Pollution Control Series

PCLS/12/2021-22

System and Procedure

For

Emission Compliance Testing of Retro-fit Emission Control Devices (RECD)

For Diesel Power Generating Set Engines
Up to Gross Mechanical Power 800 kW

01/02/2022

CENTRAL POLLUTION CONTROL BOARD, NEW DELHI

(Ministry of Environment, Forests and Climate Change, Govt. of India)
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 CONTRIBUTION

Planning Coordination & report preparation : Mr. Kedarnath Dash, Scientist ‘D’
Technical input provided by : Dr. Prasanna. G. Bhat, Deputy Director, ARAI.
: Supported by ICAT, IOCL, IIP and IDEMA
Recommended by : Standing Committee on Emission from Off-road Vehicles &
Construction Equipment
In close supervision of : Mr N. K. Gupta, Division Head -UPC-I Division
Technically Recommended by : Dr. Prashant Gargava, Member Secretary

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 INTRODUCTION
National Green Tribunal (NGT) had issued an order/report for the remedial measures to be adopted to enforce
the Ambient Air Quality Standards with reference to the provisions of the Air (Prevention and Control of
Pollution) Act, 1981 (the Air Act) and the Environment (Protection) Act, 1986 (the EPA Act) in cities classified
as ‘Non-Attainment Cities’ (NACs) based on monitoring of the ambient air quality. Further question is
compliance of Noise Pollution (Regulation and Control) Rules, 2000 (Noise Rules) framed under the provisions
of the EPA Act.
Central Pollution Control Board under direction of Ministry of Environment, Forest, and climate Change (MoEF
& CC) has been directed by National Green Tribunal (NGT) to develop & evolve the standard and norms for
use of retrofitted emission control equipment or devices (RECD) having a minimum specified PM capturing
efficiency of 70% for in-use DG sets below 800 kW gross power category vide order/report “Report filed in
O.A. No. 681/2018 dated 6.08.2019”. To prescribe test methods for the above norms a task was entrusted to
ARAI. This standard CPCB–PCLS/12/2021-22 prescribes Test Method, Testing Equipment and related
Procedures for Type Approval testing of retrofitted emission control equipment used for Particulate control
measure of Gensets up to 800 kW Mechanical Gross Power.
While preparing this standard, considerable assistance has been taken from following regulations/documents
ISO 8178- Part 1, ISO 8178-Part 3, ISO 8178-Part 4, ISO 8178-Part 7, ISO 8178-Part 9
E/ECE/324/Rev.2/Add.131/Rev.1/Amend.1−E/ECE/TRANS/505/Rev.2/Add.131/Rev.1/Amend.1 dated 3
February 2015. “Uniform provisions concerning the approval of Retrofit Emission Control devices (RECD) for
heavy duty vehicles, agricultural and forestry tractors and non-road mobile machinery equipped with
compression ignition engines”.
GSR 371 dated 17th May 2002 & “The System & Procedure for Compliance to Emission Limits for Diesel
Engines (Up to 800 kW Mechanical Power) for Genset Applications.
GSR 771(E) dated 11th Dec 2013 and its amendment vide GSR 232(E) dated 31-Mar-2014 & “The System &
Procedure for Compliance to Emission Limits for Diesel Engines (Up to 800 kW Mechanical Power) for Genset
Applications dated 4.07.2014
40 CFR 1065.680
After approval of the standard by SCOE, The Central Pollution Control Board being a Nodal Agency has
published this standard. For better dissemination of this information, CPCB may publish this standard on their
web site.
The Committee Composition for formulation of this standard has been given in Annexure 11

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OVERALL SCOPE

This document lays down the applicability and requirements of system & procedure for compliance of the NGT
order dated 06.08.2019 in the matter of “Report filed in O.A. No. 681/2018 . This is with the objective for PM
reduction by using retrofitted emission control devices (RECD) for in-use diesel operated internal combustion
engines up to 800 kW gross mechanical power for generator set (Genset) application.

The details are covered in following parts:

 Exhaust PM limits, applicability & other requirement

 Certification system and procedure
 Test equipment & Test procedure

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 CONTENTS

Chapter No.
Description Page
/Annexures
1. Scope 8
2. Definitions and Abbreviations 8
3. Exhaust Emission Limits & Applicability 12
4. Type Approval Administrative Procedure 15
4.1 RECD type & RECD family 15
4.2 Selection of certification agency 17
4.3 Application for type approval (TA) 17
4.4 Type approval 19
4.5 Certificate of type approval and validity 19
4.6 Modifications and extension of RECD 20
4.7 General Requirements 21
4.8 Performance Requirement 22
4.9 Modifications to the engine baseline emissions 24

4.10 Particulate Reduction RECD family 24

4.11 Fuel & Specific Fuel Consumption 25
4.12 Operating behaviour and Safety hazard 25
4.13 Noise Emissions 26
4.14 Installation of a RECD 26
4.15 Labelling Requirement 27
4.16 TA test procedure flow chart 28
Appendix 1: Application to Nodal Agency. Affidavit & profile details 31
5. Conformity of Production (CoP) Administrative procedure 34
5.1 General 34
5.2 Verification of conformity of production (CoP) 34
5.3 Sample size, decision, and other criteria for verification of CoP 34
5.4 Sampling plan for CoP 36
5.5 Certificate of Conformity of Production & validity 37
5.6 CoP discontinuity 38
5.7 Exemption from CoP 38
5.8 Production definitively discontinued 38
5.9 Consequences of Non-conformity of production 39

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 5.10 CoP process flow chart 40
Annexure 1 Information document from manufacturer 44
Appendix 1: Information document and Template for submission of engine 44
technical specifications
Annexure 2 Communication – Type Approval and CoP Template to be attached 49
here by Test Agencies
Appendix 1: Certificates, Test reports 51
Annexure 3 Labelling requirement 55
Annexure 4 Test equipment, test bed measurement system and test facility 56
Annexure 5 Method of data evaluation and test result calculation (ISO 8178-4) 57
Annexure 6 Technical characteristics of fuels prescribed for approval test and to 58
verify conformity of production
Appendix 1: Commercial diesel fuel characteristics 58
Annexure 7 Requirements, Tests & Test procedure 59
Appendix 1A Emission test cycle introduction. (ISO 8178-4) 60
Appendix 1B Characteristics of steady state test cycles (ISO 8178-4) 61
Appendix 2 Method of measuring smoke (ISO 8178-3, ISO 8178-9) 63
Appendix 3 Gross power measurement procedure 64
Annexure 8 Requirements with regards to emission control strategies for 67
Particulate control measures
Appendix A. 1: Testing of a particulate reduction RECD is performed in the 66
following series of stages, including an assessment of the emissions of
secondary pollutants and determination of the NO2 emissions:
Appendix A. 2: Technical details for prevention of tampering 74
Appendix A.3: Technical Requirements for Particulate Control Diagnostics 74
Appendix A.4: Operator Inducement System 75
Appendix A.5: Declarations by RECD manufacturer/importer during 76
Certification Process
Annexure 9 Installation & Operational Instructions 77
Annexure 10 Site Monitoring 79
Annexure 11 Composition of Committee 81

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1. SCOPE
This document lays down the applicability and requirements of system & procedure for compliance of the NGT
order dated 06.08.2019 in the matter of “Report filed in O.A. No. 681/2018. This is with the objective for PM
reduction by using retrofitted emission control devices (RECD) for in-use diesel operated internal combustion
engines up to 800 kW gross mechanical power for generator set (Genset) application.

The details are covered in following parts:

 Exhaust PM limits, applicability & other requirement
 Certification system and procedure
 Test equipment & Test procedure

Following ISO 8178 Standards shall be referred wherever stated.

Sr No. Standard Title

Reciprocating internal combustion engines — Exhaust emission
1 ISO 8178-1 measurement — Part 1: Test-bed measurement systems of gaseous and
particulate emission
Exhaust emission measurement — Part 3: Test procedure for
2 ISO 8178-3 measurement of exhaust gas smoke emissions from compression
ignition engines using a filter type smoke meter
Reciprocating internal combustion engines — Exhaust emission
3 ISO 8178-4 measurement — Part 4: Steady-state and transient test cycles for
different engine application
Reciprocating internal combustion engines — Exhaust emission
measurement — Part 9: Test cycles and test procedures for
4 ISO 8178-9: 2019
measurement of exhaust gas smoke emissions from compression
ignition engines using an opacimeter

2. DEFINITION & ABBREVIATTIONS

DEFINITIONS

1.1.1 “Active regeneration” means any additional measure to initiate regeneration either on a periodic or
continuously regenerating RECD.

1.1.2 "Adjustment factors" means additive upward adjustment factor and downward adjustment factor or
multiplicative factors to be considered during periodic regeneration.

1.1.3 “Ageing cycle” means the machine or engine operation (speed, load, power) to be executed during the
service accumulation period.

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1.1.4 “Applicable emission limit” means an emission limit to which an engine is subject to for approval.

1.1.5 “Application range” means the range of engines to which a retrofit emission control device (RECD)
approved in accordance with this Regulation can be applied.

1.1.6 “Applicable PM limit” means the Particulate Matter (PM) limit; absolute or percentage to which a RECD
is subject to for approval.

1.1.7 “Approval of an engine (engine family)” means the approval of an engine type with regards to the level
of the emission of gaseous, particulate and smoke pollutants.

1.1.8 “Approval of a retro-fitment Emission Control Device (RECD)” means the approval of a retro fitment
device type or its family with regard to the level of particulate pollutants reduced by the device.

1.1.9 “Class I retrofit emission control device (RECD)” means a retrofit emission control device which is
intended to control particulate matter emissions only, and which does not increase the direct NO2
emissions.

1.1.10 “Class II retrofit emission control device (RECD)” means a retrofit emission control device which is
intended to control particulate matter emissions only, and which does not increase the direct tailpipe NO2
emissions by more than the percentage specified in paragraph 4.8.3 based on the engine baseline emission
NO2 level.

1.1.11 Reserved

1.1.12 “Constant speed engine” means an engine whose type approval or certification is limited to constant-
speed operation. Engines whose constant-speed governor function is removed, or disabled are no longer
constant-speed engines.

1.1.13 “Continuous regeneration” means the regeneration process of an exhaust after-treatment system or
RECD that occurs permanently or at least once per applicable test cycle.

1.1.14 “Critical emission related components” means the components which are designed primarily for emission
control, that is but not limited to, any exhaust after-treatment system including it’s controls and diagnostics
system, the electronic engine control unit and its associated sensors and actuators, fuel injection equipment,
turbocharger and it’s integral control actuators and the EGR system including all related filters, coolers,
control valves and tubings.

1.1.15 “Declared power (kWm,)” means rated gross mechanical power declared by manufacturer for type
approval at declared rated speed.

1.1.16 “Emissions-related defect” means a deviation from normal production tolerances in design, materials,
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 emission-related defect.

1.1.17 “Engine baseline emission” means the emissions of a given engine or engine system without any retrofit
emission control device. For engines without after-treatment, the engine baseline emissions are equal to
the engine out raw emissions. For engines with after-treatment, the engine baseline emissions are equal to
the tailpipe emissions downstream of the after-treatment system.

1.1.18 “Engine family” means a manufacturer’s grouping of engine systems, which, through their design have
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 similar exhaust emission characteristics, all members of the family must comply with the applicable
emission limit values. Also refer ISO 8178-7.

1.1.19 “Electronic control unit (ECU)” means an engine’s electronic device that uses data from engine sensors
to control engine parameters as primary function. ECU may contain more functionality than stated above
of interest.

1.1.20 “Exhaust after treatment system” means ‘a catalyst (oxidation or 3-way), a particulate filter, a de-NOx
system, a combined de-NOx particulate 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.

1.1.21 “Emission related maintenance” means maintenance which substantially affects emissions, or which is
likely to affect emissions performance deterioration of the engine and Exhaust after treatment system
during normal in-use operation.

1.1.22 “Non-emission related maintenance” means maintenance which does not substantially affect emissions,
and which does not have a lasting effect on the emissions performance deterioration of the machine or the
engine during normal in-use operation once the maintenance is performed.

1.1.23 "Engine system" means the engine, the emission control system and the communication interface
(hardware and messages) between the engine system electronic control unit(s) (ECU) and any other DG
control unit.

1.1.24 “Engine Type” means a category of engines, which do not differ in such essential respects as engine
characteristics as defined in paragraphs 4.0 of this Regulation and ISO 8178 – 4.

1.1.25 “Internal combustion engine (ICE)” means an engine, which works on the either compression-ignition
principle or positive ignition principle utilising liquid, gaseous or combination of both fuels.

1.1.26 "Installer" means a person or body who is responsible for the correct and safe installation of the approved
RECD.

1.1.27 "Manufacturer/Importer/Retrofitter" means the person or body who is responsible to the Nodal Agency
& Test Agency for all aspects of the type-approval and can demonstrate that it possesses the features
required and the necessary means to achieve quality assessment and conformity of production. It is not
essential that the person or body be directly involved in all stages of the construction of the DG set, system,
component or separate technical unit, which is the subject of the approval process.

1.1.28 “On-board operator warning system” means a device that detects incorrect operation or removal of the
RECD.

1.1.29 “Particulate matter (PM)" means the mass of any material collected on a specified filter medium which
is defined in the relevant series ISO 8178 standards.

1.1.30 Reserved.

1.1.31 Reserved

1.1.32 "Periodical regeneration" means the regeneration process of an emission control device that occurs
periodically in typically less than 100 hours of normal engine operation. During cycles where regeneration
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 occurs, emission standards can be exceeded.

1.1.33 “Reduction efficiency” means the ratio between the emissions downstream of the RECD system (EREC)
and the engine baseline emissions (EBase) and both measured in accordance with the procedures defined in
this Regulation and calculated as defined in paragraph 4.8.2.2.

1.1.34 “Reduction level” means a reduction efficiency in percent to be met by the retrofit emission control device
(RECD) in order to be certified as meeting the reduction level specified in paragraph 4.8.2.

1.1.35 “Retrofit emission control device (RECD)” means Retrofit Emission Control Device (RECD) that has a
particulate mass emission reduction efficiency, which qualifies it to be certified as meeting the
classification class as defined in this Regulation. The regeneration system and strategy are part of the
RECD. This includes any sensors, controller and software essential to the operation of the device. Systems
that only modify the existing engine system controls are not considered to be RECDs.

1.1.36 “Retro-fitment Device Family” means OEM/Retrofitter system, which through their design have similar
exhaust emission characteristics, all members of the family must comply with the applicable emission
limit values as per paragraph 4.1.2.

1.1.37 "Scan-tool" means an external test equipment used for off-board communication with the RECD System

1.1.38 "Generic scan-tool" means a scan-tool, which is publicly available, and which shall be capable to read
failure messages.

1.1.39 "Proprietary scan-tool" means a scan-tool, which is used only by the RECD manufacturer and its
authorized dealership, and which shall be capable to read failure messages and to enable an engine start
after activation of the operator inducement system.

1.1.40 “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 and that it complies with the requirements set
out in Annex 1B to this Regulation. Refer also ISO 8178-7.

1.1.41 “Percent load” means the fraction of available torque at a rated engine speed. Also refer ISO 8178-4.

1.1.42 “Power generating set or Genset” means any equipment which is used for electric power generation in
absence or failure of grid power utilizing engine system defined in this document as prime mover.

1.1.43 “Smoke” means particles suspended in the exhaust stream of a diesel engine, which absorb, reflect, or
refract light. Also refer ISO 8178-3.

1.1.44 “Test Cycle” means a sequence of test points each with a defined speed and torque to be followed by the
engine during standardised emission assessment test. Also refer ISO 8178-4.

1.1.45 For domestic products, Date of Manufacture means the date on which the engine is invoiced.

1.1.46 For Imported products, Date of Import means the date of payment of custom duties applicable to the engine
or Genset.

1.1.47 “Useful life” means the relevant period of distance/operating hours and/or time over which compliance
with the relevant particulate emission limits has to be assured.

