.2.2.1.

The manufacturer shall provide a national standardisation body with emission-related diagnostic data, e.g. PID’s, OBD monitor Id’s, Test Id’s not specified in ISO 15031-5 but related to this Directive.

6.8.5.   When a fault is registered, the manufacturer must identify the fault using the most appropriate fault code consistent with those given in Section 6.3 of ISO 15031-6 relating to emission-related system diagnostic trouble codes. If such identification is not possible, the manufacturer may use diagnostic trouble codes according to Sections 5.3 and 5.6 of ISO 15031-6. The fault codes must be fully accessible by standardised diagnostic equipment complying with the provisions of section 6.8.3 of this Annex.

The manufacturer shall provide a national standardisation body with emission-related diagnostic data, e.g. PID’s, OBD monitor Id’s, Test Id’s not specified in ISO 15031-5 but related to this Directive.

As an alternative, the manufacturer may identify the fault using the most appropriate fault code consistent with those given in SAE J2012 or in SAE J1939-73.

6.8.6.   The connection interface between the vehicle and the diagnostic tester must be standardised and must meet all the requirements of ISO 15031-3 or SAE J1939-13.

In the case of category N2, N3, M2, and M3 vehicles, as an alternative to the connector location described in the above standards and provided all other requirements of ISO 15031-3 are met, the connector may be located in a suitable position by the side of the driver’s seat, including on the floor of the cabin. In this case the connector should be accessible by a person standing outside the vehicle and not restrict access to the driver’s seat.

The installation position must be subject to agreement of the approval authority such that it is readily accessible by service personnel but protected from accidental damage during normal conditions of use.
(1)  Symbol numbers F01 or F22.

(2)  Symbol number F24.

(3)  The use of the future ISO single protocol standard developed in the framework of the UN/ECE for a world-wide global technical regulation on heavy-duty OBD will be considered by the Commission in a proposal to replace the use of the SAE J1939 and ISO 15765 series of standards to satisfy the appropriate requirements of section 6 as soon as the ISO single protocol standard has reached the DIS stage.
1.   INTRODUCTIONAppendix 1ON-BOARD DIAGNOSTIC (OBD) SYSTEM APPROVAL TESTSThis Appendix describes the procedure for checking the function of the on board diagnostic (OBD) system installed on the engine by failure simulation of relevant emission-related systems in the engine management or emission control system. It also sets procedures for determining the durability of OBD systems.

1.1.   Deteriorated components/systemsIn order to demonstrate the efficient monitoring of an emission control system or component, the failure of which may result in tailpipe emissions exceeding the appropriate OBD threshold limits, the manufacturer must make available the deteriorated components and/or electrical devices which would be used to simulate failures.

Such deteriorated components or devices must not cause emissions to exceed the OBD threshold limits referred to in the table in Article 4(3) of this Directive by more than 20 %.

In the case of type-approval of an OBD system according to Article 4(1) of this Directive, the emissions shall be measured over the ESC test cycle (see Appendix 1 to Annex III to Directive 2005/55/EC). In the case of type-approval of an OBD system according to Article 4(2) of this Directive, the emissions shall be measured over the ETC test cycle (see Appendix 2 to Annex III to Directive 2005/55/EC).

1.1.1.   If it is determined that the installation of a deteriorated component or device on an engine means that a comparison with the OBD threshold limits is not possible (e.g. because the statistical conditions for validating the ETC test cycle are not met), the failure of that component or device may be considered as qualified upon the agreement of the type-approval authority based on technical argumentation provided by the manufacturer.

1.1.2.   In the case that the installation of a deteriorated component or device on an engine means that the full load curve (as determined with a correctly operating engine) cannot (even partially) be attained during the test, the deteriorated component or device is considered as qualified upon the agreement of the type-approval authority based on technical argumentation provided by the manufacturer.

1.1.3.   The use of deteriorated components or devices that cause engine emissions to exceed the OBD threshold limits referred to in the table in Article 4(3) of this Directive by no more than 20 % may not be required in some very specific cases (for example, if a limp home strategy is activated, if the engine cannot run any test, or in case of EGR sticking valves, etc). This exception shall be documented by the manufacturer. It is subject to the agreement of the technical service.

1.2.   Test principleWhen the engine is tested with the deteriorated component or device fitted, the OBD system is approved if the MI is activated. The OBD system is also approved if the MI is activated below the OBD threshold limits.

The use of deteriorated components or devices that cause the engine emissions to exceed the OBD threshold limits referred to in the table in Article 4(3) of this Directive by no more than 20 % are not required in the specific case of the failure modes described in sections 6.3.1.6 and 6.3.1.7 of this Appendix and also with respect to monitoring for major functional failure.

1.2.1.   The use of deteriorated components or devices that cause engine emissions to exceed the OBD threshold limits referred to in the table in Article 4(3) of this Directive by no more than 20 % may not be required in some very specific cases (for example, if a limp home strategy is activated, if the engine cannot run any test, or in case of EGR sticking valves, etc). This exception shall be documented by the manufacturer. It is subject to the agreement of the technical service.

2.   DESCRIPTION OF TESTThe testing of OBD systems consists of the following phases:
— | simulating the malfunction of a component of the engine management or emission control system as described in section 1.1 of this Appendix

— | preconditioning of the OBD system with a simulated malfunction over the preconditioning cycle specified in section 6.2

— | operating the engine with a simulated malfunction over the OBD test cycle referred to in section 6.1

— | determining whether the OBD system reacts to the simulated malfunction and indicates malfunction in an appropriate manner.2.1.1.   Should the performance (e.g. power curve) of the engine be affected by the malfunction, the OBD test-cycle remains the shortened version of the ESC test-cycle used for the assessing the exhaust emissions of the engine without that malfunction.

2.2.   Alternatively, at the request of the manufacturer, malfunction of one or more components may be electronically simulated according to the requirements of section 6.

2.3.   Manufacturers may request that monitoring take place outside the OBD test cycle referred to in section 6.1 if it can be demonstrated to the authority that monitoring during conditions encountered during this OBD test cycle would impose restrictive monitoring conditions when the vehicle is used in service.

3.   TEST ENGINE AND FUEL3.1.   EngineThe test engine shall comply with the specifications laid down in Appendix 1 of Annex II to Directive 2005/55/EC.

3.2.   FuelThe appropriate reference fuel as described in Annex IV to Directive 2005/55/EC must be used for testing.

4.   TEST CONDITIONSThe test conditions must satisfy the requirements of the emission test described in the present directive.

