Agreement

E/ECE/324/Rev.2/Add.131/Rev.1−E/ECE/TRANS/505/Rev.2/Add.131/Rev.
3 February 2015
Agreement
Concerning the Adoption of Uniform Technical Prescriptions for

Wheeled Vehicles, Equipment and Parts which can be Fitted and/or be
Used on Wheeled Vehicles and the Conditions for Reciprocal
Recognition of Approvals Granted on the Basis of these Prescriptions*
(Revision 2, including the amendments which entered into force on 16 October 1995)
_________
Addendum 131 – Regulation No. 132

Revision 1
01 series of amendments to the Regulation: Date of entry into force: 22 January 2015
Uniform provisions concerning the approval of Retrofit Emission

Control devices (REC) for heavy duty vehicles, agricultural and
forestry tractors and non-road mobile machinery equipped with
compression ignition engines
_________
UNITED NATIONS
* Former title of the Agreement: Agreement Concerning the Adoption of Uniform Conditions of
Approval and Reciprocal Recognition of Approval for Motor Vehicle Equipment and Parts, done at
Geneva on 20 March 1958.
GE.15-
E/ECE/324/Rev.2/Add.131/Rev.1
E/ECE/TRANS/505/Rev.2/Add.131/Rev.1
Regulation No. 132
Uniform provisions concerning the approval of Retrofit