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 Part- 1

3 Exhaust Emission Limits, Applicability and Requirement

3.1 Exhaust Emission Limits

3.1.1. The emissions of the particulate matter (PM) during emission test/s conducted as mentioned in GSR
771(E) dated 11th Dec 2013 and its amendment vide GSR 232(E) dated 31st Mar 2014 where the PM
limits shall not exceed the as specified in the NGT order / report “Report filed in O.A. No. 681/2018
dated 6.08.2019”, also tabulated in 4.8.2.
3.1.2. The engines/generating sets manufactured & installed before 1.7.2004 or the engines which are not
complying either Stage-I and/or Stage-II emission limits, such engines are to be scrapped. No one
shall sell/use/run the above engines/generating sets.
This rule is applicable to Retrofit Emission Control Devises (RECD) to be installed on all the Phase-
I & Phase-II engines/engine families as mentioned in clause 3.1.3, which have completed five years
from the date/month of engine manufacturing.
3.1.3. Phase-I Engines: The engines complying to emission limits as specified in CPCB Stage-1 /GSR 371
dated 17th May 2002 and the diesel genset engines manufactured/imported on or after 1.7.2004 till
1.7.2014 shall establish the compliance of minimum 70% reduction of Particulate Matter by using
the retrofitted after treatment device/s without adversely affecting any other emission parameters.
Phase II Engines: The engines complying to emission limits as specified in CPCB Stage-2 / GSR
771(E) dated 11th Dec 2013 and its amendment vide GSR 232(E) dated 31-Mar-2014, and the diesel
genset engines manufactured/imported on or after 1.7.2014 shall establish the compliance of
minimum 70% reduction of Particulate Matter by using the retro-fitted after treatment device/s
without adversely affecting any other emission parameters.
Test Cycle
Speed operation Emission Test Cycle
5-mode Constant Speed Cycle
Constant speed engine
(D2 Steady-state discrete mode test cycle specified in ISO-8178-Part 4)
Notes:
(a) The above test cycle and PM reduction limits are applicable for constant speed engines.
(b) Gaseous emissions other than PM shall not be applicable. However, other gaseous emissions &
smoke should not increase than the base values.
(c) The testing shall be done as per test procedures mentioned in CPCB Stage-1 /GSR 371 dated 17th
May 2002 and CPCB Stage-2 / GSR 771(E) dated 11th Dec 2013 and its amendment vide GSR
232(E) dated 31-Mar-2014 as applicable.
(d) Every manufacturer, importer or retrofitter of RECD Supplier for genset application manufactured
or imported into India shall obtain Type Approval and comply with Conformity of Production
(CoP) requirements of their RECD(s) for PM emission reduction limits, which shall be valid for
next CoP year.
(e) RECD system when used and maintained according to the manufacturer’s instructions will
comply with the applicable provisions during normal operation over a useful life.
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 (f) The above-mentioned limit shall be applicable to Type approval and Conformity of Production
(CoP) carried out by authorized test agencies.
The term ‘CoP year’ means the period from 1st July of a calendar year to 30th June of the following
year.
3.2 Rounding off
The final test result shall be rounded in one step to the number of places to the right of the decimal point
indicated by the applicable emission standard plus two additional significant figures, in accordance with
IS:2-1960. No rounding of intermediate values leading to the final brake-specific emission result is
permitted.
3.3 In addition, the following requirements shall apply:

3.3.1. Durability Period and Fixed Deterioration Factor Requirements:

Durability requirement shall be applicable to the retrofitted emission control devices (RECD) as per
following power category.
The applicant shall declare that the RECD system when used and maintained according to the
manufacturer’s instructions will comply with the applicable provisions during normal operation over a
useful life of:

i) RECD Durability Period fitted on the DG engines manufactured/imported between 01.07.2007 to

01.07.2014.

Category (Power Band) Emission durability period

(hours)
Up to 800 kW 4000 or 6 years whichever is earlier.

ii) RECD Durability Period fitted on the DG engines manufactured/imported after 1.07.2014

Category (Power Band) Emission durability period (hours)

Up to 75 kW 4000 or 6 years whichever is earlier.
> 75 kW≤ 800 kW 6000 or 6 years whichever is earlier.

iii) The applicant shall conduct 500 hours for phase –I & 1000 hours for phase –II engines durability
test on an engine and RECD combination. This test shall be either a field test on a typical DG set agreed
between the Test Agency and the applicant or a test on an engine test bed. In the case of testing on an
engine test bed, the ISO-8178 D2-5 mode test cycle shall be used.

The engine for the durability run may be different from the test engine used for tests to establish the
reduction level of the RECD, but shall be an engine within the declared application range of the
particular RECD.

iv) The content of the durability test is as follows:

Phase 1: For phase -1 engines, 500 hours service accumulation of the RECD with recording of all
relevant operating data of the engine concerned including type and consumption of fuel and lubricating
oil, and continuous second-by-second data logging of exhaust temperature before the RECD and pressure

13
 loss over the RECD. In the case of a field test, the RECD shall be sealed by the Technical Service and
the data logging shall be carried out by the RECD manufacturer or by the operator of the DG Set on which
the endurance test is performed.
After completion of the durability run, the RECD system used to demonstrate durability should be used
for any further evaluation testing with the original test engine.
In the event that the original test engine is no longer functional, an engine of the same type may be used
with the prior agreement of the Test Agency. The RECD system shall meet the requirements of clause
3.1 after completion of the service accumulation/after completion of durability period.
Phase 2: For Phase-2 engines, 1000 hours service accumulation of the RECD with recording of all
relevant operating data of the engine concerned including type and consumption of fuel and lubricating
oil, and continuous second-by-second data logging of exhaust temperature before the REC and pressure
loss over the REC. In the case of a field test, the Technical Service shall seal the RECD and the data
logging shall be carried out by the RECD manufacturer or by the operator of the DG Set on which the
endurance test is performed.
After completion of the durability run, the RECD system used to demonstrate durability should be used
for any further evaluation testing with the original test engine.
In the event that the original test engine is no longer functional, an engine of the same type may be used
with the prior agreement of the Test Agency. The RECD system shall meet the requirements of clause
3.1 after completion of the service accumulation/after completion of durability period.

v) Fixed deterioration factors

As an alternative to durability method, RECD manufacturers may select to use the fixed deterioration
factor of 1.05 for the Particulate Matter reduction efficiency.
If fixed DF method is used, the DF shall be demonstrated for the RECD after the durability of 100 hours
running of engine with subjective RECD for Phase -1 & Phase-II engine categories.
Fixed DF:
(Calculated cycle PM efficiency) / DF ≥ PM Reduction Efficiency Limit (70%)

Type approval agency reserves rights for allowing manufacturer to opt for fixed DF option based on
technology evaluation.

Note: When opted for fixed DF, above clauses (i-iv) are not applicable.

a) Particulate control measures: Engines which rely on the use RECD to reduce Particulate Matter
emissions, shall ensure the correct operation of PM control measures, as set out in details in Annexure 8
of this Regulation in details.

b) Gross Power & Speed tolerance: While carrying out the required test on the engine for the compliance
of the retro fitment after-treatment devices, the gross declared power of the engine shall be measured on
the test bench at rated speed of engine. The measured power and speed may differ from the power and
speed declared by manufactured as specified below.

# Gross Power Tolerance Speed Tolerance

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 Type Approval (TA) & ± 6% at rated for single cylinder engines
± 1% at rated
Conformity of Production (CoP) ± 5% at rated for other engines

4 Type Approval Administrative Procedure

4.1 Retro-Fit Emission Control Devices (RECD) type and family

4.1.1. Retro-Fit Emission Control Devices type

The technical features of RECD type shall be those defined in its information document drafted in
accordance with the template set out in Annexure 1.
The RECD devices shall be developed, optimised, and certified for an already certified DG engine
family/s.
4.1.2. Retro-Fit Emission Control Devices family criteria

4.1.2.1. General
For the purpose of type approval & the durability/DF, the RECD shall be divided into model families
certified suitably for the respective engine families consisting of parent RECDs and its variant(s).
RECD family(s) shall be grouped into families similar to that of engines, which through their design are
expected to have similar exhaust emission characteristic where member of the family shall comply with
the applicable emission values.
The Type Approval range describes the power range of engines or engine families to which the RECD
family may be applied.
RECD/RECD family(ies) shall be fitted on an already certified engine/family of engines of different
make & model, which shall have identical technical characteristics as mentioned in 4.1.2.2 (b).
The Type Approval range is limited to the engine family to which the test engine as defined in clause
4.1.2.3.
Parent RECD shall be the RECD selected from the family, in such a way that it will incorporate those
features, which will adversely affect the emission level of the relevant exhaust emission.

4.1.2.2. Retro-fitment Emission Control Device (RECD) family formation & choice of the parent
device.
Essential characteristic of the retro-fitment family:
The parameters defining the retro-fitment device family, the determination of retro fitment device family
and the criteria for choosing the parent device shall be as mentioned below. However, the decision of
selection of parent device and family classification by the authorized test agency shall be final.
For the purpose of identification, the Manufacturer/Importer/Retrofitter shall designate the families as
R1, R2, R3…. Rn.

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 The Manufacturer/Importer/Retrofitter shall provide to the type approval authority the appropriate
information relating to the emissions reduction levels of the members of the retro fitment device family
The RECD /RECD family is limited applicable to the engine/family(ies) of engines/group of families
of engines to which the test engine as defined in clause 4.1.2.3.

The Type Approval range may be extended to:

(a) Other engines/engine families produced by the same engine manufacturer; and
(b) Engines/engine families of other engine manufacturers.

if the applicant can demonstrate that the following criteria features of the engines concerned
are the same as those in the test engine:

i) Exhaust mass flow at the rated speed and power is equal or lower
ii) Method of aspiration (turbocharged or naturally aspirated engine)
iii) With or without EGR
iv) Whether a constant speed
v) Engine baseline emission stage and
vi) With or without an after-treatment system.

4.1.2.3. Choice of the test engines and RECD combination:

(a) The test engines shall originate from an engine emissions family corresponding to the subsequent
application range of the RECD.
A duly overhauled/serviced DG engine as per the engine manufacturer’s recommendation having
below working performance parameters.
i. Phase I Engine: Emission, Smoke & PM values should not exceed 1.5 times of the CPCB
Stage-1 /GSR GSR 371 dated 17th May 2002 and
ii. Phase II Engine: Emission, Smoke & PM values should not exceed 1.25 times of the CPCB
Stage-2 / GSR 771(E) dated 11th Dec 2013 and its amendment vide GSR 232(E) dated 31-
Mar-2014.
(b) The parent engine of respective family of specific engine manufacturer/importer shall be selected
for the emissions & PM measurement.

(c) For Class I and Class II RECD, when combined with the selected test engine the RECD shall have
the highest space velocity or exhaust mass flow rate, as may be applicable within the application
range of the RECD family.

(d) The RECD shall have the minimum volumetric concentration of catalytically active materials
specified by the manufacturer for the RECD family.
When the requirements of sub-paragraph c) and sub-paragraph d), above, are mutually incompatible,
the requirements of sub-paragraph c) shall take priority.
(e) The selected test engine shall comply in both series production condition and in retrofitted condition
16
 with all of the pollutant emissions limits associated with the stage or standard to which it was
originally type-approved. Where DG sets are fitted with on-board diagnostic systems, those systems
shall not be affected with respect to their monitoring function after the retrofit system has been
installed. The characteristics of the electronic engine control unit (as regards, for example, injection
timing, air-mass flow metering, or exhaust emissions reduction strategies) shall not be altered by the
retrofitting. Any modification of the test engine that changes the original emission behaviour (for
example alternation of the injection timing) is not permitted.

(f) Engines certified with exhaust mufflers (with or without containing aftertreatment element) shall be
represented during type approval testing as an actual component or through back-pressure setting and
such element cannot be removed from installations for actual RECD application owing to their
contribution and compliance to noise certification.

4.2 Selection of Certifying Agency

4.2.1. Following test agencies are currently approved by the Nodal Agency Central Pollution Control Board
(CPCB) for purpose of type approval and subsequently conformity of production verification compliance
process and may be revised from time to time.
(a) Automotive Research Association of India (ARAI, Pune)
(b) International Centre for Automotive Testing (ICAT, Manesar)
(c) Indian Institute of Petroleum (IIP, Dehradun)
(d) Vehicle Research Development Establishment (VRDE, Ahmednagar)
4.2.2. One OEM or importer shall submit application for Type Approval to any one of the certification agencies
for its families/models out of those approved by central pollution control board (CPCB).
4.2.3. For a new OEM or importer, selection of technical agencies for type approval certification and
subsequently conformity of production shall be applicant’s choice among the technical agencies published
by central pollution control board (CPCB) in paragraph 4.2.1 and as amended from time to time.
4.2.4. If any manufacturer wants to change the certification agency, he shall seek No Objection Certificate (NOC)
from the existing Certification Agency before approaching another agency. However, in case of any
dispute, the applicant may approach Nodal Agency (CPCB) well in advance with justifiable reason. The
nodal agency, after consultation with the existing certification agency/ standing committee, may approve
the change, if found justified. If approved, the nodal agency shall inform to the parties concerned.
4.2.5. On receipt of information for change in certification agency from the nodal agency, the previous
certification agency shall authenticate all the relevant document of the model (type approval as well as
CoP verification) and forward the same to the new certification agency. The certification agency shall be
responsible for carrying out the type approval testing and CoP verification for the manufacturer in the
future.

4.3 Application of type approval

4.3.1 The application shall be made in the format prescribed in Appendix 1 and must be complete in all respect.
Appendix 1 be submitted to Nodal Agency and on its written acceptance, RECD specification related
documents to be submitted to the test agency as per Annexure –1.

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4.3.2 The application for approval of a RECD or a RECD family with regard to the level of particulate pollutants
shall be submitted by the Manufacturer/Importer/Retro-fitter or by a duly accredited representative.

4.3.3 For each RECD family, the Manufacturer/Importer/Retro-fitter must submit an application to the
certification agency, selected as above.

4.3.4 The application must be signed by the authorized representative of the manufacturer.

4.3.5 It shall be accompanied by the undermentioned documents and the following particulars:

4.3.6 A description of the RECD type comprising the particulars referred to in clause 4.1. of this Regulation and
if applicable the particulars of the RECD family as referred to in paragraph 4.3.1 to this Regulation. For
the purpose of identification, the manufacturer shall designate the engines families as R1, R2, R3 …. Rn
in consultation with technical agency.

4.3.7 Testing of the parent RECD model, shall, normally, be sufficient for type approval of the family. The
Testing agency has the option to carry out the testing of more than one model in the family to satisfy itself,
subject to parent engine-concept as per Annexure 1.

4.3.8 A RECD conforming to the RECD type characteristics described in clause 4.1. shall be submitted to the
Test Agency responsible for conducting the approval test. Test Agency determines that the submitted
engine does not fully represent the engine family described in clause 4.1., an alternative and, if necessary,
an additional RECD shall be submitted for test.

4.3.9 During Type Approval test, the manufacturer shall submit the qualified emission test data of all the
remaining variant RECD if any, other than the parent RECD, which is chosen for emission test by the test
agency of the family along with all other documents.

4.3.10 At later stage if the manufacturer submits the application for type approval of a model, the Testing agency
shall ascertain whether the model can be classified as belonging to a RECD family of model(s) already
certified. If the model does not belong to a RECD family already certified, the Testing agency shall proceed
with the testing of the model for type approval with issuance of new and unique RECD emissions family
certification upon qualification.

4.3.11 If the model belongs to a RECD family already certified, the Testing agency shall decide whether the
specific testing of the model is required. In case the specific testing of the model is not required, the type
approval certificate for the RECD family may be extended to include the model. In such case qualified
emissions data shall be submitted to agency by manufacturer during application.

4.3.12 The Testing agency shall intimate its decision to the applicant within a fortnight of receipt of the
application, indicating need and plan (schedule) of testing for type approval.

4.3.13 Each RECD shall be accompanied by the following information:

(a) The manufacturer’s name and/or trademark.

(b) the make and identifying part number of the RECD as recorded in the information document
issued in accordance with the model set out in Annex 1.
(c) The RECD family as defined in clause 4.1.2.2. including year of manufacture, for which the
RECD is approved, including, where applicable, a marking to identify if the RECD is suitable for
fitting to an engine & family that is equipped with an on-board diagnostic (OBD) system.
(d) The instruction manual for the retrofit installation.
(e) The end-user service manual including maintenance instructions.
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4.4 Type Approval
4.4.1. No person or agency shall sale, import, install or use a RECD for in-use Genset application in India without
valid Type Approval Certificate referred to in Clause 4.5. and 5.4 of this Regulation.
4.4.2. In order to receive a type approval of a RECD type or RECD family, the manufacturer/importer/retrofitter
shall demonstrate compliance, of the RECD type or RECD family with the provisions of this Regulation.
4.4.3. All the type approval tests shall be conducted in the technical agency laboratory. In case the required test
facilities are accredited by the technical agency, the type approval tests can be carried out at
OEM/Retrofitter laboratory also if reasons call for. In case the test is to be carried out at any overseas test
facilities, the same shall be informed to the Nodal Agency by technical agency. The technical agency will
submit a copy of accreditation letter highlighting the details of test facilities available in the manufacture’s
laboratory to the Nodal Agency.
4.4.5. Reserved.
4.4.6 In case, the manufacturer/ importer/ retrofitter allows the use of commercial fuels set out in Annexure -
6 provided to be declared in the information document.
4.4.7. Additionally, in order to receive type approval of a RECD on a Genset with an approved engine with
regard to emissions or a type approval of a Genset with regard to emissions the manufacturer/importer/
Retro-fitter shall ensure compliance with the installation requirements set out in clause 4.14.
4.4.8. The Type Approval Authority shall put together an information package consisting of the information
folder accompanied by the test report and all other documents added by the technical service or by the
Type Approval Authority to the information folder in the course of carrying out their functions (‘the
information package’). The information package shall include an index listing its contents, suitably
numbered or otherwise marked so as to clearly identify all the pages and the format of each document, in
order to present a record of the successive steps in the management of the type approval, in particular the
dates of revisions and updating.

4.4.9. The approval authority shall ensure that the information contained in the information package is available
for a period of at least 5 years following the end of the validity of the type approval concerned.

4.5. Certificate of Type Approval and Validity

4.5.1. After verification of RECD on an already certified engine(s) for the type approval, the technical agency
shall issue a type approval report to manufacturer/importer/retro-fitter within one month from date of
testing completion indicating acceptance or rejection decision and reason thereof.
4.5.2. If the RECD(s) submitted for approval pursuant to paragraph 4.3. of this Regulation meets the
requirements, approval of that RECD on engine type(s) or engine family(s) shall be granted by the
technical agency through issue of Type Approval Certificate as per format prescribed in Annexure 2 along
with report. Copy of the certificate and report shall be forwarded to Nodal Agency by technical agency
involved.
4.5.3. For the purposes of clarity and easing access to relevant data, the communication includes an addendum
containing the most relevant information related with the type-approved RECD & engine type or engine
family.
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 4.5.4. The certificate shall be deemed to be valid for the model(s) included herein, unless explicitly withdrawn
by separate written order by the Nodal Agency.
4.5.5. Validity of Type Approval Certificate issued by type approval authority shall remain valid further as long
as following conditions are met:
i) Till the RECD specifications change as mentioned in Annexure 1 and modification related clauses
described in clause 4.6 below;
ii) Till the further amendments to the notification.
iii) Till CoP is not missed / Till CoP procedure compliance per clause 5.2. is obtained within prescribed
timeframe as listed in clause 5.3.10.