5.   TEST EQUIPMENTThe engine dynamometer must meet the requirements of Annex III to Directive 2005/55/EC.

6.   OBD TEST CYCLE6.1.   The OBD test cycle is a single shortened ESC test cycle. The individual modes shall be performed in the same order as the ESC test cycle, as defined in section 2.7.1 of Appendix 1 to Annex III to Directive 2005/55/EC.

The engine must be operated for a maximum of 60 seconds in each mode, completing engine speed and load changes in the first 20 seconds. The specified speed shall be held to within ± 50 rpm and the specified torque shall be held to within ± 2 % of the maximum torque at each speed.

Exhaust emissions are not required to be measured during the OBD test cycle.

6.2.   Preconditioning cycle6.2.1.   After introduction of one of the failure modes given in section 6.3, the engine and its OBD system shall be preconditioned by performing a preconditioning cycle.

6.2.2.   At the request of the manufacturer and with the agreement of the type-approval authority, an alternative number of a maximum of nine consecutive OBD test cycles may be used.

6.3.   OBD system test6.3.1.   Diesel engines and vehicles equipped with a diesel engine6.3.1.1.   After preconditioning according to section 6.2, the test engine is operated over the OBD test cycle described in section 6.1 of this Appendix. The MI must activate before the end of this test under any of the conditions given in 6.3.1.2 to 6.3.1.7. The technical service may substitute those conditions by others in accordance with section 6.3.1.7. For the purposes of type-approval, the total number of failures subject to testing, in the case of different systems or components, must not exceed four.

If the test is being carried out to type-approve an OBD-engine family consisting of engines that do not belong to the same engine family, the type approval authority will increase the number of failures subject to testing up to a maximum of four times the number of engine families present in the OBD-engine family. The type-approval authority may decide to curtail the test at any time before this maximum number of failure tests has been reached.

6.3.1.2.   Where fitted in a separate housing that may or may not be part of a deNOxsystem or diesel particulate filter, replacement of any catalyst with a deteriorated or defective catalyst or electronic simulation of such a failure.

6.3.1.3.   Where fitted, replacement of a deNOxsystem (including any sensors that are an integral part of the system) with a deteriorated or defective deNOxsystem or electronic simulation of a deteriorated or defective deNOxsystem that results in emissions exceeding the OBD NOxthreshold limit referred to in the table given in Article 4(3) of this Directive.

In the case that the engine is being type-approved according to Article 4(1) of this Directive in relation to monitoring for major functional failure, the test of the deNOxsystem shall determine that the MI illuminates under any of the following conditions:
— | complete removal of the system or replacement of the system by a bogus system

— | lack of any required reagent for a deNOxsystem

— | any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a deNOxsystem, including, when applicable, the reagent heating system

— | failure of a reagent dosing system (e.g. missing air supply, clogged nozzle, dosing pump failure) of a deNOxsystem

— | major breakdown of the system.6.3.1.4.   Where fitted, total removal of the particulate filter or replacement of the particulate filter with a defective particulate filter that results in emissions exceeding the OBD particulate threshold limit given in the table in Article 4(3) of this Directive.

In the case that the engine is being type-approved according to Article 4(1) of this Directive in relation to monitoring for major functional failure, the test of the particulate filter shall determine that the MI illuminates under any of the following conditions:
— | complete removal of the particulate filter or replacement of the system by a bogus system

— | major melting of the particulate filter substrate

— | major cracking of the particulate filter substrate

— | any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a particulate filter

— | failure, when applicable, of the reagent dosing system (e.g. clogged nozzle, dosing pump failure) of a particulate filter

— | a clogged particulate filter resulting in a differential pressure out of the range declared by the manufacturer.6.3.1.5.   Where fitted, replacement of a combined deNOx-particulate filter system (including any sensors that are an integral part of the device) with a deteriorated or defective system or electronic simulation of a deteriorated or defective system that results in emissions exceeding the OBD NOxand particulate threshold limits given in the table in Article 4(3) of this Directive.

In the case that the engine is being type-approved according to Article 4(1) of this Directive in relation to monitoring for major functional failure, the test of the combined deNOx-particulate filter system shall determine that the MI illuminates under any of the following conditions:
— | complete removal of the system or replacement of the system by a bogus system

— | lack of any required reagent for a combined deNOx-particulate filter system

— | any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a combined deNOx-particulate filter system, including, when applicable, the reagent heating system

— | failure of a reagent dosing system (e.g. missing air supply, clogged nozzle, dosing pump failure) of a combined deNOx-particulate filter system

— | major breakdown of a NOxtrap system

— | major melting of the particulate filter substrate

— | major cracking of the particulate filter substrate

— | a clogged particulate filter resulting in a differential pressure out of the range declared by the manufacturer.6.3.1.6.   Disconnection of any fuelling system electronic fuel quantity and timing actuator that results in emissions exceeding any of the OBD thresholds referred to in the table given in Article 4(3) of this Directive.

6.3.1.7.   Disconnection of any other emission-related engine component connected to a computer that results in emissions exceeding any of the thresholds referred to in the table given in Article 4(3) of this Directive.

6.3.1.8.   In demonstrating compliance with the requirements of 6.3.1.6 and 6.3.1.7 and with the agreement of the approval authority, the manufacturer may take appropriate steps to demonstrate that the OBD system will indicate a fault when disconnection occurs.
ANNEX VAPPROVAL CERTIFICATE NUMBERING SYSTEM