Emission Control devices (REC) for heavy duty vehicles,
agricultural and forestry tractors and non-road mobile
machinery equipped with compression ignition engines
Contents
Page
Regulation
1. Purpose........................................................................................................................................... 5
2. Scope .............................................................................................................................................. 5
3. Definitions...................................................................................................................................... 5
4. Application for approval ................................................................................................................ 8
5. Markings and labels ....................................................................................................................... 9
6. Approval ........................................................................................................................................ 10
7. General requirements ..................................................................................................................... 10
8. Performance requirements ............................................................................................................. 13
9. Durability requirements ................................................................................................................. 16
10. Application range ........................................................................................................................... 17
11. Modifications to engine baseline emissions ................................................................................... 18
12. Choice of the test engines and REC combination .......................................................................... 19
13. Specifications concerning emissions measurement ....................................................................... 19
14. Particulate reduction REC family .................................................................................................. 20
15. NOx reduction REC family ............................................................................................................ 21
16. NOx and PM reduction REC family ............................................................................................... 22
17. Fuel and specific fuel consumption ................................................................................................ 22
18. Operating behaviour and safety hazard .......................................................................................... 23
19. Noise Emissions ............................................................................................................................. 23
20. Installation of a REC ...................................................................................................................... 24
21. Modification and extension of approval of a REC ......................................................................... 24
22. Conformity of production .............................................................................................................. 25
23. Penalties for non-conformity of production ................................................................................... 26
24. Production definitively discontinued ............................................................................................. 26
25. Names and addresses of Technical Services conducting approval tests and of
Type Approval Authorities ............................................................................................................ 26
3
Annexes
1 Information document .................................................................................................................... 28
2 Communication .............................................................................................................................. 35
3 Addendum to the communication concerning a type of retrofit emission control device (REC)
pursuant to Regulation No. 132 ..................................................................................................... 37
4 Arrangement of the REC System Type-Approval mark ................................................................ 38
5 Test of a particulate reduction REC (Class I or II REC) ................................................................ 39
6 Test of a NOx reduction REC (Class III REC) ............................................................................... 46
7 Tests of a PM and NOx reduction REC (Class IV REC) ................................................................ 49
8 Test sequences ............................................................................................................................... 50
9 Limit value equivalence tables ....................................................................................................... 53
10 Requirements of the NOx control diagnostic system of NOx reduction or NOx and particulate
reduction REC requiring a reagent ................................................................................................. 57
11 Installation and Operation instructions .......................................................................................... 66
12 Specific requirements regarding the approval of a REC with respect to the emission limits
set out in the 06 series of amendments of Regulation No. 49 ........................................................ 69
4
1. Purpose
This Regulation provides a harmonized method for the classification,
evaluation and approval of Retrofit Emission Control (REC) systems for
particulate matter (PM), for oxides of nitrogen (NOx), or for both PM and
NOx, and for the determination of the levels of emissions from compression-
ignition (CI) engines used in applications within the scope indicated in
paragraph 2.
The Regulation provides a framework for approval of REC for different
applications with corresponding environmental performance levels and for
the identification in Type Approval of those levels.
2. Scope
This Regulation applies to Retrofit Emission Control devices (REC) to be
installed:
2.1. On category M2, M3 and N vehicles1 and their CI engines, excluding those
vehicles approved according to Regulation No. 83;
2.2. On CI engines having a net power higher than 18 kW but not more than
560 kW installed in non-road mobile machinery,1 operated under variable
speed;
560 kW installed in non-road mobile machinery,1 operated under constant
speed;
560 kW installed in category T vehicles. 1
3. Definitions
For the purposes of this Regulation,
3.1. "Active regeneration" means any additional measure to initiate regeneration
either on a periodic or continuously regenerating REC.
3.2. "Adjustment factors" means additive upward adjustment factor and
downward adjustment factor or multiplicative factors to be considered during
periodic regeneration.
3.3. "Application range" means the range of engines to which a Retrofit Emission
Control device (REC) approved in accordance with this Regulation can be
applied.
3.4. "Class I Retrofit Emission Control device (REC)" 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
As defined in the Consolidated Resolution on the Construction of Vehicles (R.E.3.), document
ECE/TRANS/WP.29/78/Rev.3, para. 2. -
www.unece.org/trans/main/wp29/wp29wgs/wp29gen/wp29resolutions.html.
5
3.5. "Class IIA or IIB retrofit emission control device (REC)" means a REC
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 8.4.2 based on the engine baseline
emission NO2 level.
3.6. "Class III Retrofit Emission Control device (REC)" means a retrofit emission
control device which is intended to control NOx emissions only.
3.7. "Class IV Retrofit Emission Control device (REC)" means a retrofit emission
control device which is intended to control both particulate matter emissions
and NOx emissions.
3.8. "Continuous regeneration" means the regeneration process of an exhaust
aftertreatment system that occurs either permanently or at least once per
applicable test cycle.
3.9. "DeNOx system" means an exhaust after treatment system designed to reduce
emissions of oxides of nitrogen (NOx) (for example, passive and active lean
NOx catalysts, NOx absorbers, and selective catalytic reduction (SCR)
systems).
3.10. "Emission control monitoring system" means the system that monitors the
operation of the emission control measures implemented in the engine and/or
REC system in accordance with the requirements of paragraph 18. of this
Regulation.
3.11. "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.
3.12. "Engine family" means an engine manufacturer's grouping of engine systems
which, through their design as defined in paragraph 7. of Regulation No. 49
or paragraph 7. of Regulation No. 96 as appropriate, have similar exhaust
emission characteristics; all members of the family shall comply with the
applicable emission limit values.
3.13. "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 powertrain or vehicle
control unit.
3.14. "ESC" means a test cycle consisting of 13 steady state modes to be applied in
accordance with the relevant series of amendments to Regulation No. 49.
3.15. "ETC" means a test cycle consisting of 1,800 second-by-second transient
modes defined in, and to be applied in accordance with the relevant series of
amendments to Regulation No. 49.
3.16. "Gaseous pollutants" means carbon monoxide, hydrocarbons (assuming a
ratio of CH1,85 for diesel), oxides of nitrogen (NOx, expressed as NO2
equivalent) and nitrogen dioxide (NO2).
6
3.17. "Load condition" means the loading of particulate matter being stored at any
moment in a particulate reduction system (such as a filter) expressed as a
proportion of the maximum loading of particulate matter that may be stored
in the system under specific driving conditions without external regeneration
measures being initiated.
3.18. "Manufacturer" means the person or body who is responsible to the Type
Approval Authority 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
vehicle, system, component or separate technical unit which is the subject of
the approval process.
3.19. "Installer" means a person or body who is responsible for the correct and safe
installation of the approved REC.
3.20. "NOx Control Diagnostic system (NCD)" means a system of the REC which
has the capability of:
(a) Detecting a NOx Control Malfunction;
(b) Identifying the likely NOx control malfunctions by means of
information stored in computer memory and/or communicating that
information off-board.
3.21. "NOx-reduction REC" means a REC that has a NOx mass emission reduction
efficiency which qualifies it to be certified as meeting the classification class
as defined in this Regulation.
3.22. "NOx reduction REC family" means a family of NOx reduction systems that
are technically identical with respect to their functioning in accordance with
paragraph 15. of this Regulation.
3.23. "NRSC" means a test cycle consisting of steady state modes defined in, and to
be applied in accordance with, the relevant series of amendments to
Regulation No. 96.
3.24. "NRTC" means a test cycle consisting of 1,173 second-by-second transient
modes defined in, and to be applied in accordance with, the relevant series of
3.25. "On-board operator warning system" means a device that detects incorrect
operation or removal of the REC.
3.26. "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.
3.27. "Particulate matter (PM)" means the mass of any material collected on a
specified filter medium which is defined in the relevant series of amendments
to Regulations No. 49 or No. 96.
3.28. "Particulate reduction REC" means a REC that has a particulate mass or
particle number 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 particulate reduction REC.
7
3.29. "Particulate reduction REC family" means a family of particulate reduction

systems that are technically identical with respect to their functioning in
accordance with paragraph 14. of this Regulation.
3.30. "Periodic 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 occurs, emission
standards can be exceeded.
3.31. "Particle number" means the number of particles which is defined in the
relevant series of amendments to Regulation No. 49.
3.32. "Reagent" means any medium that is stored on-board the vehicle in a tank
and provided to the exhaust after treatment system (if required) upon request
of the emission control system.
3.33. "Reduction efficiency" means the ratio between the emissions downstream of
the REC 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 8.3.4. of this Regulation.
3.34. "Reduction level" means a reduction efficiency in per cent to be met by the
retrofit emission control device (REC) in order to be certified as meeting the
reduction level specified in paragraph 8.3. of this Regulation.
3.35. "Retrofit Emission Control device (REC)" means any particulate reduction
system, NOx-reduction system or combination of both which is used for
retrofit purposes. This includes any sensors and software essential to the
operation of the device. Systems that only modify the existing engine system
controls are not considered to be REC.
3.36. "Scan-tool" means an external test equipment used for off-board
communication with the NCD system.
3.36.1. "Generic scan-tool" means a scan-tool, which is publicly available, and
which shall be capable to read failure messages.
3.36.2. "Proprietary scan-tool" means a scan-tool, which is used only by the REC
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.
3.37. "WHSC" means a test cycle consisting of 13 steady state modes defined in,
and to be applied in accordance with the relevant series of amendments to
Regulation No. 49.
3.38. "WHTC" means a test cycle consisting of 1,800 second-by-second transient
modes defined in, and to be applied in accordance with the relevant series of
4. Application for approval