4.6. Modification and Extensions of RECD

4.6.1. If a RECD type or RECD family is type approved and valid, manufacturer/importer//retrofitter may
approach type approval certificate issuing technical agency for modifications pertaining to parent or any
RECD type in the certified RECD family. Such modifications shall be ascertained by
manufacturer/retrofitter utilizing guidelines described in clause 4.6.6.
4.6.2. Manufacturer/importer/retrofitter shall submit technical document in line with type approval procedure
prescribed in this Regulation.
4.6.3. Subjected to scrutiny of manufacture’s application, technical agency shall approve or seek more data
pertaining but not limited to RECD architecture, parameters, similarity with existing RECD type from
emissions and performance perspective along with evidences. Decision of technical agency will remain
finally binding for allowing such amendments to existing type approval certificate of an RECD family
through extension(s) vs asking manufacturer/retrofitter to type approve as new RECD family or RECD
type.
4.6.4. Technical agency retains all rights to ask manufacture/retrofitter to demonstrate modified RECD type
for emissions conformity through applicable type approval test procedures.
4.6.5. Where the Approval Authority approves the modification, a reference to the formal notification of that
approval shall be included in the installation manual for the RECD.
4.6.6. Following generic rules may be utilized as example for extensions of type approval certificate:
4.6.6.1. No emission test requirements necessary:
(a) change to part numbers declared through type approval documentation that is not emission affecting.
(b) part number change of emission affecting component that is just an administrative change supported
with due declarations (proto to production Part number change as an example).
4.6.6.2. Emission test compliance required:
(a) Performance or specification or source change of a component declared through type approval
documentation that is emissions affecting. This applies to any such component in RECD and including
software.
(b) Addition of alternate source component that is emission affecting with or without part number change.
4.6.6.3. Particulate Control Diagnostics compliance required:
(a) In addition to paragraph 4.6.6.2 at discretion of technical agency, if changes to Particulate control
diagnostics limits, strategy, or software is carried out.
(b) Particulate control diagnostics demonstration method through failed part has been changed.

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4.6.6.4. In the event of an extension, the Test Agency shall establish an updated communication denoted by an
extension number that shall be incremental in accordance with the number of successive extensions
previously granted. That communication shall clearly show the reason for the extension and the date of
extension.
4.7. General Requirements:
4.7.1. A RECD approved in accordance with this Regulation shall be designed, constructed and capable of
being mounted so as to enable the application to comply with the rules set out in this Regulation
throughout the normal life of the RECD under normal conditions of use.
4.7.2. A RECD approved in accordance with this Regulation shall be durable. That is, it shall be designed,
constructed and capable of being mounted so that reasonable resistance is obtained to phenomena such
as the corrosion, oxidation, vibration and mechanical stress to which it will be exposed under normal
conditions of use. Specific durability requirements are in clause 3.3.1.
4.7.3. The RECD manufacturer/importer/retrofitter shall provide installation documents that will ensure that
the RECD, when installed on the DG set, will operate, in conjunction with the necessary machinery parts,
in a manner that will comply with the requirements this regulation. This documentation shall include the
detailed technical requirements and the provisions of the RECD (software, hardware, and
communication) needed for the correct installation of the RECD on the DG set.
4.7.4. Devices that by-pass or reduce the efficiency of the RECD are not permitted and shall be considered
defeat device or strategy.
4.7.5. A RECD approved in accordance with this Regulation shall be fitted with an on-board diagnostics and
operator warning system that signals to the operator/control room the presence of a failure affecting the
efficiency of the RECD.
4.7.6. A particulate reduction RECD shall be equipped with a monitoring device that detects incorrect operation
or removal of the RECD and that triggers an audible and/or visual alarm to the operator. For reagent
based particulate reduction, RECD the monitoring device may interrupt the input of any reagent or
additive, if necessary. The warning system can be based for example, on the continuous measurement of
the engine exhaust backpressure.
4.7.6.1. Maintenance requirements
4.7.6.1.1. The RECD manufacturer shall furnish written instructions about the RECD system and its correct
operation to be provided to all operators /control room of DG sets.
These instructions shall state that if the RECD system is not functioning correctly, the operators
/control room will be informed of a problem by the operator warning system and that activation of
the operator inducement system as a consequence of ignoring this warning will result in DG set being
unable to re-start.
4.7.6.1.2. The instructions shall indicate requirements for the proper use and maintenance of the RECD in order
to maintain its emissions performance, including the proper use of consumable reagents where
applicable.
4.7.6.1.3. The instructions shall be written in a clear and non-technical manner using the same language as is
used in the operator's manual on the DG set.
4.7.6.1.4. The instructions shall specify if consumable reagents have to be refilled by the operator by control
room staff between normal maintenance intervals. The instructions shall also specify the required
chemical solution/reagent quality. They shall indicate how the operator/control room should refill the
chemical solution/reagent tank. The information shall also indicate a likely rate of chemical solution
/reagent consumption and how often it should be replenished.

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4.7.6.1.5. The instructions shall specify that use of, and refilling of, a required chemical solvent/liquid/reagent
of the correct specifications is essential in order for the DG set to comply with the requirements for
the issuing of the approval of the RECD for that DG set.
4.7.6.1.6. The instructions shall state that it may be a criminal offence to use a DG set that does not consume
any chemical solution/reagent if the chemical solution/reagent is required for the reduction of
emissions.
4.7.6.1.7. The instructions shall explain how the operator warning and inducement systems work. In addition,
the consequences, in terms of performance and fault logging, of ignoring the warning system and not
replenishing the reagent or rectifying the problem shall be explained.
4.7.6.1.8. The approval shall be conditional upon the following:
The manufacturer providing written maintenance instructions to be given by the
manufacturer/importer/retrofitter/installer to the operator.
The manufacturer/importer/retrofitter/installer providing installation documents for the RECD.
The manufacturer providing a written statement to the manufacturer/importer/retrofitter/installer, to
be given to the operator/control room, on the normal operating conditions (temperature range,
environmental conditions,) within which the RECD will operate correctly.
4.7.6.1.9. A written instruction & guidelines of handling/disposal of any secondary non-regulated pollutants
generating out of the process shall provide to the operator. The pertinent mandatory clauses are
applicable to the regulated & nonregulated generated secondary emission coming out of the RCED
process. Retrofitter/Owner/Operator shall be responsible for the timely disposal of the hazardous and
non-hazardous generated out of the RECD process as per the appropriate disposal laws

4.8. Performance Requirements:

4.8.1. RECD approved under this regulation shall meet all of the following criteria
- the particulate matter emission reduction limit values as specified in paragraph 4.8.2.1 and
paragraph 4.8.2.3
- the NO2 emission requirements as specified in paragraph 4.8.3
- the secondary emissions requirements as specified in paragraph 4.8.3.4
4.8.2. Emissions Limit values
4.8.2.1. The retrofitted engine system shall be governed by the minimum reduction PM limits as specified in the
NGT order / report “Report filed in O.A. No. 681/2018 dated 6.08.2019”.
4.8.2.2. Reduction levels and reduction efficiency
4.8.2.3. The reduction level of a RECD system is characterised by means of its reduction efficiency as specified
in Table 4.8.2:

Table 4.8.2
Reduction levels
Minimum reduction efficiency (%)
PM mass
Reduction level 70

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4.8.2.4. The reduction efficiency shall be determined by comparison of the emissions measured over the weighted
specified test cycle for RECDs to be applied to DG set engines. The reduction efficiency shall be
calculated as defined in 4.8.2.5.
4.8.2.5. The reduction efficiency shall be calculated from the measured emissions of the relevant pollutant
downstream of the RECD (EREC) and the engine system emissions measured before fitment of the RECD
(EBase) for that pollutant, both measured in accordance with the procedures defined in this Regulation:
If two particle measurement systems are used in parallel for measurement of the particle reduction
efficiency, they shall give measurements within 5 per cent of each other when measuring simultaneously
from the same sample point.
4.8.2.6. Reduction efficiency (percent) = (1 - (EREC ÷ EBase)) × 100.
4.8.2.7. Further factors pertaining to tested or fixed Deterioration factor, regeneration factor shall apply as per
respective clauses beyond minimum performance limit prescribed.
4.8.3. NO2 emissions requirements
4.8.3.1. For a Class I REC, there shall be no increase in NO2 emissions above the NO2 baseline emissions if any,
measured as defined in Annex 8. For eliminating emissions test measurement accuracy and repeatability
related decision bias, variation of 5% is assumed ‘no increase’ of NO2 emissions.
4.8.3.2. If applicable, for a Class II RECD, the NO2 incremental increase shall not be more than 20 percentage
points greater than the level recorded when no REC is fitted (baseline). As an example, if baseline NO2
is 10 percent of NOX, the maximum permitted NO2 emission with the REC is 30 percent of NOX
measured as defined in Annex 8.
4.8.3.3. For Class I and II additionally the control of secondary emissions shall be as per paragraph 4.8.3.4.
4.8.3.4. Secondary emissions requirements
4.8.3.5. The manufacturer of the RECD system shall provide documentary evidence to show that materials and
processes used in the RECD do not present any additional hazard to health and the environment.
4.8.3.6. The RECD shall not increase secondary emissions to concentrations known to be hazardous to health.
4.8.3.7. The applicant for approval shall provide an assessment of the performance of the RECD with respect to
secondary emissions. The assessment shall address all likely secondary emissions from the RECD having
regard to its working principle, its design, its method of construction, and the materials employed.
4.8.3.8. The assessment shall, in particular,
a) In cases where the RECD contains copper or copper compounds, address the possible formation
of dioxins.
b) In cases where the RECD makes use of a fuel-borne catalyst, consider the impact upon the
production of secondary emissions of
i) the absence of that catalyst and
ii) its presence at up to twice the recommended or intended concentration.
4.8.3.9. The assessment shall name each of the species of secondary emissions considered.
4.8.3.9.1. The assessment may be based upon sound engineering analysis and judgement, upon the results of
tests or simulations, upon the results of analysis or tests of similar systems or technologies, or upon
any combination of these elements.

23
4.8.3.9.2. For the purposes of this Regulation secondary emissions produced at concentrations not significantly
higher than the concentrations produced by original equipment engine systems shall be considered
not to be hazardous to health.
4.8.3.9.3. The applicant may be required to perform tests for secondary emissions as a prerequisite for approval
in cases where the assessment of the performance of the RECD with respect to secondary emissions
produces a reasonable expectation that the requirements of paragraph 4.8.3.6 will not be met.

4.9. Modifications to the engine baseline emissions:

4.9.1. Any modifications of engine operation parameters which might affect the engine baseline emissions
must be kept within the limits specified by the original engine manufacturer (for example maximum
allowable exhaust gas back pressure or limits set for impact of external devices upon the electrical or
data handling systems).
4.9.2. In cases where additional measures with respect to emission-relevant components or system
components, such as modifications to the exhaust gas recirculation (EGR) control, are necessary in
order to ensure proper functioning of the engine and exhaust after-treatment systems in conjunction
with the RECD, the applicant shall provide a detailed description of the design modification along with
an explanation of how the modification will change the operation and performance of the emission
control strategy. To support its claims, the applicant shall submit additional test data, engineering
justification and analysis, or any other information deemed necessary by the Approval Authority or
Technical Service to address the differences between the modified and original designs.
4.9.3. The emission control system of the original engine manufacturer shall not be modified, except for:
a) Modifications allowed by written permission of the original engine manufacturer or
b) In the case of a Class I or Class II RECD, replacement of an existing diesel oxidation
catalyst providing that
i) The requirements of clause 4.8.3. are met and that
ii) The retrofitted engine system meets at least the limits for the stage to which the
base engine was approved for each of the other controlled pollutants relevant to that
stage.
4.9.4. Subject to the requirements of paragraph 4.9.1. being met, modifications downstream of an original
after treatment system are permitted.

4.10. Particulate Reduction RECD family:

4.10.1. The approval of a particulate reduction RECD will continue to be valid for a nominally similar system
in a different configuration or application provided that it does not deviate from the tested system with
respect to the following features:
a) Type of retention of the active element (for example, adhesive or mechanical fixing), and functioning;
b) Working principle of the active element (for example, metallic or ceramic material, barrier filtration
or aerodynamic separation).
c) Design and characteristics of the filter or other active material (for example, whether it consists of
sheets or plates, or is braided or wound, the cell, material, or non-woven density, the porosity and pore
diameter of barrier filter media, the number of pockets, blades or balls in aerodynamic separators, the
surface roughness of critical components, and the diameters of wires, balls, or fibres).

24
 d) Minimum volumetric concentration of catalytically active materials of the particulate reduction
system including upstream catalysts (if fitted) (grams/m³).
e) Maximum volumetric concentration of catalytically active materials of the particulate reduction
system including upstream catalysts (if fitted) (grams/m³).
f) The design characteristics of the canning or packaging (for example, the storage or
retention of the carrier of the active elements).
g) Volume of each active component (e.g. DOC, filter substrate) which shall be within ±
40 percent of the volume of the tested device;
h) Space velocity and/or exhaust flow rates as maximum value and tested as parent RECD
i) Type of regeneration (whether periodic or continuous).
j) Regeneration principle (for example, catalytic, thermal, electro thermal, any other means)
and regeneration strategy (for example passive, active, forced).
k) Method and control strategy for introducing additives or reagents (if used).
l) Type of additive or chemical solution/reagent (if used).
m) Type of any catalytically active material.
n) With or without an upstream oxidation catalyst.
o) Where the tested device was tested in association with other pollution control devices:
i) the retention of the same arrangement of devices for the RECD under
consideration and
ii) the other pollution control devices being similar in design and principle
of operation to those used during testing
p) A good engineering judgement & scientific method shall be adapted by the test agencies
to classify the other methodologies of RECDs.

4.11. Fuel & Specific Fuel Consumption:

4.11.1. The testing of the RECD shall be conducted with commercially available fuel. The Fuel Specification
as per the Annexure-6.
4.11.2. The specific fuel consumption of the engine fitted with the RECD during the applicable test cycles
shall be not more than 4 percent greater in the retrofitted condition than the mean specific consumption
in the non-retrofitted condition.
4.12. Operating behaviour and Safety hazard:
4.12.1. The RECD shall be so designed that it can be used in its intended applications, when fitted in accordance
with the supplied instructions, without exposing operators or bystanders to any safety hazard either
directly or as result of modifications to the DG set or its operating characteristics.
4.12.2. The RECD shall be so designed that it can be used in its intended applications, when fitted in accordance
with the supplied instructions, without impairment of the operating behaviour of the DG set unless,

a) The impairment does not cause a safety hazard;

b) The impairment does not increase the fuel consumption beyond the level set Clause 4.11

25
 c) The nature and extent of the impairment is clearly stated in the instructions and information that
will be passed to the retrofitter and to the operator and owner.
4.12.3. In order to ensure that the requirements of paragraph 4.14 and Annex 9 with respect to installation and
the provision of information are properly complied with, the RECD manufacturer/importer/retrofitter
shall make an assessment of the safety hazards that might arise from installation of the RECD on the
DG set. In performing this assessment, he shall take as the baseline the level of safety provided by the
DG set when it was first placed on the market.

4.13. Nosie Emissions:

The applicant shall provide evidence that the retrofitting of a RECD in accordance with the supplied
fitting instructions will not lead to an increase of the DG set’s noise emissions. Evidence that the RECD
is intended only to be fitted in addition to the original equipment manufacturers’ standard production
silencer system on a DG set will be considered to fulfil this requirement.
Increase in Noise emission value as specified in the certified original DG set is not permitted. Declaration
supported by the valid documents by the manufacturer showing there is no increase in the noise emissions
shall be submitted.

4.14. Installation of a RECD:

4.14.1. The RECD manufacturer shall provide written installation guidelines and operation and maintenance
instructions in accordance with the requirements of Annex 9.

4.14.2. The attention of the RECD manufacturer/importer/retrofitter is drawn, in particular, to the requirement
in Annex 9 for the guidelines and instructions.

a) to be written in English and preferably additionally local language in which region RECD is sold
or in which the RECD is expected to be used, and to be in clear language appropriate to the
intended readership.
b) to remind the manufacturer/importer/retrofitter/installer of his or her potential legal
responsibilities.
c) to indicate to the end user any requirements for the proper maintenance of the RECD, including,
where relevant, the use of consumable chemical solutions, reagents or additives.
d) to indicate any requirements or limitations on the use of the DG Set that are necessary in order
to ensure safety and correct functioning of the RECD.
e) to specify whether any chemical solutions/reagents/fluids need to be refilled by the DG set
operator between normal maintenance intervals, and to indicate a likely rate of consumption.
f) to specify the type and quality of any consumable chemical solutions/reagents/fluids or additives
used.
g) to remind the owner and operator of the DG set that, where the fitting of the RECD is a condition
for its operation in a particular area, or where fitting of the RECD entitles the DG sets owner to
incentives or privileges, the failure to maintain the RECD in proper working order (including the
failure to ensure a proper supply of any reagent or additive), may be a breach of contract or
constitute a criminal offence.
4.14.3. The RECD manufacturer/importer/retrofitter shall demonstrate to the Approval Authority. The
existence of adequate procedures to select, train and monitor authorised RECD installers.
26
 4.14.4. Any change in the lay out DG set canopy/enclosure arising-out of the fitment of RECD shall be
approved by the test agency.