1. | The number shall consist of five sections separated by the ‘*’ character.Section 1:the lower case letter ‘e’ followed by the distinguishing number of the Member State issuing the approval:1for Germany2for France3for Italy4for the Netherlands5for Sweden6for Belgium7for Hungary8for the Czech Republic9for Spain11for the United Kingdom12for Austria13for Luxembourg17for Finland18for Denmark20for Poland21for Portugal23for Greece24for Ireland26for Slovenia27for Slovakia29for Estonia32for Latvia36for Lithuania49for Cyprus50for MaltaSection 2:the number of this Directive.Section 3:the number of the latest amending Directive applicable to the approval. As it contains different implementation dates and different technical standards, an alphabetical character shall be added in accordance with the table in section 4 below. This character refers to the different application dates for the stages of severity on the basis of which type-approval was granted.Section 4:a four-digit sequential number (with leading zeros as applicable) to denote the base approval number. The sequence shall start from 0001.Section 5:a two-digit sequential number (with a leading zero as applicable) to denote the extension. The sequence shall start from 01 for each base approval number. | Section 1: | the lower case letter ‘e’ followed by the distinguishing number of the Member State issuing the approval:1for Germany2for France3for Italy4for the Netherlands5for Sweden6for Belgium7for Hungary8for the Czech Republic9for Spain11for the United Kingdom12for Austria13for Luxembourg17for Finland18for Denmark20for Poland21for Portugal23for Greece24for Ireland26for Slovenia27for Slovakia29for Estonia32for Latvia36for Lithuania49for Cyprus50for Malta | 1 | for Germany | 2 | for France | 3 | for Italy | 4 | for the Netherlands | 5 | for Sweden | 6 | for Belgium | 7 | for Hungary | 8 | for the Czech Republic | 9 | for Spain | 11 | for the United Kingdom | 12 | for Austria | 13 | for Luxembourg | 17 | for Finland | 18 | for Denmark | 20 | for Poland | 21 | for Portugal | 23 | for Greece | 24 | for Ireland | 26 | for Slovenia | 27 | for Slovakia | 29 | for Estonia | 32 | for Latvia | 36 | for Lithuania | 49 | for Cyprus | 50 | for Malta | Section 2: | the number of this Directive. | Section 3: | the number of the latest amending Directive applicable to the approval. As it contains different implementation dates and different technical standards, an alphabetical character shall be added in accordance with the table in section 4 below. This character refers to the different application dates for the stages of severity on the basis of which type-approval was granted. | Section 4: | a four-digit sequential number (with leading zeros as applicable) to denote the base approval number. The sequence shall start from 0001. | Section 5: | a two-digit sequential number (with a leading zero as applicable) to denote the extension. The sequence shall start from 01 for each base approval number.

Section 1: | the lower case letter ‘e’ followed by the distinguishing number of the Member State issuing the approval:1for Germany2for France3for Italy4for the Netherlands5for Sweden6for Belgium7for Hungary8for the Czech Republic9for Spain11for the United Kingdom12for Austria13for Luxembourg17for Finland18for Denmark20for Poland21for Portugal23for Greece24for Ireland26for Slovenia27for Slovakia29for Estonia32for Latvia36for Lithuania49for Cyprus50for Malta | 1 | for Germany | 2 | for France | 3 | for Italy | 4 | for the Netherlands | 5 | for Sweden | 6 | for Belgium | 7 | for Hungary | 8 | for the Czech Republic | 9 | for Spain | 11 | for the United Kingdom | 12 | for Austria | 13 | for Luxembourg | 17 | for Finland | 18 | for Denmark | 20 | for Poland | 21 | for Portugal | 23 | for Greece | 24 | for Ireland | 26 | for Slovenia | 27 | for Slovakia | 29 | for Estonia | 32 | for Latvia | 36 | for Lithuania | 49 | for Cyprus | 50 | for Malta

1 | for Germany

2 | for France

3 | for Italy

4 | for the Netherlands

5 | for Sweden

6 | for Belgium

7 | for Hungary

8 | for the Czech Republic

9 | for Spain

11 | for the United Kingdom

12 | for Austria

13 | for Luxembourg

17 | for Finland

18 | for Denmark

20 | for Poland

21 | for Portugal

23 | for Greece

24 | for Ireland

26 | for Slovenia

27 | for Slovakia

29 | for Estonia

32 | for Latvia

36 | for Lithuania

49 | for Cyprus

50 | for Malta

Section 2: | the number of this Directive.

Section 3: | the number of the latest amending Directive applicable to the approval. As it contains different implementation dates and different technical standards, an alphabetical character shall be added in accordance with the table in section 4 below. This character refers to the different application dates for the stages of severity on the basis of which type-approval was granted.

Section 4: | a four-digit sequential number (with leading zeros as applicable) to denote the base approval number. The sequence shall start from 0001.

Section 5: | a two-digit sequential number (with a leading zero as applicable) to denote the extension. The sequence shall start from 01 for each base approval number.

2. | Example for the third approval (with, as yet, no extension) corresponding to application date B1 with OBD stage I, issued by the United Kingdom:e11*2004/…*2005/…B*0003*00

3. | Example of the second extension to the fourth approval corresponding to application date B2, with OBD stage II, issued by Germany:e1*2004/…*2005/…F*0004*02CharacterRow(*1)OBD Stage I(*2)OBD Stage IIDurability and in-useNOxcontrol(*3)AA————BB1(2005)YES—YES—CB1(2005)YES—YESYESDB2(2008)YES—YES—EB2(2008)YES—YESYESFB2(2008)—YESYES—GB2(2008)—YESYESYESHCYES—YES—ICYES—YESYESJC—YESYES—KC—YESYESYES | Character | Row(*1) | OBD Stage I(*2) | OBD Stage II | Durability and in-use | NOxcontrol(*3) | A | A | — | — | — | — | B | B1(2005) | YES | — | YES | — | C | B1(2005) | YES | — | YES | YES | D | B2(2008) | YES | — | YES | — | E | B2(2008) | YES | — | YES | YES | F | B2(2008) | — | YES | YES | — | G | B2(2008) | — | YES | YES | YES | H | C | YES | — | YES | — | I | C | YES | — | YES | YES | J | C | — | YES | YES | — | K | C | — | YES | YES | YES

Character | Row(*1) | OBD Stage I(*2) | OBD Stage II | Durability and in-use | NOxcontrol(*3)

A | A | — | — | — | —

B | B1(2005) | YES | — | YES | —

C | B1(2005) | YES | — | YES | YES

D | B2(2008) | YES | — | YES | —

E | B2(2008) | YES | — | YES | YES

F | B2(2008) | — | YES | YES | —

G | B2(2008) | — | YES | YES | YES

H | C | YES | — | YES | —

I | C | YES | — | YES | YES

J | C | — | YES | YES | —

K | C | — | YES | YES | YES

(*1)  According to table I, section 6 of Annex I to Directive 2005/55/EC.

(*2)  According to Art. 4, gas engines are excluded from OBD stage I.

(*3)  According to Art. 6.5 of Annex I to Directive 2005/55/EC.
			