4.14.5. Retro fitter without any additional cost should make good provision for a porthole/suitable arrangement
just after tail pipe for emission monitoring at a later stage. In case of noncompliance of this, COP may
be denied by the Certification Agency.

4.15. Labelling Requirement:

4.15.1. All DG sets fitted with duly certified RECDs shall be marked with the trade name or mark of the retrofit
manufacturer that is indicated in Annex 3, and the identifying part number as recorded in the
information document issued in accordance with the model set out in Annex 3.

27
4.16. Type Approval Process Flow-Chart:

28
Following are the logical steps for the type approval process flow chart described in brief stepwise
1. Application to nodal agency (CPCB) in the form of affidavit seeking permission for type approval of
RECD family, submission provided as draft specimen in Appendix 1.
2. Upon written approval of nodal agency to manufacturer and chosen technical agency; (This could be
decision-making node with “Yes” / “No” loop).
3. Manufacture contact to selected test agency seeking for type approval of RECD, discuss in brief the
process & formalities. Submit type approval certification application to test agency. Based on
provisions such application can be written or online through their secured portal.
4. Obtain technical agency approval (This could be decision making node with “Yes” / “No” loop with
NO means, provide additional data)
5. Upon agencies application scrutiny and negotiations, submit detailed technical documentation as per
requirements described in Annexure 1.
6. Obtain documentation approval from technical agency, family formation, choice of parent retro
fitment device, provide additional data.
7. Obtain test plan / schedule from technical agency.
8. Upon approval from technical agency plan for providing base engine, RECD, test auxiliaries like -
Silencer, air filter, after treatment systems, engine mounting, coupling plate to match dyno,
components for PCD demonstration etc. In cases the base engine critical component makes, ID nos,
part numbers are mismatched to engine original type approved specification, another engine duly
verified by the RECD supplier shall be submitted for the test.
9. Upon receipt of engine along with auxiliaries, technical agency examines the adaptability in test cell,
make necessary modification in exhaust line, mounts, etc., if required.
10. Conduct performance test for PM reduction to qualify (This could be decision making node with
“Pass” / “Fail” loop. “Fail” means, a) current TA application is closed out with failure report b)
adjust. reset engine parameter for retest or c) further manufacturer may re-apply afresh after
redevelopment)
10.1 Durability testing- service accumulation run (100hr for Fixed DF option)/500hr/1000 hr.
10.2 Engine baseline emission.
10.3 Emission test with RECD.
10.4 Secondary emission requirement.
10.5 NO2 emission requirement.
10.6 Specific fuel consumption requirement.
10.7 Test of RECD for regeneration strategy- Continuous or periodic.
10.8 Test of RECD regeneration characteristic.
10.9 Assessment criteria for periodic regenerating RECD.
10.10 Determination of Particulate reduction level/efficiency.
10.11 Conduct PCD demonstration tests to comply (This could be decision making node with “Pass”
/ “Fail” loop. “Fail” means, a) current TA application is closed out with failure report b) adjust., reset
engine parameter for retest or c) further manufacturer may re-apply afresh after redevelopment)

29
11. Review of PM test results with manufactures and decision about compliance, in case of failure
manufacture have three options to proceed a, b, & c, act accordingly.
12. Technical agency carries out part verification of REC in compliance with document submission, take
final review of technical document and ask manufacture to resubmit if necessary. Engine critical
components shall match with engine type approved document.
13. Manufacturer submit the corrected technical document if found necessary.
14. Examine corrected document submitted in line with the requirement.
15. Technical agency prepares technical report based on tests.
16. Technical agency issues type approval certificate to manufacturer.
17. Technical agency forwards a copy of type approval certificate to nodal agency.

End

30
 Appendix - 1
Application to Nodal Agency. Specimen for Submission of Affidavit & Profile details of
Retrofit Emission Control Device (RECD) manufacturer
Part - A
NOTARISED AFFIDAVIT ON NON-JUDICIAL STAMP PAPER OF Rs.10/-
[To be submitted to the Nodal Agency by a supplier approaching for the first time for TA]

I, …………………., Chairman / President / Managing Director / Partner / CEO / COO / Proprietor of M/s
………………, having Registered Office at …………… engaged in manufacturing /Retrofitting/ import of Retrofit
Emission Control Device (RECD) with manufacturing facilities / ware house at:
i) ………………….
ii) ………………….
am authorized to swear this affidavit for and on behalf of the above named Company. I do hereby solemnly affirm
and declare as under:

1. That the deponent is well conversant with the facts and competent to swear this affidavit.
2. That the deponent declares that M/s …………………… are manufacturer /Retrofitter/ importer of Retrofit
Emission Control Device (RECD) in the brand name
i) ………………….
ii) ………………….
(Strike out if not applicable)

3. That the deponent declares that M/s ……………………. are importer of retrofitting devices from
M/s i) ….………….…. (ii) M/s ………………. (Complete address)
(Strike out if not applicable)

4. That the deponent declares that M/s ……………. will obtain Type Approval / Conformity of Production
verification only from (Name of the Certification Agency) …………… and will not approach any other
Certification Agency for Type Approval / Conformity of Production verification for any of their Retrofit
Emission Control Device (RECD) models, without prior permission from the nodal agency.
5. That the deponent declares that M/s ……………. will manufacture / import and sell only compliant Retrofit
Emission Control Device (RECD) on the brand name ………………………..

(Name & signature with Co. stamp)

(DEPONENT)
VERIFICATION

Verified at …………. on this ……………of ……………20…… that the contents of the above affidavit are true and
correct to the best of my knowledge and belief and nothing has been concealed therein.

Place: ………
Date…………
(Name & Signature with Co. Seal)
(DEPONENT)

31
 Part - B
FORMAT FOR SUBMISSION OF PROFILE AND DETAILS OF THE SUPPLIER

A. Company details

 Name of the Company

 Type of Company: Proprietor / Partnership / Private Ltd / Public Ltd
 Name of the Proprietor / Partners / Directors (submit relevant documents)
 Importer / manufacturer/Retrofitter
 Registered Office Address with phone number
 Contact Address with phone number, fax number, email etc.
 Name and designation of the authorized person for submission of documents and to deal with
the certification agency
 Plant addresses and contact details, in case of manufacturer
 Ware house address, in case of importer (This cannot be changed without prior intimation to
Nodal Agency and Certification Agency)
 Name of the company from whom to import and its contact details, in case of importer
 Plant details, from where to import
 Authenticated Copies of following documents to be submitted
i) Manufacturing License from Directorate of Industries / Department of Industry (in
case of Manufacturer), IEC Code (in case of importer)
ii) GST Registration
iii) Consent from State Pollution Control Board/ Pollution Committee
 No. of employees
 Engineers (if any)
 Last year Turn-over
 Any other business

B. Details of Retrofit Emission Control Device (RECD)(Proposed) manufactured / Retrofitted /

imported

Model Nos. produced /imported Nos. expected to be produced /

Sr No
Names in current year imported in the next year
A
B
C
D

32
C. Details of Infrastructure
D. Land: Owned / Rented
Area (m2):
E. Covered Area
F. Machinery for manufacture
a)
b)
c)
d)
G. Testing facility equipment’s
a) Load bank type and capacity
b) Measuring Instruments
c) Any other
H. Quality Control
1. Quality Control In charge
2. Quality Procedure:
ISO Certified since when (Enclose a Copy of Operating Procedure)
3. Pre-delivery Inspection Procedure on Gensets (including records maintained)
4. System of serial numbering and marking on Genset and their sub-systems – e.g. all Enclosures,
etc.)
5. Any other

Date: ...............
Place: .............
SIGNATURE OF THE
(Chairman /President / Managing Director
/ Partner / CEO / COO / Proprietor)

SEAL OF THE COMPANY

---End---

33
5 Conformity of Production (CoP) Administrative Procedure
5.1 General

5.1.1. Conformity of Production (CoP) compliance is designed to ensure

manufacture’s/importer’s/retrofitter’s compliance and control towards a type approved RECD family
to statistically ensure engines sold under such emission certification does meet required emissions
and other requirements including Particulate diagnostics provisioned by this Regulation.

5.1.2. CoP process compliance also ensures type approval certificate validity and hence right to produce
and sale RECD by a manufacturer/importer/retrofitter owing such type approval certification for the
next CoP-year. Such provision is administratively provided by issuing Conformity of Production
Certificate.

5.1.3. Each manufacture shall subject its RECD model range as mentioned in the clause 4.1.2.3 (a) to the
verification of CoP, every year. For this, the year shall mean the period from 1st July of the calendar
year to 30th June of the succeeding calendar year.

5.1.4. Each manufacturer/retrofitter, as applicable, shall subject RECD model(s) for or Particulate Control
Diagnostics (PCD) compliance test representative of its PCD family as declared during type approval
certification for its entire RECD model range. Depending on RECD types certified, a
manufacturer/importer/retrofitter may need to submit apt and separate representation of engine &
RECD types representing PCD families. Such demonstration and compliance shall be required once
per CoP-year per PCD family. For this, the year shall mean the period from 1st July of the calendar
year to 30th June of the succeeding calendar year.

5.2 Verification of Conformity of Production (CoP)

5.2.1. CoP of RECD families:
RECDs fitted on engines of all ratings shall be subjected to the verification of CoP once for every
500 units per family or once a year, whichever is earlier; -
5.2.2. Wherever applicable, RECDs fitted on engines of all ratings of engines shall be subjected to the
verification of PCD once every CoP-year by PCD family(ies) representative RECD(s). Such
demonstration is PCD family dependant and irrespective of combined volumes produced and sold
under such family(ies).
5.3 Sample size, Decision and Other Criteria for verification of CoP
5.3.1. Testing of RECDs shall be done on sample(s) randomly selected by certification agency from the
production line/import warehouse.
5.3.2. In case of RECDs defined in clauses 5.2. above, testing shall be done on sample(s) randomly selected
by certification agency from the production line/import warehouse for PCD compliance if applicable.
5.3.3. A minimum one-day’s average production volume of the RECD model selected by technical agency,
shall be made available for random selection subject to minimum quantity of 3.
5.3.4. The manufacturer/importer/retrofitter shall request the certification agency when they would like to
make random selection of RECD(s) and to seek their schedule/availability for completing the CoP test.
5.3.5. CoP verification shall be carried out for each plant of the domestic manufacturer. For imported
RECD(s), the CoP testing shall be carried out on the RECD manufactured for each country of origin
irrespective of engine family being same.

34
5.3.6. The certification agency shall intimate to the manufacturer/retrofitter the schedule (month) of
sampling/testing. The manufacturer shall inform the production/ import plan for the month in which
the technical agency wants to carry out the CoP, to the technical agency. If the manufacturer/retrofitter
has a problem due to particular reasons such as the particular model is not likely to be scheduled for
production/import at that time, or enough number of RECD(s) may not be available for random
selection; the time schedule may be modified based on mutual convenience of the
manufacturer/retrofitter and the technical agency.
5.3.7. The manufacturer/retrofitter shall complete all CoP activities (such as random selection, initial running
in, emission testing, Particulate Diagnostics testing and documentation) at least one month before the
end of CoP-year. The CoP certificate shall not be issued in case of non-adherence to above schedule
unless such schedule attainment is due to unavoidable reasons such as but not limited to test facility
downtime, extended CoP process encountered.
5.3.8. Following ‘Table 2’ gives the deadlines for the respective CoP-year for the CoP activities. However,
manufacturer can take early action on each activity to ensure compliance.
5.3.9. Manufacturer must take early action on each activity for the families exceeding 500 units of production
to ensure the compliance of clause 5.2.
5.3.10. CoP Activity Timelines
Table 2
Sr No Activity Description Last Date
1 Submission of production/import plan/actual details to technical agency 1st March
2 Random Selection 1st April
Submission of RCEDs & engines and subsequent testing (Including
3 31st May
extended CoP if any)
4 Completion of documentation and CoP Certificate issuance 30th June

5.3.11. The manufacturer/retrofitter shall inform the technical agency regarding the stoppage of production of
a specific model, in case this has not been anticipated at the start of the CoP period. This shall be
intimated well in advance so that CoP selection of the RECD can be completed by the technical agency
before stoppage of production. Manufacturer/retrofitter is held accountable for ensuring CoP is
conducted and samples are made available per requirements of this Regulation.
5.3.12. The manufacturer/importer/retrofitter shall provide all the assistance required by the technical agency
for completing the tests.
5.3.13. The latest updated technical specifications, procedure of pre-delivery inspection (PDI), running-in,
shall also be submitted before the RECD selection, if there have been revisions after the previous
CoP/type approval.
5.3.14. Pre-delivery inspection as per owner’s instruction manual/service manual will be carried out by the
manufacturer as per procedure declared at the time of type approval and as amended and intimated to
concern technical agency from time to time for the selected engine(s), under the control of technical
agency.
5.3.15. The running if applicable of the RCED and the engine(s) shall be carried out as per the
manufacturer’s/importer/retrofitter’s recommendation submitted during the type approval and as
amended and intimated to the concern technical agency from time to time, for RCED & engine(s) under
control of the technical agency. Running in if applicable may also be carried out at
manufacturer’s/importer’s/retrofitter’s place under the control of technical agency provided adequate
facilities are available. After such running-in procedure, manufacturer will be permitted to carry out all
the adjustments recommended in their owner’s/service manual and as amended and intimated the
35
 concern technical agency from time to time published with technical agency, under the control of the
technical agency.
5.3.16. In case of failure of any major component during the running in or testing, the technical agency may
permit to replace component only once, which has failed and which does not affect the performance
and emission of the RECD. Such decision discretion is entirely with technical agency. In case of failure
of emission affecting component, random selection of RECD at manufacturer’s plant or warehouse
shall be done afresh. If for such randomly selected RECD (second time) or a replaced component fails
again, it shall be reported to the nodal agency by the concern technical agency and agency shall await
instructions from the nodal agency for further action.
5.3.17. The manufacturer/importer/retrofitter shall submit the randomly selected RECD(s) & the representative
engines to technical agency within four weeks (8 weeks in case of import subjected to last date as
mentioned in clause 5.3.10. – Table 2) of completion of running-in for emission compliance test and
Particulate diagnostics test where applicable. Manufacturer/retrofitter also shall supply appropriate
‘failed’ parts for PCD demonstration in line with agreement with technical agency during type approval
certification and documentation.
5.3.18. The technical agency should endeavour to complete the required testing of selected RECD(s) within
four weeks after submission of engine(s).
5.3.19. The testing shall be done as per applicable procedures and specifications described in Annexure 7 with
test facility compliant to requirements specified Annexure 4 while utilizing data evaluation and result
calculation procedures described in Annexure 5 of this Regulation.

5.4 Sampling plan for CoP

5.4.1. Sampling Plan :
5.4.1.1. One RECD sample selected randomly shall be tested as per procedure described in Annex 7 of
this Regulation;
5.4.1.2. If the RECD sample as tested fails to comply with the emisison limits, the manufacturer may ask
for measures to be performed on a sample of RECDs taken from the production series and
including the RECD orignally tested. The manufacturer/retrofitter shall specify the size ‘n’ of the
sample subject to ‘n’ being minimum of 3 and maximum of 10 inclusive of sample originally
tested.
5.4.1.3. The production or import units of all models in the family shall be deemed to compy with
emission limits if following condition is met for each criteria pollutant except for Smoke limits:
𝑥 + k. S < L
Where,
𝑥 = arithmetic mean of the results of the tests conducted on ‘n’ number of samples, for a particular
specie
S = Standard deviation of the results of the tests conducted on ‘n’ number of samples, for the
specie = [Σ (x - 𝑥)2 / (n –1)]1/2
x = results of the tests conducted on ‘n’ number of samples, for the specie.
L= EBase- ( EBase x (PM Reduction Efficiency/100))
k = a statistical factor dependent on ‘n’ number of samples and as given in below table.

36
 Table 4
Values of Statistical Factor ‘k’ with respect to parameter ‘n’
N 2 3 4 5 6 7 8 9 10
K 0.973 0.613 0.489 0.421 0.376 0.342 0.317 0.296 0.279

5.4.2. Miscellaneous failure during CoP

5.4.2.1. Gross Power failure & Emission : For verifing the conformity of production, if the selected
engine does not meet the gross rated power, rated speed & emissions limit as applicable, Another
engine shall be submitted by the RECD supplier & subjected to the emission test for the
conformance of production.
5.4.2.2. PCD demostration failure : For verifing the conformity of production, if the selected RECD
does not meet the compliance requirement with respect to PCD demostration as applicable, the
another two RECDs will be taken from the series at random and be tested as per this part. This
selected RECD should meet the limit values specified.
5.4.2.3. If further same failure noted in any of the additionally selected samples of clause 5.4.2.2 , the
production shall be considered as non-compliance and the provision of clause 5.9 shall be put
into effect.

5.5 Certificate of Conformity of Production (CoP) and It’s Validity

5.5.1. After verification for CoP, the certification agency shall issue a CoP verification report to the
manufacturer/retrofitter within one month of the date of testing completion , indicating compliace or non-
compliance. In case of compliance, the technical agency shall issue a CoP certificate to the manufacturer
as per format prescibed in Annex 2 along with report. At the end of CoP year, detalis of CoP & the copies
of certificate as well as report shall also be forwarded to the Nodal Agency.
5.5.2. Certificate of conformity of production is required to commence the production and sale of RECD(s)
immediately next CoP-year. Validity of current CoP certificate shall be till successful compliance of first
CoP test in next CoP-year.
5.5.3. In given CoP-year for engine type(s) described in clause 5.2.2., successful compliance of CoP for every
500 RECD(s) invoiced by the manufacturer/retrofitter shall enable further production of 500 RECD(s) and
thereafter, in case engine(s) volumes for a particualr RECD family exceed 500 units annually ;
5.5.4. The CoP certificate will be issued at the end once all the numbers of RECD samples demanded as per the
production plan submitted become tested successfully. Intermediate CoP certificate i.e at each sample
tested shall not be issued, However the test data report will be issued at every test sample.
5.5.5. The COP certificate shall be issued on compliance of the prescribed norms and RECD supplier shall
provide a copy of this certificate to the user and obtain a acknoledgmnet for the same from the user.
5.6 CoP Discontinuity
5.6.1. If there is no production or import of model(s) of a particular RECD family for two consecutive years
immediately after obtaining type approval or immediately after obtaining CoP certificate, the type approval
certificate for that particular RECD family becomes invalid. In case the manufacturer wants to maufacture
or import RECD model(s) of such particular engine family, then the manufacture shall approach Test
Agency to obtain a new Type Approval certificate afresh following stated procedure.