3.	Article 11(A) shall be amended as follows:(a)in paragraph (1)(d) the second subparagraph shall be deleted;(b)the following paragraphs shall be added:‘5. Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.6. In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee's family, or any other closely connected persons.The option in the first subparagraph may apply only in any of the following circumstances:(a)where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;(b)where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);(c)where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.7. For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm's length within the territory of the Member State in which the supply is subject to tax.Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.	(a)	in paragraph (1)(d) the second subparagraph shall be deleted;	(b)	the following paragraphs shall be added:‘5. Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.6. In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee's family, or any other closely connected persons.The option in the first subparagraph may apply only in any of the following circumstances:(a)where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;(b)where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);(c)where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.7. For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm's length within the territory of the Member State in which the supply is subject to tax.Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.	(a)	where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;	(b)	where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);	(c)	where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.
(a)	in paragraph (1)(d) the second subparagraph shall be deleted;
(b)	the following paragraphs shall be added:‘5. Member States shall have the option of including in the taxable amount in respect of the supply of goods and services, the value of exempt investment gold within the meaning of Article 26b, which has been provided by the customer to be used as a basis for working and which as a result, loses its VAT exempt investment gold status when such goods and services are supplied. The value to be used is the open market value of the investment gold at the time that those goods and services are supplied.6. In order to prevent tax evasion or avoidance, Member States may take measures to ensure that the taxable amount in respect of a supply of goods or services shall be the open market value. The option shall be applied only in respect of supplies of goods and services involving family or other close personal ties, management, ownership, membership, financial or legal ties as defined by the Member State. For these purposes legal ties may include the relationship between an employer and employee or the employee's family, or any other closely connected persons.The option in the first subparagraph may apply only in any of the following circumstances:(a)where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;(b)where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);(c)where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.Member States may restrict the categories of suppliers or recipients to whom the measures in the first and the second subparagraph shall apply.Member States shall inform the Committee established in accordance with Article 29 of any new national measure adopted pursuant to the provisions of this paragraph.7. For the purposes of this Directive, “open market value” shall mean the full amount that, in order to obtain the goods or services in question at that time, a customer at the same marketing stage at which the supply of goods or services takes place, would have to pay, under conditions of fair competition, to a supplier at arm's length within the territory of the Member State in which the supply is subject to tax.Where no comparable supply of goods or services can be ascertained, “open market value” shall mean, in respect of goods, an amount that is not less than the purchase price of the goods or of similar goods or, in the absence of a purchase price, the cost price, determined at the time of supply; in respect of services it shall mean not less than the full cost to the taxable person of providing the service.’.	(a)	where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;	(b)	where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);	(c)	where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.
(a)	where the consideration is lower than the open market value and the recipient of the supply does not have a full right of deduction under Article 17;
(b)	where the consideration is lower than the open market value and the supplier does not have a full right of deduction under Article 17 and the supply is subject to an exemption under Article 13 or Article 28(3)(b);
(c)	where the consideration is higher than the open market value and the supplier does not have a full right of deduction under Article 17.

4.	Article 17(4), in the version set out in Article 28f(1), shall be amended as follows:(a)in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;(b)in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.	(a)	in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;	(b)	in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.
(a)	in point (a) of the second subparagraph ‘Article 21(1)(a) and (c)’ shall be replaced by ‘Article 21(1)(a), (1)(c) or (1)(f) or Article 21(2)(c)’;
(b)	in point (b) of the second subparagraph ‘Article 21(1)(a)’ shall be replaced by ‘Article 21(1)(a), or (1)(f) or Article 21(2)(c)’.

1.	Article 1(3)(c) shall be replaced by the following:‘(c)“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;	‘(c)	“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;
‘(c)	“carriers”, including carrier solvents, are substances used to dissolve, dilute, disperse or otherwise physically modify a food additive or flavouring without altering its function (and without exerting any technological effect themselves) in order to facilitate its handling, application or use;’;

(1)	Annex I is amended as follows:(a)in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;(b)in the table, the following row is inserted:‘E 462Ethyl cellulose’;	(a)	in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;	‘4.	The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;	(b)	in the table, the following row is inserted:‘E 462Ethyl cellulose’;	‘E 462	Ethyl cellulose’;
(a)	in the introductory note, the following note is added:‘4.The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;	‘4.	The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;
‘4.	The substances listed under numbers E 400, E 401, E 402, E 403, E 404, E 406, E 407, E 407a, E 410, E 412, E 413, E 414, E 415, E 417, E 418 and E 440 may not be used in jelly mini-cups, defined, for the purpose of this Directive, as jelly confectionery of a firm consistence, contained in semi-rigid mini-cups or mini-capsules, intended to be ingested in a single bite by exerting pressure on the mini-cups or mini-capsule to project the confectionery into the mouth.’;
(b)	in the table, the following row is inserted:‘E 462Ethyl cellulose’;	‘E 462	Ethyl cellulose’;
‘E 462	Ethyl cellulose’;

(a)	the row for ‘ripened cheese’ is replaced by the following:‘Ripened cheeseE 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactonequantum satisE 500ii Sodium hydrogen carbonatequantum satis (only for sour milk cheese)’;	‘Ripened cheese	E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone	quantum satis	E 500ii Sodium hydrogen carbonate	quantum satis (only for sour milk cheese)’;
‘Ripened cheese	E 170 Calcium carbonateE 504 Magnesium carbonatesE 509 Calcium chlorideE 575 Glucono-delta-lactone	quantum satis
	E 500ii Sodium hydrogen carbonate	quantum satis (only for sour milk cheese)’;

(a)	Part A is amended as follows:(i)in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;(ii)the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(2)	(i)	in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;	(ii)	the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(2)	—	the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;	‘Shrimps, cooked				2 000		Crayfish tails, cooked, and pre‐packed marinated cooked molluscs	2 000		Liquid dietary food supplements					2 000 ’;	—	the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000	‘Crustaceans and molluscs, cooked	1 000		2 000	Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form		2 000	—	the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
(i)	in the table ‘Sorbates, benzoates and p-hydroxybenzoates’, the rows for ‘E 216 Propyl p-hydroxybenzoate’ and ‘E 217 Sodium propyl p‐hydroxybenzoate’ are deleted;
(ii)	the table for foodstuffs is amended as follows:—the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;—the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(1)supplied in liquid form2 000—the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(2)	—	the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;	‘Shrimps, cooked				2 000			Crayfish tails, cooked, and pre‐packed marinated cooked molluscs	2 000				Liquid dietary food supplements		2 000 ’;	—	the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000	‘Crustaceans and molluscs, cooked		1 000		2 000		Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form		2 000	—	the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)
—	the following rows are deleted:‘Shrimps, cooked2 000Crayfish tails, cooked, and pre‐packed marinated cooked molluscs2 000Liquid dietary food supplements2 000 ’;	‘Shrimps, cooked				2 000			Crayfish tails, cooked, and pre‐packed marinated cooked molluscs	2 000					Liquid dietary food supplements		2 000 ’;
‘Shrimps, cooked				2 000
Crayfish tails, cooked, and pre‐packed marinated cooked molluscs	2 000
Liquid dietary food supplements						2 000 ’;
—	the following rows are added:‘Crustaceans and molluscs, cooked1 0002 000Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form2 000	‘Crustaceans and molluscs, cooked		1 000		2 000			Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form				2 000
‘Crustaceans and molluscs, cooked		1 000		2 000
Food supplements as defined in Directive 2002/46/EC(*1)supplied in liquid form				2 000
—	the words ‘Dietetic food intended for special medical purposes ’ are replaced by the words ‘Dietary foods for special medical purposes as defined in Directive 1999/21/EC(*2)

(b)	in Part B the table for foodstuffs is amended as follows:—the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)—the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;—the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;	—	the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)	‘Crustaceans and cephalopods:		—fresh, frozen and deep-frozen	—	fresh, frozen and deep-frozen	150(1)	—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:	—	crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:		—up to 80 units	—	up to 80 units	150(1)	—between 80 and 120 units	—	between 80 and 120 units	200(1)	—over 120 units	—	over 120 units	300(1)	Crustaceans and cephalopods		—cooked	—	cooked	50(1)	—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:	—	cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:		—up to 80 units	—	up to 80 units	135(1)	—between 80 and 120 units	—	between 80 and 120 units	180(1)	—over 120 units	—	over 120 units	270(1)	—	the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;	—	the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;	‘Salsicha fresca	450	Table grapes	10	Fresh lychees	10 (measured on edible parts)’;
—	the row for ‘crustaceans and cephalopods’ is replaced by the following:‘Crustaceans and cephalopods:—fresh, frozen and deep-frozen150(1)—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units150(1)—between 80 and 120 units200(1)—over 120 units300(1)Crustaceans and cephalopods—cooked50(1)—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:—up to 80 units135(1)—between 80 and 120 units180(1)—over 120 units270(1)	‘Crustaceans and cephalopods:		—fresh, frozen and deep-frozen	—	fresh, frozen and deep-frozen	150(1)	—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:	—	crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:		—up to 80 units	—	up to 80 units	150(1)	—between 80 and 120 units	—	between 80 and 120 units	200(1)	—over 120 units	—	over 120 units	300(1)	Crustaceans and cephalopods		—cooked	—	cooked	50(1)	—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:	—	cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:		—up to 80 units	—	up to 80 units	135(1)	—between 80 and 120 units	—	between 80 and 120 units	180(1)	—over 120 units	—	over 120 units	270(1)
‘Crustaceans and cephalopods:
—fresh, frozen and deep-frozen	—	fresh, frozen and deep-frozen	150(1)
—	fresh, frozen and deep-frozen
—crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:	—	crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—	crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—up to 80 units	—	up to 80 units	150(1)
—	up to 80 units
—between 80 and 120 units	—	between 80 and 120 units	200(1)
—	between 80 and 120 units
—over 120 units	—	over 120 units	300(1)
—	over 120 units
Crustaceans and cephalopods
—cooked	—	cooked	50(1)
—	cooked
—cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:	—	cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—	cooked crustaceans,Penaeidae, Solenoceridae, Aristaeidaefamily:
—up to 80 units	—	up to 80 units	135(1)
—	up to 80 units
—between 80 and 120 units	—	between 80 and 120 units	180(1)
—	between 80 and 120 units
—over 120 units	—	over 120 units	270(1)
—	over 120 units
—	the entry ‘Starches (excluding starches for weaning foods, follow-on formulae and infant formulae)’ is replaced by ‘Starches (excluding starches in infant formulae, follow-on formulae and processed cereal‐based foods and baby foods)’;
—	the following rows are added:‘Salsicha fresca450Table grapes10Fresh lychees10 (measured on edible parts)’;	‘Salsicha fresca	450	Table grapes	10	Fresh lychees	10 (measured on edible parts)’;
‘Salsicha fresca	450
Table grapes	10
Fresh lychees	10 (measured on edible parts)’;

‘E 310	Propyl gallate	Fats and oils for the professional manufacture of heat-treated foodstuffs	200*(gallates, TBHQ and BHA, individually or in combination)
E 311	Octyl gallate	Frying oil and frying fat, excluding olive pomace oil	100*(BHT)
E 312	Dodecyl gallate
E 319	Tertiary-butyl hydroquinone(TBHQ)	Lard; fish oil; beef, poultry and sheep fat	both expressed on fat
E 320	Butylated hydroxyanisole(BHA)	Cake mixesCereal-based snack foodsMilk powder for vending machines	200 (gallates, TBHQ and BHA, individually or in combination)
E 321	Butylated hydroxytoluene(BHT)	Dehydrated soups and brothsSaucesDehydrated meatProcessed nutsPre-cooked cereals	expressed on fat
		Seasonings and condiments	200 (gallates and BHA, individually or in combination) expressed on fat
		Dehydrated potatoes	25 (gallates, TBHQ and BHA, individually or in combination)
Chewing gumFood supplements as defined in Directive 2002/46/EC	400 (gallates, TBHQ, BHT and BHA, individually or in combination)
Essential oils	1 000 (gallates, TBHQ and BHA, individually or in combination)
Flavourings other than essential oils	100 * (gallates, individually or in combination)200 * (TBHQ and BHA, individually or in combination)’;

(iii)	the following row is added:‘E 5864-HexylresorcinolFresh, frozen and deep-frozen crustaceans2 mg/kg as residues in crustacean meat’;	‘E 586	4-Hexylresorcinol	Fresh, frozen and deep-frozen crustaceans	2 mg/kg as residues in crustacean meat’;
‘E 586	4-Hexylresorcinol	Fresh, frozen and deep-frozen crustaceans	2 mg/kg as residues in crustacean meat’;

‘E 385	Calcium disodium ethylene diamine tetra-acetate (Calcium disodium EDTA)	Emulsified sauces	75 mg/kg
		Canned and bottled pulses, legumes, mushrooms and artichokes	250 mg/kg
		Canned and bottled crustaceans and molluscs	75 mg/kg
		Canned and bottled fish	75 mg/kg
		Spreadable fats as defined in Annexes B and C to Regulation (EC) No 2991/94(*3), having a fat content of 41 % or less	100 mg/kg
		Frozen and deep‐frozen crustaceans	75 mg/kg
		Libamáj, egészben és tömbben	250 mg/kg