37
5.6.2. If there is no production or import of model(s) of a particular RECD family for two consecutive years
immediately after obtaining type approval and if the CoP test is requested for the third year, then the
supplier shall approach Test Agency to obtain approval for the extention of validity of Type Approval.
5.7 Exemption from CoP
In the following cases, RECD family(ies) shall be exempted from CoP process.
5.7.1. In case of no production or import, the manufacturer shall submit a declaration to technical agency for ‘No
production or import’ of a particular family models for every CoP-year.
5.7.2. CoP test shall be conducted by technical agency for the next CoP-year, upon receipt of declaration by the
manaufacturer that there was no production or import during current CoP-year.
5.7.3. Declaration in this regard should be submitted before 31st March the current CoP-year.
5.7.4. Any RECD(s) manufactured for purpose of export outside India. CoP exemption shall apply for such
volumes and CoP test exemption shall apply if all such RECD(s) produced are exported.
5.7.5. Any domestically manufactured/retrofitted RECD(s) intended for the purpose of sample (Maximum
number of 4 units per engine family) only and not for sale in India.
5.7.6. Any RECD(s) imported for the purpose of sample testing, bench making and not intended for any
commercial sale (Maximum nuber of 4 units per year).
5.7.7. Any RECD imported for the round robin or laboratory correlation tests. Such RECDs along with engines
if any, shall be exported back within 12 months from the date of import. Appropriate permissions as
applicable for used engines import if any shall be obtained by manufacturer/importer.
5.7.8. For obtaining exemptions regarding clauses 5.7.5, 5.7.6 and 5.7.7, the manufacturer shall obtain written
approval from Nodal Agency.
5.7.9. Test Agency shall update quarterly compliance status to the Nodal Agency .
5.7.10. In case of any dispute, matter shall be refered to the Nodal Agency.

5.8 Production Definitely Discontinued

5.8.1. If manufacturer decides to discontinue production/withdraw type approval certificate of a specific
RECD(s) family or multiple families from a specific plant or all plants, the manufacturer shall so inform
to Test Agency involved in type approvals and CoP compliance at least three month before the stoppage
of production.
5.8.2. In such case, the manufacturer shall ensure CoP compliance for the RECD family(ies) from every
manufacturing plant before the production of the RECD family(ies) is discontinued following CoP
compliance process described in clauses 5.1.1., 5.1.2, 5.1.3 and 5.1.4 of this Regulation.
5.8.3. Upon receiving the relevant communication, the Test Agency shall inform the manufacturer/retrofitter the
acceptance of the communication and provide an acceptance letter.

38
5.9 Consequances of non compliance
5.9.1. If the CoP vertification report of the technical agency for a model family indicates non-compliance, the
manufacturer must stop manufacturing/retrofitting with immediate effect all models within the said
emissions family.
5.9.2. Further, the manufacturer/retrofitter must analyze the reasons for non-compliance, plan to take corrective
actions in design, production line and units already produced and submit a report to the nodal agency with
a copy to concern technical agency withing four weeks of the receipt of the CoP verification report.
5.9.3. If the manufacturer is unable to diagnose the reasons for non-compliance within stipulated time, this shall
be clearly stated in the report.
5.9.4. Based on the diagnostics and corrective action plan submitted by the manufacturer.
5.9.5. The Nodal Agency in consultation with technical agency and if both decide to, in consultation with
standing committee, may take any of the following actions:
1) Allow continuation of production or import of all models in the family if it is satisfied with the
corrective actions planned or taken by the manufacturer and ability to meet emission norms.
2) Allow continuation of production or import of some or all other models of the RECD family if it
determines that the reasons for non-conformance of the tested model are not relevant to these models;
with or without additional verification of CoP in due course.
3) Stop production or import of some or all other models of the RECD family till compliance is
demonstrated by the supplier, through a re-verification of CoP. In case of imported model(s), the non-
compliant RECD(s) should be sent back to the original destination.
5.9.6. The manufacturer/importer shall be given an opportunity to explain it’s views before taking final decision.
5.9.7. It is responsibility of the manufacturer/retrofitter to ensure at his cost that the modifications are carried out
such as field retro fitment campaigns within period specified by the Nodal Agency on all products
produced as well as sold / dispatched in the period between the dates from which the CoP became due and
re-verification of CoP or as decided by the Nodal Agency, in consultation with standing committee.
5.9.8. Nodal Agency with help from Technical agency shall audits compliance in field on random basis for
corrections done and issues closure letter to manufacturer.
5.9.9. Further, to avoid such non-compliances again in future, following precautionary measures shall be initiated
to strengthen the process which will be followed for next two CoP year after re-certification & resuming
the production with new modified spec.
a) CoP compliance shall be established once for every 250 units of production.
b) First CoP compliance to be established before crossing 50 units of production once production
resume with modified spec.
c) CoP activities to be completed in all by 31st March every CoP year for the next three year.

39
5.10 CoP Process Flow Chart

40
Following are the logical steps for the CoP process flow chart described in brief stepwise-
CoP cycle shall end with either -
I. CoP compliance with regular sample testing (Steps 1-16)
II. CoP compliance with extended samples testing (Steps 17-18)
III. CoP non-compliance after extended testing (Steps 19-30)

CASE I:
1. Manufacturer with valid Type Approval and CoP certification submits annual estimated production
volume data to technical agency involved in the format provided within two months of start of new CoP-
year.
2. Technical agency communicates to manufacturer RECD type chosen and the number of samples needed
for CoP compliance test for all RECD families of that manufacturer within one month of submission of
above production volume data.
3. Technical agency also communicates to the manufacturer plan for CoP of RECD random selection based
on manufacture’s input above;
4. Manufacturer coordinates adhering to technical agency provided or negotiated plan and coordinates for
engine random selection at manufacturing plants.
5. At plant, manufacturer provides with minimum required sample size for random selection.
6. Technical agency representative carries out random selection and does note RECD critical component part
and serial numbers. Provides with appropriate seal for avoiding tampering of assembly parameters further.
Technical agency representative randomly selects base engine.
Technical agency representative can also carry out random selection of an PCD family if from chosen
representative RECD family for PCD compliance utilizing the same pool of RECD offered.
7. Decision if running –in is carried out at manufacturer’s location or technical agency location.
If running in is agreed to be carried out at manufacture’s facility, running-in shall be started in presence of
technical agency representative.
8. RECD along with base engine shall be transported to technical agency test location.
9. Upon receipt of RECD & base engine along with auxiliary technical agency examine the adaptability in
test cell, make necessary modification in exhaust line, mounts, etc., if required.
10. Technical agency communicates the test schedule to manufacture for his witness.
11. Technical agency carries out performance test and emissions test per applicable procedure and shares
results with manufacturer.
12. Technical agency carries out critical component type/part numbers, injection timing verification and match
with type approved document, in case any change noted, manufacturer to provide the declaration in this
regard, till time CoP certificate will be on hold.
13. Review of test result & decision on compliance.
14. If CoP compliance is obtained, the technical agency shall prepare the compliance certificate within 4 weeks
from the date of testing. Base engine, RECD & test auxiliary is returned to the manufacturer.
15. Technical agency issue compliance certificate to manufacturer.
16. Technical agency forwards a copy of compliance certificate to Nodal agency.

41
CASE II:
17. ECoP: If non-compliance observed after testing (at Stage No 13), process begins from extended random
selection of RECD(s) as per preferred options prescribed in this regulation.
17.1 Initially test 2 more RECDs
17.2 Computation of the test statistic result of 3 RECD (1-originally tested + 2 new)
a) According to the appropriate clause, does the test statistic result agree with the criteria for failing
the series
b) According to the appropriate clause, does the test statistic result agree with the criteria for passing
the series
17.3 If, answers of a & b are NO, then; continue the testing on additional samples till pass decision is
made provided limitation of samples tested as applicable (10 numbers)

18. If during testing if the pass decision criteria is reached, the series is deemed to be compliance and CoP
certificate is issued (then continue from Stage14-16)

CASE III:
19. If during testing if they fail decision criteria is reached, the series is deemed to be non-compliance;
Or if Manufacturer opts to declare non-compliance without availing total number of samples allowed to
be tested, the series is deemed to be non-compliance
20. Technical agency prepares the CoP failure report
21. Technical agency issue CoP failure report to manufacturer
22. Technical agency informs nodal agency about CoP non-compliance of said RECD family
23. Manufacturer stops production or import of the said non-compliant RECD family;
Manufacturer informs nodal agency about non-conformity, stoppage of production and dispatch and their
plan for failure investigation within 4 weeks of receipt of CoP verification report
24. Nodal agency discusses with test agency in details on the non-compliance notified.
25. Nodal agency replies to the manufacturer about their inputs on timelines by which compliance shall be
obtained as well as failure root cause and corrective action plan submission. Nodal agency also informs
about any financial penalty or assurance required from the manufacturer;
26. Manufacturer submits root cause analysis and corrective action plans to nodal agency in consultation with
technical agency.
27. Nodal agency in consultation with technical agency reviews manufacture’s submissions and decides if
such case shall be put forth for standing committee review and guidance.
If decided to represent at standing committee, nodal agency brings this issue to standing committee and
allows manufacture to represent their submissions. If standing committee agrees / approves manufacturer’s
submission and plan then;
28. If nodal agency decides on their own, then;
28.1. Nodal agency gives written permission to technical agency to proceed with re-verification of CoP
with improvements implemented by manufacturer and also type approval re-certification as the
case may be.

42
 28.2. Manufacturer offers RECD sample and technical documentation to technical agency and complies
with CoP.
28.3. Technical agency issues compliance certificate or type approval certificate if newly approved as
an option.
28.4. Manufacture begins production after obtaining new Type Approval or CoP compliance certificate.
28.5. Manufacturer completes corrective actions on RECD(s) dispatched during period of CoP and CoP
failure date.
29. Manufacturer complies with ‘financial assurance related’ documents asked by Nodal Agency;
30. Manufacturer submits corrective action/campaign report with adequate evidences to the Nodal Agency
31. The Nodal Agency with help from the technical agency audits compliance in field for corrections done
and issues closure letter to manufacturer.
End

43
 Annexure 1

Information document
Information Document No - PCLS/12/2021-22 relating of Pollution Control Series to the type-approval of
Retrofit Emission Control Devices (RECD) for In-Use DG sets equipped with compression ignition
engines.

A list of the main components has to be attached to describe the range of validity of the type-approval. Any
drawings and part lists shall be supplied in appropriate scale and sufficient detail on size A4 or on a folder
of A4 format. Photographs, if any, shall show sufficient detail.

Upon request of the Approval Authority, further information may be needed for REC family members to
demonstrate compliance with paragraphs 4.10. of this Regulation, as appropriate.

If the system, components or separate technical units have electronic controls, information concerning their
performance shall be supplied.

Appendix 1: Brief Technical Data & Specifications of RECD Used for Genset Application

Parent RECD RECD types within the RECD family

S. No Item Description Type (if applicable)
Type 1 Type 2 Type 3 Type n
1 GENERAL INFORMATION
1.1 Make (trade name of manufacturer)

1.2 Name and address of manufacturer

(Type approval Certificate Owner)
Name and address of manufacturer's
authorised representative with
1.3
contact telephone number and email
address
Name(s) and address(es) of
1.4
assembly/manufacture plant(s)
1.5 RECD family designation
1.6 RECD type/model designation
RECD Category
1.7
(Domestic/Imported)
Location and method of affixing of
1.8
the approval mark

44
2 DESCRIPTION OF THE DEVICE
2.1 Class of RECD
Make(s) (Commercial name), and
2.2 manufacturer’s type identification of
the RECD
Identifying part number(s) of the
2.3
RECD
Engine/ Engine Family for which the
2.4 RECD is intended (application
range)
Number(s) and/or character(s)
2.5 characterising the engine baseline
emission(s) performance
Number(s) and/or character(s)
2.6 characterising the achieved engine
emission(s) performance
PM Reduction level of the RECD
2.7
claimed
Is the RECD intended to be
2.8 compatible with OBD requirements:
Yes / No
Description and drawings showing
2.9 the position of the RECD relative to
the engine exhaust manifold(s)
Maximum design exhaust flow rate
2.10
of the RECD in kg/s
Maximum allowable exhaust back
pressure of the RECD in kPa @
2.11
maximum design flow rate stated
above
CHARACTERISTICS OF THE PARTICULATE REDUCTION REC AND
3
PARTICULATE REDUCTION REC FAMILY
Dimensions, shape and active
3.1 volume of the particulate matter
reduction system
Maximum distance to the RECD
inlet permissible from the outlet of
3.2 the turbocharger (turbine) or the
outlet plane of the exhaust manifold
where no turbocharger is fitted.
Description drawings and part lists
3.3 of the Particulate Matter (PM)
reduction RECD

45
 (The description shall include a list of
the main components (stating the part
numbers) that are assembled to a RECD
for each application. Furthermore, the
description shall provide all information
necessary to permit decisions relating to
the RECD family to be made
Type of retention of the active
3.4 element (for example, adhesive or
mechanical fixing)
Working principle of the PM
reduction active element (for
example metallic or ceramic material
3.5
including material type, barrier
filtration or aerodynamic separation
or any other)
Design and characteristics of the
3.6
filter or other active material
Type(s) of catalytically active
3.7
material(s) (if any)
3.8 Physical design of the substrate
Cell density, porosity, mean pore
3.9
size and pore size distribution
Location (upstream/downstream),
function and working principle (e.g.
3.10
oxidation) of any supplementary
catalyst(s):
Type(s) of catalytically active
3.11
material (s):
3.12 Physical design of the substrate
3.13 Cell density
Minimum volumetric concentration
of catalytically active materials of
each element of the particulate
3.14
reduction system including
supplementary catalysts (if fitted)
(grams/m³):
Maximum volumetric concentration
of catalytically active materials of
each element of the particulate
3.15
reduction system including
supplementary catalysts (if fitted)
(grams/m³)
The design characteristics of the
3.16
canning or packaging

46
3.17 Volume of each active component
Method or system of regeneration
3.18 (comprehensive description through
separate document and/or drawing)
Type of regeneration (for example
3.19
periodic or continuous)
Regeneration principle, frequency
3.20
and strategy
Method and control strategy for
3.21 introducing additives or reagents (if
used):
Type and concentration of reagent(s)
3.22
or additive(s)
Frequency of reagent or additive
3.23
refill
Description of PM reduction system
3.24
monitoring
Description of any modifications to
3.25 the original engine or emissions
control system
Normal operating temperature (Deg.
3.26
C) and pressure range(kPa)
3.27 Use of insulation (yes/no)
Design and characteristics of the
3.28
insulation
4 ANY ADDITIONAL INFORMATION
4.1 Please specify
4.2 Please specify

4.3 Please specify

4.4 Please specify

4.5 Please specify

5 ENGINE TYPE (S) FOR WHICH THE REC DEVICE IS QUALIFIED

(APPLICABLE RANGE)
4.1 Engine manufacturer
Engine Type Approval certificate
4.2 number (Refer engine compliance
name plate)
4.3 Model year from/to
4.4 Engine type/Model
4.5 Rated Power kW @ RPM

47
 4.6 Capacity/displacement (Litre)
4.7 Bore x Stroke (mm)
4.8 No of cylinder
4.9 Capacity / cylinder (Litre)
4.10 Engine Baseline emissions
Is silencer replaced? Explain
4.11 alternate noise compliance means if
Yes
4.12 Type identification of the RECD
4.13 REC Type/model
4.14 PM Reduction Level/Efficiency
4.15 Any other, Please specify
4.16 Any other, Please specify

6 ATTACHMENT ENCLOSED- DOCUMENTS/ DRAWINGS/ LAYOUT ETC.

6.1 Please specify
6.2 Please specify
6.3 Please specify
6.4 Please specify
6.5 Please specify
7 MANUFACTURER’S SIGNATURE AND SEAL/ STAMP
Manufacturer Document No
Name
Revision status
Signature/Seal
Designation Revision date
Date Sheet No.

48
 ANNEXURE 2
Certificate – Type Approval and CoP Template to be attached here by Test
Agencies
TA/CoP Certificate No. Cert. issued Date:

Cert Report Spec Total

CERTIFICATE 1 4 pgs.
OF
TYPE APPROVAL/EXTENSION/CONFORMITY OF PRODUCTION FOR THE YEAR…
for
Retro-fit Emission Control Devices (RECD) Compliance to Diesel Power Generating Set Engines Up to Gross
Mechanical Power 800 kWm, as Per NGT Order in reference to OA No 681; 6th August 2018; order issued on
06th August 2019.

M/s. Manufacturer’s Name & Address.