‘E 968	Erythritol	Foodstuffs in general (except drinks and those foodstuffs referred to in Article 2(3))	quantum satis
		Frozen and deep-frozen unprocessed fish, crustaceans, molluscs and cephalopods	quantum satis
		Liqueurs	quantum satis
			For purposes other than sweetening’;

‘E 426	Soybean hemicellulose	Dairy-based drinks intended for retail sale	5 g/l
		Food supplements as defined in Directive 2002/46/EC	1,5 g/l
		Emulsified sauces	30 g/l
		Pre-packaged fine bakery wares intended for retail sale	10 g/kg
		Pre-packaged ready to eat oriental noodles intended for retail sale	10 g/kg
		Pre-packaged ready to eat rice intended for retail sale	10 g/kg
		Pre-packaged processed potato and rice products (including frozen, deep-frozen, chilled and dried processed products) intended for retail sale	10 g/kg
		Dehydrated, concentrated, frozen and deep-frozen egg products	10 g/kg
		Jelly confectionery, except jelly mini-cups	10 g/kg’;

‘E 1505	Triethyl citrate	Flavourings	3 g/kg from all sources in foodstuffs as consumed or as reconstituted according to the instructions of the manufacturer; individually or in combination. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 shall be 1 g/l.’;
E 1517	Glyceryl diacetate (diacetin)
E 1518	Glyceryl triacetate (triacetin)
E 1520	Propan-1,2-diol (propylene glycol)

(j)	the following rows are added:‘E 1204PullulanFood supplements as defined in Directive 2002/46/EC in capsule and tablet formquantum satisBreath freshening micro-sweets in the form of filmsquantum satisE 1452Starch Aluminium Octenyl SuccinateEncapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC35 g/kg in food supplement’;	‘E 1204	Pullulan	Food supplements as defined in Directive 2002/46/EC in capsule and tablet form	quantum satis	Breath freshening micro-sweets in the form of films	quantum satis	E 1452	Starch Aluminium Octenyl Succinate	Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC	35 g/kg in food supplement’;
‘E 1204	Pullulan	Food supplements as defined in Directive 2002/46/EC in capsule and tablet form	quantum satis
Breath freshening micro-sweets in the form of films	quantum satis
E 1452	Starch Aluminium Octenyl Succinate	Encapsulated vitamin preparations in food supplements as defined in Directive 2002/46/EC	35 g/kg in food supplement’;

(a)	the following row is inserted after the row for E 967:‘E 968Erythritol’;	‘E 968	Erythritol’;
‘E 968	Erythritol’;

(6)	Annex VI is amended as follows:(a)in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;(b)in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;(c)in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’.	(a)	in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;	(b)	in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;	(c)	in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’.	‘E 473	Sucrose esters of fatty acids	120 mg/l	Products containing hydrolysed proteins, peptides and amino acids’.
(a)	in the first, second and third paragraph of the introductory note ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;
(b)	in Part 3, in the title, in row E 170 to E 526, row E 500, E 501 and E 503, row E 338, row E 410 to E 440, row E 1404 to E 1450 and row E 1451 ‘weaning foods’ are replaced by ‘processed cereal-based foods and baby foods’;
(c)	in Part 4, the following is inserted after row E 472c:‘E 473Sucrose esters of fatty acids120 mg/lProducts containing hydrolysed proteins, peptides and amino acids’.	‘E 473	Sucrose esters of fatty acids	120 mg/l	Products containing hydrolysed proteins, peptides and amino acids’.
‘E 473	Sucrose esters of fatty acids	120 mg/l	Products containing hydrolysed proteins, peptides and amino acids’.

(b)	‘investment firms’ means institutions as defined in Article 4(1)(1) of Directive 2004/39/EC, which are subject to the requirements imposed by that Directive, excluding:(i)credit institutions;(ii)local firms as defined in point (p); and(iii)firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;	(i)	credit institutions;	(ii)	local firms as defined in point (p); and	(iii)	firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;
(i)	credit institutions;
(ii)	local firms as defined in point (p); and
(iii)	firms which are only authorised to provide the service of investment advice and/or receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;

(d)	‘recognised third-country investment firms’ means firms meeting the following conditions:(i)firms which, if they were established within the Community, would be covered by the definition of investment firm;(ii)firms which are authorised in a third country; and(iii)firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;	(i)	firms which, if they were established within the Community, would be covered by the definition of investment firm;	(ii)	firms which are authorised in a third country; and	(iii)	firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;
(i)	firms which, if they were established within the Community, would be covered by the definition of investment firm;
(ii)	firms which are authorised in a third country; and
(iii)	firms which are subject to and comply with prudential rules considered by the competent authorities as at least as stringent as those laid down by this Directive;

b)	investment firms:(i)that do not hold client money or securities;(ii)that undertake only dealing on own account;(iii)that have no external customers;(iv)the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.	(i)	that do not hold client money or securities;	(ii)	that undertake only dealing on own account;	(iii)	that have no external customers;	(iv)	the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.
(i)	that do not hold client money or securities;
(ii)	that undertake only dealing on own account;
(iii)	that have no external customers;
(iv)	the execution and settlement of whose transactions takes place under the responsibility of a clearing institution and are guaranteed by that clearing institution.

b)	12/88 of the higher of the following:(i)the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and(ii)the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).	(i)	the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and	(ii)	the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).
(i)	the sum of the capital requirements contained in points (a) to (c) of Article 75 of Directive 2006/48/EC; and
(ii)	the amount laid down in Article 21 of this Directive, notwithstanding Article 20(5).

List of Decisions under Article 27 of Directive 77/388/EEC repealed by this Directive

GENERAL PROVISIONS

SETTLEMENT/DELIVERY RISK

Particular instruments

Interest rate risk

PART A

PART A

Total zinc

Part A

Purpose

Scope

Definitions

General target

Energy end-use efficiency in the public sector

Energy distributors, distribution system operators and retail energy sales companies

Availability of information

Availability of qualification, accreditation and certification schemes

Financial instruments for energy savings

Energy efficient tariffs and other regulations for net-bound energy

Funds and funding mechanisms

Energy audits

Metering and informative billing of energy consumption

Reports

Review and adaptation of the framework

Committee

Repeal

Transposition

Entry into force

Addressees

1. Energy savings measurements and calculations and their normalisation

Subject matter and scope

Definitions

Obligation to retain data

Access to data

Categories of data to be retained

Periods of retention

Data protection and data security

Storage requirements for retained data

Supervisory authority

Statistics

Amendment of Directive 2002/58/EC

Future measures

Remedies, liability and penalties

Evaluation

Transposition

Entry into force

Addressees

Subject matter and scope

Definitions

Preventive biosecurity measures

Surveillance programmes

Notification

Epidemiological inquiry

Measures to be applied on holdings where outbreaks are suspected

Derogations from certain measures to be applied on holdings where outbreaks are suspected

Duration of the measures to be applied on holdings where outbreaks are suspected

Additional measures based on an epidemiological inquiry

Measures to be applied on holdings where outbreaks are confirmed

Derogations

Derogations concerning certain holdings

Measures to be applied in cases of outbreaks of HPAI in separate production units

Measures to be applied in contact holdings

Establishment of protection, surveillance and further restricted zones in cases of outbreaks of HPAI

Measures to be applied both in the protection and in the surveillance zones

Census and visits by the official veterinarian and surveillance

Measures to be applied on holdings in protection zones

Prohibition on the removal or spreading of used litter, manure or slurry from holdings

Fairs, markets or other gatherings and restocking of game

Prohibition on the movement and transport of birds, eggs, poultry meat and carcases

Derogations for the direct transport of poultry for immediate slaughter and the movement or treatment of poultry meat

Derogations for the direct transport of day-old chicks

Derogations for the direct transport of ready to lay poultry

Derogation for the direct transport of hatching and table eggs

Derogation for the direct transport of carcases

Cleansing and disinfecting of means of transport

Duration of measures

Measures to be applied in the surveillance zones

Duration of measures

Measures to be applied in further restricted zones

Derogations

(c)	the next interest‐fixing date or, for fixed coupon positions, residual maturity corresponds with the following limits:(i)less than one month hence: same day;(ii)between one month and one year hence: within seven days; and(iii)over one year hence: within 30 days.	(i)	less than one month hence: same day;	(ii)	between one month and one year hence: within seven days; and	(iii)	over one year hence: within 30 days.
(i)	less than one month hence: same day;
(ii)	between one month and one year hence: within seven days; and
(iii)	over one year hence: within 30 days.

Categories	Specific risk capital charge
Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional government or local authorities which would qualify for credit quality step 1 or which would receive a 0 % risk weight under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.	0 %
Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities which would qualify for credit quality step 2 or 3 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 28, Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 1 or 2 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Other qualifying items as defined in point 15.	0,25 % (residual term to final maturity 6 months or less)1,00 % (residual term to final maturity greater than 6 and up to and including 24 months)1,60 % (residual term to final maturity exceeding 24 months)
Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 4 or 5 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by institutions which would qualify for credit quality step 3 under the rules for the risk weighting of exposures under point 26 of Part 1 of Annex VI to Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 3 or 4 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.Exposures for which a credit assessment by a nominated ECAI is not available.	8,00 %
Debt securities issued or guaranteed by central governments, issued by central banks, international organisations, multilateral development banks or Member States' regional governments or local authorities or institutions which would qualify for credit quality step 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC, and debt securities issued or guaranteed by corporates which would qualify for credit quality step 5 or 6 under the rules for the risk weighting of exposures under Articles 78 to 83 of Directive 2006/48/EC.	12,00 %

(c)	long and short positions in assets for which a credit assessment by a nominated external credit assessment institution is not available and which meet the following conditions:(i)they are considered by the institutions concerned to be sufficiently liquid;(ii)their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and(iii)they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;	(i)	they are considered by the institutions concerned to be sufficiently liquid;	(ii)	their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and	(iii)	they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;
(i)	they are considered by the institutions concerned to be sufficiently liquid;
(ii)	their investment quality is, according to the institution's own discretion, at least equivalent to that of the assets referred to under point (a); and
(iii)	they are listed on at least one regulated market in a Member State or on a stock exchange in a third country provided that the exchange is recognised by the competent authorities of the relevant Member State;

	20.	The institution shall compute the totals of the unmatched weighted long positions for the bands included in each of the zones in Table 2 in order to derive the unmatched weighted long position for each zone. Similarly, the sum of the unmatched weighted short positions for each band in a particular zone shall be summed to compute the unmatched weighted short position for that zone. That part of the unmatched weighted long position for a given zone that is matched by the unmatched weighted short position for the same zone shall be the matched weighted position for that zone. That part of the unmatched weighted long or unmatched weighted short position for a zone that cannot be thus matched shall be the unmatched weighted position for that zone.Table 2ZoneMaturity bandWeighting (in %)Assumed interest rate change (in %)Coupon of 3 % or moreCoupon of less than 3 %One0 ≤ 1 month0 ≤ 1 month0,00—> 1 ≤ 3 months> 1 ≤ 3 months0,201,00> 3 ≤ 6 months> 3 ≤ 6 months0,401,00> 6 ≤ 12 months> 6 ≤ 12 months0,701,00Two> 1 ≤ 2 years> 1,0 ≤ 1,9 years1,250,90> 2 ≤ 3 years> 1,9 ≤ 2,8 years1,750,80> 3 ≤ 4 years> 2,8 ≤ 3,6 years2,250,75Three> 4 ≤ 5 years> 3,6 ≤ 4,3 years2,750,75> 5 ≤ 7 years> 4,3 ≤ 5,7 years3,250,70> 7 ≤ 10 years> 5,7 ≤ 7,3 years3,750,65> 10 ≤ 15 years> 7,3 ≤ 9,3 years4,500,60> 15 ≤ 20 years> 9,3 ≤ 10,6 years5,250,60> 20 years> 10,6 ≤ 12,0 years6,000,60> 12,0 ≤ 20,0 years8,000,60> 20 years12,500,60	Zone	Maturity band	Weighting (in %)	Assumed interest rate change (in %)	Coupon of 3 % or more	Coupon of less than 3 %	One	0 ≤ 1 month	0 ≤ 1 month	0,00	—	> 1 ≤ 3 months	> 1 ≤ 3 months	0,20	1,00	> 3 ≤ 6 months	> 3 ≤ 6 months	0,40	1,00	> 6 ≤ 12 months	> 6 ≤ 12 months	0,70	1,00	Two	> 1 ≤ 2 years	> 1,0 ≤ 1,9 years	1,25	0,90	> 2 ≤ 3 years	> 1,9 ≤ 2,8 years	1,75	0,80	> 3 ≤ 4 years	> 2,8 ≤ 3,6 years	2,25	0,75	Three	> 4 ≤ 5 years	> 3,6 ≤ 4,3 years	2,75	0,75	> 5 ≤ 7 years	> 4,3 ≤ 5,7 years	3,25	0,70	> 7 ≤ 10 years	> 5,7 ≤ 7,3 years	3,75	0,65	> 10 ≤ 15 years	> 7,3 ≤ 9,3 years	4,50	0,60	> 15 ≤ 20 years	> 9,3 ≤ 10,6 years	5,25	0,60	> 20 years	> 10,6 ≤ 12,0 years	6,00	0,60	> 12,0 ≤ 20,0 years	8,00	0,60	> 20 years	12,50	0,60
Zone	Maturity band	Weighting (in %)	Assumed interest rate change (in %)
Coupon of 3 % or more	Coupon of less than 3 %
One	0 ≤ 1 month	0 ≤ 1 month	0,00	—
> 1 ≤ 3 months	> 1 ≤ 3 months	0,20	1,00
> 3 ≤ 6 months	> 3 ≤ 6 months	0,40	1,00
> 6 ≤ 12 months	> 6 ≤ 12 months	0,70	1,00
Two	> 1 ≤ 2 years	> 1,0 ≤ 1,9 years	1,25	0,90
> 2 ≤ 3 years	> 1,9 ≤ 2,8 years	1,75	0,80
> 3 ≤ 4 years	> 2,8 ≤ 3,6 years	2,25	0,75
Three	> 4 ≤ 5 years	> 3,6 ≤ 4,3 years	2,75	0,75
> 5 ≤ 7 years	> 4,3 ≤ 5,7 years	3,25	0,70
> 7 ≤ 10 years	> 5,7 ≤ 7,3 years	3,75	0,65
> 10 ≤ 15 years	> 7,3 ≤ 9,3 years	4,50	0,60
> 15 ≤ 20 years	> 9,3 ≤ 10,6 years	5,25	0,60
> 20 years	> 10,6 ≤ 12,0 years	6,00	0,60
	> 12,0 ≤ 20,0 years	8,00	0,60
	> 20 years	12,50	0,60