Based on the verification of documents & trials conducted on RECD Type/model “XXXX” (Family R…)
manufactured/imported by M/s. XXXX XXXX XXX/ and randomly selected from their XXX plant,/it is certified
that the following RECD models of family R… complies with the provisions of Type Approval/Type Approval
Extension/Verification of the Conformity of Production (CoP) as per para XX of CPCB System Procedure
number CPCBXXXX (Retro-fit Emission Control Devices (RECD) Compliance to Diesel Power Generating Set
Engines Up to Gross Mechanical Power 800 kW, as Per NGT Order/report “Report filed in O.A. No. 681/2018
dated 6.08.2019”.

Parent RECD RECD types within the RECD family

S No Item Description Type (if applicable)
Type 1 Type 2 Type 3 Type n
1 Manufacturing Plant address
2 Manufacturer's trade name or mark
3 RECD family designation
4 RECD type/model designation
5 RECD Category (Domestic/Imported)
6 Class of RECD
7 Type Identification of the RECD
8 Location of type ID marking
9 Identifying part number(s) of the RECD
Engine/ Engine Family for which the
10
RECD is intended (application range)
11 PM Reduction Efficiency of the RECD
Designed for fitment to an engine
12 meeting the emissions requirements of
(Regulation and Stage):
13 Manufacturing period in of CoP

Validity of the Certificate: This Certificate is valid upto dd/mm/yyyy subject to conducting COP by dd/mm/yyyy.
In case of proposed closure/ discontinuation of this activity, it is to be informed just after conducting COP.

49
Disclaimer: As appropriate
Authorized Signatory - 1 Test Agency Authorized Signatory- 2
Seal/Stamp
Head of the test executed department Head of the Test agency/ Technical agency
Reference: Report No. XXX/XXXXX/XXX, Dated dd-mm-yyyy
Place of Issue: Page 1 of 1

50
 TYPE APPROVAL/ EXTENSION/ CONFORMITY OF PRODUCTION (CoP) TEST REPORT
Annexure to Certificate Number
Report No. Report date
Date of Test Test Site
Date of application CoP Period (incase of COP) CoP Year
Performance test on RECD for Type Approval / CoP for the year…./ as per para XX of CPCB System Procedure
number CPCBXXXX (Retro-fit Emission Control Devices (RECD) Compliance to Diesel Power Generating Set
Objective
Engines Up to Gross Mechanical Power 800 kWm, as Per NGT Order/ report “Report filed in O.A. No. 681/2018
dated 6.08.2019”.
Manufacturer
Manufacturing Plant
Brief Specification of Base Engine on which RECD has been tested
Base engine Type Approval Certificate No. Eng Sr No Date of Mfg.
Engine Manufacturer NA / TC / TC-IC WC / AC
Engine Model No.of Valves/Cyl Bore x Stroke mm
DI / IDI No. of Cylinders Swept Volume Litre
INLINE / V Rated Power Rated Speed
Any Specific Mechanical governor/ Electronic governor / FIP Inline, Rotary,CRDI, PT, Unit Injector / EGR / DOC etc
Brief Specification of RECD Type/ Model tested
RECD Family RECD Type /Model
Identifying Part number(s) Type Identification of the RECD
Class of REC RECD Sr No tested
Any Specific

a) "System Procedure number CPCBXXXX" on Retro-fit Emission Control Devices (RECD), published by CPCB
Test Procedure b) Measurement of CO, HC, NOx & PM as per D2-5 Mode Cycle of ISO-8178 (Part 1)
Reference
c) Measurement of exhaust gas smoke (m -1) as per ISO-8178(Part 3)
d) Test diesel fuel as per the specifications given in the System Procedure number CPCBXXXX
Test Equipment Used Make Model
Dynamometer
Exhaust gas analysis system
Particulate measurement system
Air flow meter
Fuel consumption meter
Smokemeter
Intake air conditioning system
Weighing micro balance
Summary of Performance Test Results

NOx HC NOx+HC CO PM Smoke Corr. Power SFC NO2

Emissions
g/kWh g/kWh g/kWh g/kWh g/kWh m-1 KW g/kWh g/kWh
Baseline emission
RECD fitted emission
Regeneration adjustment factor for PM Application method : Addititive/ mutiplicative/ upward/
Final PM result with Regeneration adjustment factor downward
S No Requirement Result / Impression/ Remark
1 Performance of an endurance run
2 Verification of the engine baseline emissions
3 Determination of emissions with the REC fitted
4 Results of the reduction efficiency
5 Secondary emission requirement
6 Determination of the NO2 emissions and other regulated pollutants
7 Specific fuel consumption requirement
8 Test of REC for regeneration strategy
9 Test of REC regeneration characteristic
10 REC to demonstration compatibility with OBD/PCD requirements
11 Exhaust back pressure requirement
12 Engine gross power, rated speed & smoke requirment
13 Declaration on Noise emissions
14 Any other please specify
The engine + RECD system meet the requirement in force from dd-mm-yy (Power range upto 800 kW) as per
System Procedure number CPCBXXXX (Retro-fit Emission Control Devices (RECD) Compliance to Diesel Power
Conclusion
Generating Set Engines Up to Gross Mechanical Power 800 kWm, as Per NGT Order/ report “Report filed in O.A.
No. 681/2018 dated 6.08.2019”.

Test Enginer Reviewer Approved by Authorized Signatory-1

51
1) Annexure I - Baseline emissions test data sheet
Enclosures 2) Annexure II - REC fited Emissions test data sheet
3) Annexure III - Engine type(s) for which the REC device is qualified (application range)
Page 1 of 4
 ANNEXURE - I
BASE LINE EMISSION PERFORMANCE RESULTS
ANNEXURE TO REPORT NO: REF. SHEET NO : XXXX

TEST DATE TEST SITE TEST STANDARD

RECD MANUFACTURE BORE X STROKE(mm) DYNAMOMETER
BASE ENGINE MANUFACTURER NO OF CYLINDERS DYNO CONSTANT
BASE ENGINE MODEL CUBIC CAPACITY F.C. METER
BASE ENGINE SERIAL NO RATED_SPEED EMISSION ANALYZER
RECD TYPE/ MODEL FUEL COND. AIR SYSTEM
RECD IDENTIFICATION NO SULPHUR CONTENT OF FUEL AIR FLOW METER
RECD SR NO SMOKE METER P.M. EQUIPMENT

Fuel Flow Power BSFC Air Flow Air Fule P_Exh Power Corr.
Sr No Speed Torque Fuelling T_Air In RH P_Baro Fa P_AID P_Man T_Man Smoke
Rate obs. obs Rate Ratio Back Factor

-- (rpm) (N-m) (Kg/hr) (kW) (g/kWh) (mm³/str/cyl) (°C) (%) (kPa) (Kg/hr) (-) (-) (mmH2O) (mmHg) (bar) (°C) (m -1 ) (-)
1
2
3
4
5

Dry-Wet Humidity
NOx CO HC CO2 NOx CO HC Power
Sr No O2 NO2 Corr. Corr. NO2 WF NOx* WF CO * WF HC *WF NO2 *WF Power Corr.
(Wet) (Dry) (WET) (Dry) Corr. Corr. Corr. *WF
Factor Factor

52
-- (ppm) (ppm) (ppm) (%) (% ) (ppm) (-) (-) (g/h) (g/h) (g/h) (g/h) (-) (-) (-) (-) (-) (-) (-)
1
2
3
4
5

WEIGHTED SUM

WEIGHTED MASS EMISSIONS AS PER 5-MODE CYCLE

NOx : (g/kwh) CO (g/kwh) HC (g/kwh) PM (g/kwh) NO2 (g/kwh)

kPa Max Smoke m-1

MAX. ALLOWABLE INTAKE DEPRESSION DECLARED BY MANUFACTURER :
MAX. ALLOWABLE EXHAUST BACK PRESSURE DECLARED BY MANUFACTURER : kPa
MAX. ALLOWABLE INTAKE MANIFOLD TEMPERATURE DECLARED BY MANUFACTURER (IN CASE OF TC-IC) : Deg C

PARTICULATE MEASUREMENT :
(a) PARTICULATE MASS (mg) (c) Gedf WEIGHTED AVERAGE (kg/h) Test Agency
(b) Msam TOTAL (gm) (d) PM correction factor Humidity (kp) Seal/Stamp

Test Remark : 1) BASE LINE EMISSION TEST

TEST ENGINEER REVIEWER AUTHORISED SIGNATORY 1 Page 2 of 4

 ANNEXURE - I
RECD FITTED EMISSION PERFORMANCE RESULTS
ANNEXURE TO REPORT NO: REF. SHEET NO : XXXX

TEST DATE TEST SITE TEST STANDARD

RECD MANUFACTURE BORE X STROKE(mm) DYNAMOMETER
BASE ENGINE MANUFACTURER NO OF CYLINDERS DYNO CONSTANT
BASE ENGINE MODEL CUBIC CAPACITY F.C. METER
BASE ENGINE SERIAL NO RATED_SPEED EMISSION ANALYZER
RECD TYPE/ MODEL FUEL COND. AIR SYSTEM
RECD IDENTIFICATION NO SULPHUR CONTENT OF FUEL AIR FLOW METER
RECD SR NO SMOKE METER P.M. EQUIPMENT

Fuel Flow Power BSFC Air Flow Air Fule P_Exh Power Corr.
Sr No Speed Torque Fuelling T_Air In RH P_Baro Fa P_AID P_Man T_Man Smoke
Rate obs. obs Rate Ratio Back Factor

-- (rpm) (N-m) (Kg/hr) (kW) (g/kWh) (mm³/str/cyl) (°C) (%) (kPa) (Kg/hr) (-) (-) (mmH2O) (mmHg) (bar) (°C) (m -1 ) (-)
1
2
3
4
5

Dry-Wet Humidity
NOx CO HC CO2 NOx CO HC Power
Sr No O2 NO2 Corr. Corr. NO2 WF NOx* WF CO * WF HC *WF NO2 *WF Power Corr.
(Wet) (Dry) (WET) (Dry) Corr. Corr. Corr. *WF
Factor Factor

53
-- (ppm) (ppm) (ppm) (%) (% ) (ppm) (-) (-) (g/h) (g/h) (g/h) (g/h) (-) (-) (-) (-) (-) (-) (-)
1
2
3
4
5

WEIGHTED SUM

WEIGHTED MASS EMISSIONS AS PER 5-MODE CYCLE

NOx : (g/kwh) CO (g/kwh) HC (g/kwh) PM (g/kwh) NO2 (g/kwh)

kPa Max Smoke m-1

MAX. ALLOWABLE INTAKE DEPRESSION DECLARED BY MANUFACTURER :
MAX. ALLOWABLE EXHAUST BACK PRESSURE DECLARED BY MANUFACTURER : kPa
MAX. ALLOWABLE INTAKE MANIFOLD TEMPERATURE DECLARED BY MANUFACTURER (IN CASE OF TC-IC) : Deg C

PARTICULATE MEASUREMENT :
(a) PARTICULATE MASS (mg) (c) Gedf WEIGHTED AVERAGE (kg/h) Test Agency
(b) Msam TOTAL (gm) (d) PM correction factor Humidity (kp) Seal/Stamp

Test Remark : 1) RECD FITED EMISSION TEST

TEST ENGINEER REVIEWER AUTHORISED SIGNATORY 1 Page 3 of 4

 ANNEXURE - III
ENGINE TYPE (S) FOR WHICH THE REC DEVICE IS QULALIFIED (APPLICABLE RANGE)

RECD types within the RECD family

S. No Item Description
Type 1 Type 2 Type 3 Type n
1 Engine manufacturer
Engine Type Approval certificate
2 number (Refer engine
compliance name plate)
3 Model year from/to
4 Engine type/Model
5 Rated Power kW
6 Capacity/displacement (Litre)
7 Bore x Stroke (mm)
8 No of cylinder
9 Capacity / cylinder (Litre)
10 Engine Baseline emissions
11 Silencer replaced
12 Type identification of the REC

54
13 REC Type
14 PM Reduction Level
Designed for fitment to an
engine meeting the emissions
15
requirements of (Regulation and
Stage):
16 Any other, Please specify
17 Any other, Please specify

Test Agency
Seal/Stamp

TEST ENGINEER REVIEWER AUTHORISED SIGNATORY 1

Page 4 of 4
 ANNEXURE 3
Labelling Requirements
A3.1. The RECD set or the product must be affixed with a conformance label meeting the following
requirements.

A3.1.1. General Requirement

a. The label shall be durable and legible;

b. The label shall be affixed on a part necessary for normal operation of the RECD or the product
and not normally requiring replacement during the life of the RECD or the product;
c. This label has to be permanently fixed to the RECD, and shall be clearly readable after
installation of the RECD and the labels cannot be removed without destroying or defacing
them.
d. To ensure visibility of such a label in an installed system, the manufacturer may provide a
duplicate label for fitment by the RECD installer. Such label shall clearly include the word
"duplicate" and shall be fixed on genset canopy
e. All the information mentioned in the conformance label must be in English language;

A3.1.2. RECD Conformance Labelling Content Requirement

a. Name the RECD manufacturer or the importer or the retrofitter (Type approval certificate
holder)
b. Manufacturing plant address from where RECD is manufactured
c. RECD Model name;
d. Class of RECD (I, II,);
e. RECD identifying part number as recorded in the information document issued in accordance
with the model set out;
f. RECD Unique Identification Number (Serial Number, etc.);
g. Date of manufacturing and in case of import, date of import of RECD;
h. Type Approval certificate number;
i. Statement that ‘this DG set & RECD confirms to the NGT order “Report filed in O.A. No.
681/2018 dated 6.08.2019.”
j. Retrofitted date
k. Letter ‘R’ to denote that the DG set is retrofitted as per the NGT order. The Letter ‘R’
shall be engraved on the conformance label. The letter(s) should have a minimum size
of 7 mm.

55
 Part- 2

ANNEXURE 4
Test equipment, test bed measurement system and test facility

A4.1 Requirement

A4.1.1 Test facility: The test facility to be used shall be of the certification agencies or any other facility
approved by these certification agencies. The test shall be carried out under the control of the
certification agencies.

A4.1.2 Test bed measurement system and equipment: Test bed measurement system and equipment’s
of gaseous and particulate shall be as per the guideline given in the applicable ISO-8178-1:
Reciprocating internal combustion engines — Exhaust emission measurement — Part 1: Test-
bed measurement systems of gaseous and particulate emission.

Smoke measurement equipment shall be as per the guideline given in the applicable ISO-8178-
3 Reciprocating internal combustion engines — Exhaust emission measurement — Part 3: Test
procedure for measurement of exhaust gas smoke emissions from compression ignition engines
using a filter type smoke meter

Method of smoke equipment shall be the guideline given in the ISO 8178-9:2019
Reciprocating internal combustion engines — Exhaust emission measurement — Part 9: Test
cycles and test procedures for measurement of exhaust gas smoke emissions from compression
ignition engines using an opacimeter

56
 ANNEXURE 5

Data evaluation, test result calculation of gaseous & particulate

emission, test execution and measurement procedures

A5.1 Requirement

A5.1.1 Method of test execution, measurement procedures, data evaluation and calculation of
gaseous and particulate emission shall be as per the guideline given in the applicable ISO-
8178-4: Reciprocating internal combustion engines — Exhaust emission measurement — Part
4: Steady-state test cycles for different engine applications.

A5.1.2 Method of smoke measurement shall be as per the guideline given in the applicable ISO-
8178-3: Reciprocating internal combustion engines — Exhaust emission measurement — Part
3: Test procedure for measurement of exhaust gas smoke emissions from compression ignition
engines using a filter type smoke meter.

Method of smoke measurement shall be the guideline given in the ISO 8178-9: Reciprocating
internal combustion engines — Exhaust emission measurement — Part 9: Test cycles and test
procedures for measurement of exhaust gas smoke emissions from compression ignition engines
using an opacimeter.

Selection of smoke measurement method shall be at the discretion of the test agency and
decision shall remain final.

57
 ANNEXURE 6
Technical characteristics of fuels prescribed for approval tests and to verify
conformity of production tests
1. Technical data on fuels for testing compression-ignition engines
1.1. Type: Diesel
For Type approval and Conformity of Production (CoP) test, fuel shall be commercial fuel as
prescribed in Table 1

Appendix 2
Commercial diesel fuel characteristics

Table 1

Commercial Diesel Fuel

Characteristics Unit Requirements
Ash, max % mass 0.01
Carbon Residue (Ramsbottom) on 10 % % mass 0.3
residue, max without additives
Cetane number (CN), min 51
Cetane Index (CI), min 46
Distillation :
95% vol. recovery at 0C, max 0
C 360
Flash point :
0
a) Abel, min C 35
0
Kinematic Viscosity @ 40 C Cst 2.0-4.5
0 3
Density @15 C kg/m 845
Total Sulphur, max. mg/kg 10
Water content, max mg/kg 200
Cold filter Plugging point (CFPP)
0
a) Summer, max C 18
0
b) Winter, max C 6
Total contaminations, max mg/kg 24
3
Oxidation stability, max g/m 25
Polycyclic Aromatic Hydrocarbon % mass 11
(PAH), max
Lubricity, corrected wear scar diameter µm
0
@ 60 C, max (microns) 460
Copper strip corrosion for 3 hrs @ 500C Rating Class – 1
FAME content max. % v/v 7.0
Note :
• Test methods and other provisions / details along with the requirements as given above
shall be issued by Bureau of Indian Standards. * FAME content shall apply as per current
specification limits amended/enforced time to time.
• The Cetane number (CN), ( min) shall be permitted up to 48 in North Eastern States till
01.04.2023

58
 ANNEXURE 7

Tests and Test Procedures

7.1. General
Engines and RECDs shall be designed, constructed and assembled so as to enable them to comply
with the provisions of this Regulation.
7.1.1. The technical measures taken by the manufacturer shall be such as to ensure that the gaseous and
particulate pollutant is effectively limited, as set out in Regulation throughout the emission
durability period and under normal conditions of use.
7.1.1.1. For this purpose, the engine final emission test result calculated according to the requirements
shall not exceed the PM emission limits set out in clause 4.8.2.3 & table 4.8.2 when:
(a) tested in accordance with the test conditions and detailed technical procedures set out in
Annexure 5 to this Regulation.
(b) using the fuel(s) specified in Annexure – 8
(c) using the test cycles specified in Appendix 1 A, 1B and Appendix 8 to Annexure 7 of this
Regulation.
7.1.2 Reserved
7.1.3 In accordance with Appendix 1 and Annexure 8 and Annexure 7 of this Regulation, the testing of
an engine & RECD type or engine & RECD family to determine whether it meets the PM emission
limits set out in this Regulation shall be carried out by using the commercial fuel.
7.1.4 As regards the conduct of measurements and tests, the technical requirements shall be met in
respect of:
(a) apparatus and procedures for the conduct of tests.
(b) apparatus and procedures for emission measurement and sampling.
(c) methods for data evaluation and calculations.
(d) methods for determining and taking account of continuous or infrequent regeneration of
exhaust after-treatment systems.
7.3. The technical requirements relating to emission control strategies as set out in Annexure 8 to this
regulation shall apply.
7.4. The use of defeat strategies shall be prohibited.
7.5. RECD types and RECD families shall be designed and fitted with emission control strategies in
such a way as to prevent tampering to the extent possible.