Zone	Modified duration(in years)	Assumed interest (change in %)
One	> 0 ≤ 1,0	1,0
Two	> 1,0 ≤ 3,6	0,85
Three	> 3,6	0,7

	32.	The institution's capital requirement shall then be calculated as the sum of:(a)2 % of the matched duration-weighted position for each zone;(b)40 % of the matched duration-weighted positions between zones one and two and between zones two and three;(c)150 % of the matched duration-weighted position between zones one and three; and(d)100 % of the residual unmatched duration-weighted positions.	(a)	2 % of the matched duration-weighted position for each zone;	(b)	40 % of the matched duration-weighted positions between zones one and two and between zones two and three;	(c)	150 % of the matched duration-weighted position between zones one and three; and	(d)	100 % of the residual unmatched duration-weighted positions.
(a)	2 % of the matched duration-weighted position for each zone;
(b)	40 % of the matched duration-weighted positions between zones one and two and between zones two and three;
(c)	150 % of the matched duration-weighted position between zones one and three; and
(d)	100 % of the residual unmatched duration-weighted positions.

	35.	By derogation from point 34, the competent authorities may allow the capital requirement against specific risk to be 2 % rather than 4 % for those portfolios of equities that an institution holds which meet the following conditions:(a)the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;(b)the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and(c)no individual position shall comprise more than 5 % of the value of the institution's whole equity portfolio.For the purpose of point (c), the competent authorities may authorise individual positions of up to 10 % provided that the total of such positions does not exceed 50 % of the portfolio.	(a)	the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;	(b)	the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and	(c)	no individual position shall comprise more than 5 % of the value of the institution's whole equity portfolio.
(a)	the equities shall not be those of issuers which have issued only traded debt instruments that currently attract an 8 % or 12 % requirement in Table 1 to point 14 or that attract a lower requirement only because they are guaranteed or secured;
(b)	the equities must be adjudged highly liquid by the competent authorities according to objective criteria; and
(c)	no individual position shall comprise more than 5 % of the value of the institution's whole equity portfolio.

	41.	In the case of the underwriting of debt and equity instruments, the competent authorities may allow an institution to use the following procedure in calculating its capital requirements. Firstly, it shall calculate the net positions by deducting the underwriting positions which are subscribed or sub‐underwritten by third parties on the basis of formal agreements. Secondly, it shall reduce the net positions by the reduction factors in Table 4Table 4working day 0:100 %working day 1:90 %working days 2 to 3:75 %working day 4:50 %working day 5:25 %after working day 5:0 %.‘Working day zero’ shall be the working day on which the institution becomes unconditionally committed to accepting a known quantity of securities at an agreed price.Thirdly, it shall calculate its capital requirements using the reduced underwriting positions.The competent authorities shall ensure that the institution holds sufficient capital against the risk of loss which exists between the time of the initial commitment and working day 1.	working day 0:	100 %	working day 1:	90 %	working days 2 to 3:	75 %	working day 4:	50 %	working day 5:	25 %	after working day 5:	0 %.
working day 0:	100 %
working day 1:	90 %
working days 2 to 3:	75 %
working day 4:	50 %
working day 5:	25 %
after working day 5:	0 %.

	43.	Full allowance shall be given when the value of two legs always move in the opposite direction and broadly to the same extent. This will be the case in the following situations:(a)the two legs consist of completely identical instruments; or(b)a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.In these situations, a specific risk capital charge should not be applied to either side of the position.	(a)	the two legs consist of completely identical instruments; or	(b)	a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.
(a)	the two legs consist of completely identical instruments; or
(b)	a long cash position is hedged by a total rate of return swap (or vice versa) and there is an exact match between the reference obligation and the underlying exposure (i.e., the cash position). The maturity of the swap itself may be different from that of the underlying exposure.

(a)	the position falls under point 43(b) but there is an asset mismatch between the reference obligation and the underlying exposure. However, the positions meet the following requirements:(i)the reference obligation ranks pari passu with or is junior to the underlying obligation; and(ii)the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;	(i)	the reference obligation ranks pari passu with or is junior to the underlying obligation; and	(ii)	the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;
(i)	the reference obligation ranks pari passu with or is junior to the underlying obligation; and
(ii)	the underlying obligation and reference obligation share the same obligor and have legally enforceable cross‐default or cross‐acceleration clauses;