59
 Appendix 1 A
Emission Test Cycles Introduction

A1A.1. Test cycles

The type-approval test shall be conducted using D2 5 mode constant speed cycle for constant
speed application.
A1A.1.1 Steady-state test cycles
Steady-state test cycles are specified in Appendix 1 B of this Annexure as a list of discrete
modes (operating points), where each operating point has one value of speed and one value of
torque. A steady-state test cycle shall be measured with a warmed up and running engine
according to manufacturer's specifications.
A1A.1.1.1. Steady-state discrete mode test cycles
The steady-state discrete mode test cycles are hot running cycles where emissions shall be
started to be measured after the engine is started, warmed up and running as per specified
boundary conditions. Each cycle consists of a number of speed and load modes (with the
respective weighing factor for each mode) which cover the typical operating range of the
specified engine category.

60
 Appendix 1 B
Characteristics of the steady-state test cycles

A1B.1. Test cycles applicable to Genset engine categories are set out in Tables A1B-1

Table A1B-1

Test cycles for Genset engine categories

Speed
Category Purpose Test Cycle
operation
5-mode Constant Speed Cycle
Constand Constant speed engine (D2 Steady-state discrete mode
Genset
speed engine upto 800 kW test cycle specified in ISO-8178-
Part 4)

A1B.2. Steady-state constant speed test cycles:

The detailed description of the test modes and weighting factors for the steady-state discrete-
mode test cycles for constant speed genset engines are set out in tables A1B-2.
i) Constant Speed Test Cycle
Table A1B-2

Test modes and weighting factors

Mode number
1 2 3 4 5
(cycle D2)

Speed (a) 100%

Torque (b) (%) 100 75 50 25 10

Weighting
0.05 0.25 0.3 0.3 0.1
factor

Mode length (Second) 600 600 600 600 600

(a) Rated speeds as declared by manufactured

(b) Per cent torque is relative to the torque corresponding to the rated gross power declared by the
manufacturer.

Note: Reference applicable ISO 8178-4:

Reciprocating internal combustion engines — Exhaust emission measurement — Part 4: Steady-state and
transient test cycles for different engine applications.
61
 5 mode constant-speed test cycle

Rated Speed

Weighting Factor

100% Mode-1
0.05
Torque [ % ]

75% Mode-2
0.25

50% Mode-3
0.3

25% Mode-4
0.3

10% Mode-5
0.1

Speed [ rpm ]

62
 APPENDIX 2

Method for measuring Smoke

A2.1 Method of smoke measurement shall be as per the guideline given in the applicable ISO-
8178-3: Reciprocating internal combustion engines — Exhaust emission measurement —
Part 3: Test procedure for measurement of exhaust gas smoke emissions from compression
ignition engines using a filter type smoke meter.

Method of smoke measurement shall be the guideline given in the ISO 8178-9:2019
Reciprocating internal combustion engines — Exhaust emission measurement — Part 9:
Test cycles and test procedures for measurement of exhaust gas smoke emissions from
compression ignition engines using an opacimeter.

A2.2 Smoke limit is applicable to type approval and as well as conformity of production as set
out in clause 4.1.2.3 & 4.8.2.

A2.3 If the measurement of smoke is in different unit, then to be convert it in m-1 unit with
acceptable conversion formula.

A2.4 For verifing the conformity of production, if the selected engine does not meet the smoke limit
as applicable, another engine be tested as per this part. This selected engine should meet the
limit values as specified.

63
 APPENDIX 3

Gross Rated Power Measurement Procedure

1.0 Declared rated power (kWm) means rated gross mechanical power declared by manufacturer
for type approval.

2.0 Gross observed power shall be the criteria for adjusting dynamometer load as well as calculating
the specific emission values.

3.0 The declared rated gross power shall be verified and corrected as mentioned below.

4.0 Power observed in the emission test cycle for all test mode points shall be corrected as per
mentioned below formula and 1st mode corrected power is the corrected rated gross power.

5.0 Power Corrections Factors:

Definition: The power correction factor is the coefficient by which the measured power must be
multiplied to determine the engine power under the reference atmospheric conditions specified as
below

Pcorr = α Pobs
Where,
Pcorr is the corrected power (i.e. power under reference atmospheric conditions)
α is the correction factor
Pobs is the measured power (test power)

Reference atmospheric conditions:

 Temperature (T): 298 K
 Dry pressure (Ps): 99 kPa
Note: The dry pressure is based on a total pressure of 100 kPa and a water vapour pressure
of 1 kPa.

Test atmospheric conditions:

The atmospheric conditions during the test shall be the following:

 Temperature (T): Between 283 K and 313 K
 Pressure (P): Between 80 kPa and 110 kPa

Determination of correction factor:

(The tests may be carried out in air-conditioned tests rooms where the atmospheric conditions
may be controlled.)
The power correction factor α for diesel engines at constant fuel delivery is obtained by applying
the formula:

α = fa fm
64
 where,
fa – the atmospheric factor
fm- the characteristic parameter for each type of engine and adjustment

Atmospheric factor (fa):

This factor indicates effect of environmental conditions (pressure, temperature and humidity) on
the air drawn in by the engine. The atmospheric factor differs according to the type of the engines.
 Naturally aspirated and mechanically pressure charged engines:
fa = (99/Ps) x (T/298) 0.7
 Turbocharged engines with or without cooling of charge air:
fa = (99/Ps) 0.7 x (T/298) 1.5

Engine Factor (fm):

fm is a function of Qc (fuel flow corrected) as follows,
fm = 0.036 Qc – 1.14

where, Qc is Q/r and

 Q – the fuel delivery in milligrams/cycle per litre of engine swept volume
(mg/1.cycle)
 r is the pressure ratio of compressor outlet and compressor inlet (r = 1for naturally
aspired engines)
Note:
a. This formula is valid when Qc is 40 ≤ Qc ≤ 65
b. For Qc values lower than 40, a constant value of fm equal to 0.3 (fm=0.3) will be taken
c. For Qc values higher than 65, a constant value of fm equal to 1.2 (fm=1.2) will be taken

6.0 The gross declared corrected power of the engine shall be measured on a test bench at rated
speed of the engine. The measured power and speed may differ from the power and speed
specified by the manufacturer as specified below:

Declared rated corrected gross Power & speed tolerance

 For Constant speed engine
(i) For Type Approval & Conformity of Production:

 For single cylinder engines, at rated power point, ± 6% of the type approved figure
 For all other engines, at rated power point, ± 5% of the type approved figure

Declared rated Speed at rated power point shall vary within ± 1%

7.0 For verifying the conformity of production, for the selected engine, if the gross power and rated
speed does not meet the limits, another engine shall be submitted for the testing.

8.0 The fuel temperature shall be maintained at 38 ±5 deg C throughout the test.

9.0 Single & two-cylinder engines shall be tested with the engine intake system. All the other
engines shall be tested with either air intake system of applying maximum declared air intake
depression of clean air intake.

65
10.0 The engine shall be tested with the maximum exhaust backpressure values declared by the
manufacturer. In case of the engines fitted with exhaust after treatment device and external EGR
system, the manufacturer shall declare exhaust backpressure values at all five test points. The
engine will be tested with the declared exhaust backpressure values set at laboratory condition
with a tolerance of ±10% at rated load. At part load points the tolerance shall be as low as
possible in the test laboratory conditions.

11.0 The no-load speed or high idle speed and overload speed shall be verified and documented
against value specified by the manufacturer.

66
 Annexure 8

Requirements with regard to emission control strategies for Particulate

control measures (for Class I or Class II)

Appendix A.1
Testing of a particulate reduction RECD is performed in the following series of stages, including an assessment
of the emissions of secondary pollutants and determination of the NO2 emissions:

1. Performance of a service accumulation run.

The service accumulation run shall be performed in accordance with the requirements of paragraph 3.3 of
this Regulation.
2. Measurement of engine baseline emissions and specific fuel consumption without RECD fitted.

2.1. The engine baseline emissions shall be measured by performance of an emissions test on the engine
system without the RECD in accordance with the requirements of Regulation CPCB Stage-1 /GSR 371
dated 17th May 2002 & CPCB Stage-2 / GSR 771(E) dated 11th Dec 2013 and its amendment vide GSR
232(E) dated 31-Mar-2014 as appropriate to the application and Type Approval level of the base engine.
The smoke limits established as per the clause 4.1.2.3/4.8.2.

2.2. To enable the determination of reduction efficiency the emissions are measured by performance of an
emissions test in accordance with the requirements of clause 4.8.2.2. of this Regulation.

2.3. The specific fuel consumption (g/kWh) shall be measured by performance of the emissions test in
paragraph 2.2. of this Annex.

3. Determination of PM emissions, fuel consumption and reduction efficiency with the RECD fitted after
service accumulation run.

3.1. The emissions measured by performance of an emissions test on the engine system in accordance with
the requirements of Regulation CPCB Stage-1 /GSR 371 dated 17th May 2002 & CPCB Stage-2 / GSR
771(E) dated 11th Dec 2013 and its amendment vide GSR 232(E) dated 31-Mar-2014 as appropriate to
the application and intended emission level of the candidate RECD with the RECD fitted in accordance
with the requirements of this Regulation.

3.2. For determination of reduction efficiency, the PM emissions are additionally established by performance
of an emissions test with the RECD fitted in accordance with the requirements of paragraph 4.8.2.2. of
this Regulation.

3.3. The increase in the gaseous emissions measured after fitment of RECD should not increase by more than
5% of the base value measured as per paragraph 2 of this Annex.

3.4. The specific fuel consumption (g/kWh) shall be established by performance of the emissions test in
paragraph 3.2. of this Annex.

4. Determination of particulate reduction RECD regeneration strategy and regeneration

characteristics
67
4.1. The particulate reduction RECD regeneration strategy (periodically or continuously) and the regeneration
characteristics are established by use of the following procedure.

4.2. Considering within technical merits, RECD manufacturer’s assessment and declaration of type of PM
regeneration including protective regeneration event that is being used.

4.3. In order to assess the regeneration performance of a particulate reduction RECD at least 25 test cycles
shall be carried out. The test cycle used shall be a cycle appropriate to the emissions stage or standard that
the RECD system is intended to permit the DG Set to meet.

The gaseous emissions and the particulate mass, when appropriate, shall be measured during at least each
fifth test cycle.

A separate test of the particulate reduction system is carried out for each family or application range
defined in the type approval procedure for the engine with which the RECD system is intended to be used.
That is, one system test takes place for each application area.

Above regeneration performance test can be combined along with the DF assessment test cycle with
scrutiny and prior approval from the technical agency concerned.

4.4. A particulate reduction RECD is considered to have been proved to have a continuously operating
regeneration process if a suitable assessment variable can be regarded as constant over at least 25
applicable test cycles. The average particulate emission and the average exhaust gas backpressure or
differential pressure across PM capture element of RECD are regarded as suitable assessment variables
for this purpose.

If an applicant wishes to use one or more different assessment variables, he shall present a robust technical
case to the Approval Authority in support of his request to do so.

Where a continuously regenerating system as defined above also contains provision for active
regeneration, then the assessment criteria defined in paragraph 4.7. of this Annex shall be applied.

The PM mass emission and the exhaust gas backpressure are considered constant within the meaning of
this regulation where there is a coefficient of variance of less than 25 percent over 25 test cycles. The
exhaust gas backpressure is measured continuously for the purposes of this assessment and the particulate
emissions are measured during at least every fifth test cycle.

The coefficient of variance (CoV) is calculated as follows.

Coefficient of Variance  Standard deviation X (n)

Average value X (n)
with:

and:
Average value  ( x1  x2  ...  xn ) / n
where:
68
 n= number of measured values
x= respective single measured value

4.5. Test of the regeneration characteristic of a particulate reduction RECD

This testing is carried out by loading the system with particulate matter until a constant exhaust gas
backpressure is reached or over a time period of a maximum of 100 hours if no constant value for the
backpressure has been achieved before that time. The exhaust gas backpressure is considered constant if,
when measured after a period of at least 50 hours, the exhaust gas backpressure does not vary by more
than plus or minus 4 mbar within a period of 30 min. The test points of the cycle used for loading the
system are to be selected so that a maximum exhaust gas temperature of 180°C at the inlet of the particulate
reduction system is not exceeded.
After the RECD has been loaded with particulate matter until the backpressure is constant, or after a
maximum of 100 hours of running to load the system as defined above, regeneration is activated. This
can, for example, be activated by running the engine at a higher load mode step so as to increase the exhaust
temperature. After completion of the regeneration, exhaust gas measurements are to be taken during at
least three iterations of the appropriate test cycle (D2-5 mode cycle.) The measured exhaust gas pollutant
values shall not deviate from the measured exhaust gas pollutant values before the RECD loading
procedure by more than 15 percent for the gaseous emissions or more than 20 percent for the particulate
mass.
The manufacturer shall confirm in writing that the maximum temperatures occurring during the
regeneration process will not damage or significantly shorten the effective life of the RECD.
As an alternative to using the loading procedure described above, the manufacturer may provide a
particulate reduction RECD already loaded to the limit for the regeneration test.

4.6. Assessment criteria for continuously regenerating particulate reduction RECD

The RECD system test of the particulate reduction RECD is considered satisfactory if the particulate
emissions measured as defined in paragraph 4.8 of the Regulation are met.

4.6.1. Regulated pollutants

The emissions of the regulated pollutants & PM measurements are determined by measurements taken
immediately after the tests to establish the regeneration characteristics.
The emissions of the regulated pollutants (CO, HC, PM and NOX) in the initial condition and in the
retrofitted condition shall be within the limit as mentioned in the paragraph 4.1.2.3 & 4.8.2. The NO2 to
NOX ratio for the initial condition and the retrofitted condition is to be recorded and shown in the test
report.
The determination of the NO2 and NOX mass emissions is to be determined by simultaneous
measurements.
4.7. Assessment criteria for periodically regenerating particulate reduction RECD

This provision only applies to RECDs, which utilise active regeneration.

The emissions shall be measured during at least three appropriate test cycles, one of the cycles from which
measurements are taken should include a regeneration event on a stabilized RECD system. The other two
69
 cycles from which measurements are taken should be cycles in which regeneration does not occur. If
regeneration takes longer than one test cycle, consecutive test cycles shall be run until regeneration is
complete.
The RECD manufacturer shall declare the conditions under which the regeneration process normally
occurs (the particulate loading, temperature, exhaust backpressure, or other relevant parameters.). The
manufacturer shall also provide the frequency of the regeneration event in terms of the fraction of tests
during which the regeneration occurs. The exact procedure used to determine this fraction should be agreed
with the manufacturer by the Approval Authority on the basis of good engineering judgement. (This
frequency fraction is the factor F in the procedure for calculation of nominal particulate emissions set out
below),
For a regeneration test, the manufacturer shall provide a particulate reduction RECD system that has been
loaded with particulate matter. As an option, the manufacturer may run consecutive test cycles as set out
in paragraph 4.4. until the particulate reduction RECD is loaded. Emissions measurement is not required
on cycles run for the purposes of loading the RECD with particulate matter.
Average emissions between regeneration phases shall be determined from the arithmetic mean of several
tests approximately equidistant in terms of the number of unmeasured test cycles between them. As a
minimum, at least one test cycle as close as possible prior to a regeneration test and one test cycle
immediately after a regeneration test shall be included in the calculation of the arithmetic mean.
During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NOX
emissions, temperature before and after the RECD, exhaust backpressure, and any other relevant
parameters). It is permissible for the applicable emission limits to be exceeded during the regeneration
process. The test procedure is shown schematically in figure 1.1.

Figure 1.1.:
Scheme of periodic regeneration

The system test of a periodically regenerating particulate reduction RECD is considered passed if the
[nominal] particulate emissions calculated using the procedure set out below are within the limit set
for the reduction level for which the applicant wishes the RECD to be approved.

70
4.7.1. Regulated pollutants

The emissions of regulated pollutants (CO, HC, PM and NOX) shall not increase by 5% when tested for
both in the initial condition and in the retrofitted condition. The NO2 / NOX ratio for both the initial
condition and the retrofitted condition are to be recorded and shown in the test report.
The determination of the NO2 and NOX-mass emissions is to be determined by simultaneous measurement
in accordance with paragraph 4.7.2. of this annex and paragraph13. of this Regulation.
4.7.1.1. Weighted particulate emissions

The particulate emissions PM mass (g/kWh) for periodically regenerating systems are determined as
follows.
PM mass = PM mass r x F + (1-F) x PM masswor
Where:
F = frequency of the regeneration event in terms of fraction of tests during which the regeneration
occurs [-]
PM mass wor = average specific emission from a test in which the regeneration does not occur [g/kWh]
PM mass r = average specific emission from a test in which the regeneration occurs [g/kWh]
The manufacturer may choose, on the basis of good engineering analysis, to calculate either a
multiplicative or an additive regeneration adjustment factor kr, expressing the average emission rate,
as follows:
k r = PM mass / PM mass wor (multiplicative adjustment factor)
or
k Ur = PM mass – PM mass wor (upward adjustment factor)
or
k Dr = PM mass – PM mass r (downward adjustment factor)
If more than two measurements between the regeneration phases are used to determine the emissions,
these further measurements shall be taken at equal intervals and an arithmetical average taken.
4.7.1.2. Weighted gaseous emissions

The emission of gaseous components Mgas (g/kWh) for periodically regenerating systems is
determined as follows.
Mgas = Mgas r x F + (1-F) x Mgas wor
where:
F = frequency of the regeneration event in terms of the fraction of tests during which the regeneration
occurs
Mgas wor = average specific emission from a test in which the regeneration does not occur [g/kWh]
Mgas r = average specific emission from a test in which the regeneration occurs [g/kWh]
The manufacturer may choose, on the basis of good engineering analysis, to calculate either a
multiplicative or an additive the regeneration adjustment factor kr, expressing the average emission
rate, as follows:
k r = Mgas / Mgas wor (multiplicative adjustment factor)
71
 or
k Ur = Mgas - Mgas wor (upward adjustment factor)
or
k Dr = Mgas - Mgas r (downward adjustment factor)

4.8. Determination of NO2 emissions

The testing shall be performed on the test engine selected by the criteria described in paragraph 4.1.2.3 of
this Regulation.
4.8.1. Selection of the particulate reduction RECD for NO2 determination.
The RECD used for testing may be different from the RECD used in paragraph 4.5. of this
Annex. The particulate reduction RECD to be tested shall be
A particulate reduction RECD with the largest active volume and, if a diesel oxidation catalyst
(DOC) is used upstream, the catalytic converter with the largest active surface area and
The particulate reduction RECD containing the maximum charge of platinum with the
maximum total charge of catalytically active material within the defined RECD family.
The chosen particulate reduction RECD shall be fitted in such a way that the shortest distance
between the engine and the particulate reduction RECD as specified in the application range for
the particulate reduction RECD, is achieved.
The particulate reduction RECD shall be unloaded and shall not have been run in for longer than
125 hours.
4.8.2. Determination of NO2 emissions
Three successive D2-5Mode emission test cycles, as appropriate to the application, shall be
conducted. The emissions shall be determined over all three cycles and averaged. If the range of
these results is greater than ±15 percent of the mean, then an additional test cycle should be run.

5. Test Cycles.

The emission PM tests as per clause 4.0, before & after fitment of RECD shall be tested and accepted or
rejected as per this document. The tests as per 40 CFR 1065.680 applicable to steady state or discrete–
mode type tests shall be adopted.

72
73
 Appendix A. 2
Technical details for prevention of tampering

A.2.1. For RECD types and RECD families that use an Electronic Control Unit (ECU) of any sort as
part of the PM emission control system the manufacturer shall provide to the approval
authority a description of the provisions taken to prevent tampering with and modification of
the ECU including the facility for updating using a manufacturer-approved program or the
calibration.
A.2.2. For RECD types and RECD families that use mechanical and/or electrical devices as part of
the PM emission control system the manufacturer shall provide to the approval authority a
description of the provisions taken to prevent tampering with and modification of the
adjustable parameters of the emission control system.
A.2.2.1. The manufacturer shall demonstrate to the Test Authority that the adjustable parameters of
the PM emission control system cannot be easily tampered by applying reasonable forces,
either:
(a) using the tools supplied together with the engine; or,
(b) using ordinary tools such as screwdriver, pliers (including cutting pliers) or wrenches.
Ordinary tools do not include most cutting or grinding tools, drills and rotary cutters, or tools
that generate excessive heat or flame.
A.2.3. For the purpose of this Appendix, RECDs from different RECD families may be further
combined into families based upon the type and design of tamper prevention measures
utilized. In order to place RECDs from different RECD families into the same tamper
prevention RECD family the manufacturer shall provide confirmation to the approval
authority that the measures used to prevent tampering are similar.
A.2.4. Manufacturers shall provide a warning in the operator's manual stating that tampering with
the engine voids the type-approval of that particular RECD.

Appendix A.3
Technical Requirements for Particulate Control Diagnostics
including the method to demonstrate these measures

A 3.1 The RECD shall be fitted with particulate control diagnostics with ability to diagnose and
trigger operator warning system when confirmed fault/s is detected as per stated requirements
below. Any RECD fitted on the engine covered by this clause shall be designed & constructed
so as to be capable of meeting these requirements throughout the normal life of the engine
under normal condition of use.
a) complete loss of particulate capture function.
b) Removal of the RECD system
c) Failure of the RECD system.
d) detection of exhaust bypass, temporary or permanently as part of a field/operator tampering
or as a design architectural requirement.
A.3.2. The RECD manufacturer or importer is required to demonstrate all the above particulate
diagnostics conditions during certification process utilizing failed parts or simulation in
consultation and approval by the test agency.
74
 Required information
Detailed written information fully describing the functional operation characteristics of the
operator warning system shall be provided to the Type Approval Authority at the time of
type-approval.
The RECD manufacturer shall provide installation documents that, when used, will ensure
that the engine, inclusive of the emission control system that is part of the approved engine
type or engine family, when installed in the genset, will operate, in conjunction with the
necessary machinery parts, in a manner that will comply with the requirements of this
Annexure. This documentation shall include the detailed technical requirements and the
provisions of the engine (software, hardware, and communication) needed for the correct
installation of the RECD on the engine in the genset.
A.3.3. Particulate diagnostics system shall register self-healing and non-erasable fault codes in its
on-board memory or any capable alternative such as but not limited to connected cloud
based storage along with a time counter to track fault code active period. Such fault
code active period shall be utilized for operator inducement.
A.3.4. Method and conditions to confirm all the fault code/s shall be shared with test agency as a
declaration for approval.
A.3.5. Operator Warning system:
A.3.5.1. Operator warning system shall activate once confirmed fault code is registered.
A.3.5.2. Typically owing to low proximity of gensets at the actual installation sites, audible
operator warning shall be mandatory.
A.3.5.3. Intensity of the audible warning system shall be at 100 dB sound pressure
measured at 1 meter level at least at the location external to RECD where audible
alarm device is mounted. RECD manufacturer may opt for alternate arrangements
complying to minimal stated requirements.
A.3.5.4. It is also recommended to have visual warning in the form of ‘flashing RED light’
on the RECD control panel if such control panel provision is made.
A.3.5.5. RECDs installed with provision of audible and visual operator warning system both,
can provide audible warning temporary ‘snooze’ function with snooze timer not
more than 12 hrs. duration.
A.3.5.6. Appropriate declarations and at least preliminary fault tree suggestions shall be
provided to the operator through the owner’s manual.
A.3.5.7. Indication to be provided in the owner’s manual that active fault if not corrected
within specified timelines will lead to genset inducement.

Appendix A.4
Operator Inducement System

A.4.1. The RECD shall be fitted with operator inducement system that will disable genset operation with
following requirements,

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A.4.1.1. If fault with full functional failure of the RECD is confirmed, and if not corrected/repaired within
100 hrs. duration since the confirmation of the fault code, genset operation shall be effectively
disabled post the operational cycle in which active fault code has crossed the said threshold.
A.4.1.2. If fault with partial functional impairment of the RECD is confirmed, if not corrected/repaired
within 150 hrs. duration since the confirmation of the fault code, genset operation shall be
effectively disabled post operational cycle in which active fault code has crossed the said threshold.

A.4.1.3. If fault detecting exhaust bypass of the RECD is confirmed, RECD shall immediately trigger
operator inducement action however genset disability can trigger post current operational cycle.
A.4.1.4. If fault detecting low or no reagent, where applicable is confirmed, RECD shall immediately trigger
operator inducement action however genset disability can trigger post current operational cycle.

Appendix A.5
Declarations by RECD manufacturer/importer during Certification
Process

A.5.1. The RECD manufacturer/importer shall submit declarations to the test agency with documents
addressed to the nodal agency those are signed by responsible position holder in the company such
as MD, CEO, COO, CTO as per the guidelines below,
a) Declaration that RECD technology utilized will function consistently during in-field use and with
various genset operating conditions without significant reduction in the particulate capture
efficiency.
b) Due diligence is done by the RECD manufacturer/importer to ensure that the RECD device/s has
been designs along with quality control, material, service schedule to ensure RECDs will perform
till emissions useful life prescribed in this procedure. Test agency reserves right to interpret
such claim and may scrutinize the product with help from the manufacturer.
c) Document declaration along with possible licenses, if applicable for RECDs requiring secondary
regulated or unregulated material disposal.

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 ANNEXURE 9

Installation and Operation instructions

1. The RECD manufacturer/importers/retrofitters shall provide written information and installation
instructions for use by retrofitters/installers, and operation and maintenance instructions for use by
owners and operators. These instructions shall,
a) Address the safety hazards identified in the course of the assessment undertaken in accordance
with paragraph 4.12.3. of this Regulation so that, to the greatest extent possible, fitting of the
RECD in accordance with the instructions will eliminate those hazards and will
i) maintain the level of safety provided by the DG set when it was first placed on the market,
ii) maintain the DG set in a state of conformity with all legal health and safety requirements,
b) Explicitly list and describe any identified safety hazards that will not be fully eliminated by
following the fitting instructions and that will have to be addressed by the application of
appropriate skills and good engineering judgement on the part of the retrofitter.
c) Clearly address each of the points in paragraphs 3. and 4. of this annex.
2. Preparation and demonstration requirements;
2.1. The instructions and guidelines shall be written in the language of the country in which the RECD is
sold or in which the RECD is expected to be used, and shall be in clear language appropriate to the
intended readership.
2.2. The RECD manufacturer shall be able to demonstrate to the Approval Authority where each of the
relevant points in this annex is addressed, but may address these points in any way that meets the
requirement for clarity. There is no requirement for the wording or layout of this annex to be
reproduced.
2.3. Technical or legal language should not be used in documents intended for readers, such as end users,
who are unlikely to be familiar with it. Where the use of such language is considered essential in
such documents, it should be accompanied by a clear explanation of its intent.
2.4. The RECD manufacturer is encouraged to consider, in the interests of clarity, the use of local idioms
and usages where a language is used in more than one region, and the use of industry-specific terms
where a RECD is intended for use on DG Set specific to that industry
3. Instructions for the retrofitter/installer:
3.1. The instructions for the retrofitter/installer should include
a) specific instructions related to any specific DG Set application for which the RECD is intended.
b) general instructions and guidelines, when appropriate, which will permit the RECD to be
properly fitted to any DG set in the range for which it is approved.
c) a clear indication of the range of applications for which the RECD is approved, and of the range
of DG sets for which it may be safely used if that is different.
d) an indication of the level of skill and education required in order to perform the fitting operation.
e) a level of detail at least sufficient to permit an appropriately skilled and educated person to
perform the work.
3.2. The instruction shall state that retrofitting with a RECD shall be performed in accordance with the
installation instructions provided by the RECD manufacturer/importer/retrofitter, and that any
additional instructions provided by the DG set /engine manufacturer, public authorities, or other
competent parties shall also be taken into consideration.

77
3.3. The Instruction shall state that the DG set to be retrofitted shall be in a properly maintained condition,
and that defects that could prevent achievement of the PM emission reduction level for which the
RECD is approved or could adversely affect its endurance are to be rectified as necessary before the
retrofitting.
3.4. The instructions shall state that all necessary care shall be taken in order to ensure that the safety in
use of the DG set is not impaired by the fitting of the RECD, and that it remains conformant with
local laws and regulations. The instructions shall, in particular,
a) Draw attention to any additional safety hazards to operators or bystanders, such as high surface
temperatures or electrical voltages that are associated with the RECD, and propose measures for
reducing the risks associated with them.
b) Warn against the installation of the RECD, or any systems associated with it, in such a way as to
interfere with the field of vision of the operator of a DG set, or with the visibility of any gauges or
indicators, or with access to any controls.
c) warn that the extent of the liability of the person or company fitting the RECD for any subsequent
accident or failure will depend upon local laws and customs, and may extend beyond liability for
failures of or directly attributable to the RECD.
3.5. The Instruction shall draw attention to the fact that any modification made to a DG sets/engine
enclosure or access panel may increase the noise emitted by the DG set that local laws may forbid
increases in noise, and that increases in noise may have implications for the health and safety of
operators and bystanders.
4. Instructions to the owner and operator;
4.1. The instructions for the owner and operator should include both specific instructions related to any
DG sets for which the RECD is intended and, when appropriate, general instructions related to its use
with any DG Set in the range for which it is approved.
4.2. The instructions shall indicate any requirements or limitations on the use of the DG set that are
necessary in order to ensure correct functioning of the RECD.
4.3. The instructions shall specify whether any chemical solutions, reagents or additives need to be refilled
by the DG set operator between normal maintenance intervals, and to indicate a likely rate of
consumption.
4.4. The instructions shall specify the type and quality of any consumables, chemical solutions, reagents
or additives used. The instruction shall specify clearly the handling and disposal of the secondary
regulated/non-regulated pollutants generated during the process.
4.5. The instructions shall remind the owner and operator of the DG set that, where the fitting of the RECD
is a condition for its operation in a particular area, or where fitting of the RECD entitles the DG set
owner to incentives or privileges, the failure to maintain the RECD in proper working order (including
the failure to ensure a proper supply of any consumables, reagent or additive), may constitute a breach
of contract or be a criminal offence.

78
 ANNEXURE 10

Site Monitoring

In order to ensure the correct installation, function and effectiveness of the RECD as per approved
specification, the site monitoring shall be performed by the respective State Pollution Control Board or
the Relevant Competent Authority. The RECD manufacturer/retrofitter and the DG set owner/operator
shall extend their support to check/inspect the below points. The RECD manufacturer/retrofitter shall
make available the approved technical specification/information documents/installation document to
review upon the request of the visiting officer. A copy of the site monitoring report to be forward to
nodal agency and to test agency to review and update.

Sr No Parameter Observation
1 Engine verification
The engine on which RECD fitted shall be from the
approved applicable range. Check the engine emission
compliance labelling details.

a) Engine manufacturer
b) Engine Type Approval certificate
c) Engine Family
d) Model year from/to. / Date of Mfg.
e) Engine type/Model
f) Rated Power kW
2 RECD verification
RECD shall be as per approved document. Check the
compliance labelling details.

a) RECD Manufacturer's name

b) Type identification of the RECD
c) REC Type/model
d) RECD family
e) RECD part number
f) Class of RECD
3 Site verification

a) Layout of the RECD as per TA approved

drawing/layout/installation documents
b) Stack (Chimney) height as specified
c) Overall Noise during running
d) Any exposing operators or bystanders to any safety
hazard
e) Visual smoke
f) Stack Height as per specifications
g) Provision of Pothole/Opening for future
measurements.
h) Nosie Status.
79
4 Maintenance verification

a) Scheduled maintenance Records of RECD

including any scheduled exchange of RECD related
components
b) Use of specified lubrication oil specifications
necessary to maintain the performance of the
RECD system;
5 On-board diagnostics Systems verification

a) Warning system: Proper functioning of on-board

operator warning system, audible and/or visual
alarm to the operator when possible
malfunctions/failure detected in RECD system
/components which affecting the efficiency of the
RECD
b) Proper functioning On Board Diagnostic tool or
method to detect the
functioning/bypassing/removal of RECD
c) Inducement system: Proper functioning of the
operator inducement system as a consequence of
ignoring the warning alarm will result in DG set
being unable to re-start

6 Tampering

a) Any deliberate tampering or misuse of the engine

RECD control system; in particular, with regard to
deactivating or not maintaining an exhaust gas
recirculation (EGR) or a reagent dosing system
b) Presence of any defeat devices that by-pass or
reduce the efficiency of the RECD

7 Regeneration verification

a) In case RECD system requires a reagent for

regeneration, check specified characteristics of that
reagent, including the type of reagent being used
b) Proper functioning of Regenerations methodology
adapted to bring the efficiency of the RECD
c) Proper dispose of Soot/PM collected during
regeneration
8 Any other Remarks.

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 ANNEXURE 11
COMPOSITION OF COMMITTEE FOR FORMULATION OF THIS SYSTEM &
PROCEDURE

Planning & Co-coordinators

Mr N.K Gupta Central Pollution Control Board, CPCB, New Delhi,
Mr Kedarnath Dash
Co-ordinator
The Automotive Research Association of India
Dr Prasanna G. Bhat
(ARAI), Pune
Members Representing
The Automotive Research Association of India
Representative from
(ARAI), Pune
International Centre for Automotive Technology
Representative from
(iCAT), Manesar, Gurgaon
Indian Diesel Engine Manufacturers' Association
Representative from
(IDEMA), New Delhi
Automotive Component Manufacturers Association of
Representative from
India (ACMA), New Delhi
Representative from Indian Institute of Petroleum (IIP), Dehra Dun
Emission Control Manufacturers Association
Representative from
(ECMA), New Delhi
Indian Oil Corporation Research and Development
Representative from
Centre, IOCL R&D, Faridabad

81