4.1. The application for type-approval of a REC shall be submitted by the
manufacturer or by his duly accredited representative.
4.2. Each REC shall be accompanied by the following information:
(a) The manufacturer’s name or trade mark;
8
(b) The make and identifying part number of the REC as recorded in the
information document issued in accordance with the model set out in
Annex 1;
(c) The application range (as defined in paragraph 10. of this Regulation)
including year of manufacture, for which the REC is approved,
including, where applicable, a marking to identify if the REC is
suitable for fitting to a vehicle 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.
4.3. The applicant shall provide the Information Document in accordance with
Annex 1 to this Regulation. The applicant shall also provide sample(s) of the
REC to be tested and to be retained by the Technical Service for at least five
years after the date of type approval.
5. Markings and labels

5.1. All REC shall be marked with the trade name or mark of the retrofit
manufacturer that is indicated in Annex 1 to this Regulation, and the
identifying part number as recorded in the information document issued in
accordance with the model set out in Annex 1 to this Regulation.
5.2. All REC shall be identified by a label, in which the approval mark including
the class, as set out in Annex 4 shall be placed. This label has to be
permanently fixed to the REC, and shall be clearly readable after installation
of the REC.
5.2.1. To ensure visibility of such a label in an installed system, the manufacturer
may provide a duplicate label for fitment by the REC installer. Such label
shall clearly include the word "duplicate".
5.2.2. Labels shall be durable for the useful life of the device. Labels shall be
clearly legible and their letters and figures shall be indelible. Additionally,
labels shall be attached in such a manner that their fixing is durable for the
useful life of the device, and the labels cannot be removed without destroying
or defacing them.
5.3. The approval mark shall consist of:
(a) A circle surrounding the letter "E" followed by the distinguishing
number of the country which has granted the approval; 2
2
The distinguishing numbers of the Contracting Parties to the 1958 Agreement are reproduced in
Annex 3 to the Consolidated Resolution on the Construction of Vehicles (R.E.3), document
ECE/TRANS/WP.29/78/Rev. 3 -
www.unece.org/trans/main/wp29/wp29wgs/wp29gen/wp29resolutions.html
9
(b) The number of this Regulation, followed by the letter "R", a dash and
the approval number to the right of the circle as defined Annex 4 to
this Regulation. The approval number appears in the communication
form for this type (see paragraph 6.2. of this Regulation and Annex 2
to this Regulation) preceded by two figures indicating the latest series
of amendments to this Regulation;
(c) The Class of the REC.
5.4. REC samples for approval testing shall be clearly identified with at least the
applicant’s name and the reference of the application.
6. Approval
6.1. Type approval shall be granted if the REC meets the requirements of this
Regulation.
6.2. An approval number shall be assigned to each REC approved. Its first two
digits (at present 01 according to this series of amendments) shall indicate the
series of amendments incorporating the most recent major technical
amendments made to the Regulation at the time of issue of the approval. The
same type approval number shall not be assigned to another REC.
6.3. Notice of approval or of refusal or of extension of approval of a REC
pursuant to this Regulation shall be communicated to the Contracting Parties
to the Agreement applying this Regulation, by means of a Communication
form conforming to the model in Annex 2 to this Regulation.
7. General requirements
7.1. A REC 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 REC under normal conditions of use.
7.2. A REC 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 paragraph 9.
of this Regulation.
7.3. The REC manufacturer shall provide installation documents that will ensure
that the REC, when installed in the vehicle or machine, will operate, in
conjunction with the necessary machinery parts, in a manner that will comply
with the requirements of paragraphs 7., 8. and 9. of this Regulation. This
documentation shall include the detailed technical requirements and the
provisions of the REC (software, hardware, and communication) needed for
the correct installation of the REC in the machine.
7.4. Devices that by-pass or reduce the efficiency of the REC are not permitted.
7.5. A REC approved in accordance with this Regulation shall be fitted with an
on-board operator warning system that signals to the driver the presence of a
failure affecting the efficiency of the REC.
10
7.5.1. A particulate reduction REC shall be equipped with a monitoring device that
detects incorrect operation or removal of the REC and that triggers an audible
and/or visual alarm to the operator. For reagent based particulate reduction
REC 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 back-pressure
7.5.2. Specific requirements applicable to NOx reduction REC are provided in
paragraph 7.7. below and Annex 10 to this Regulation.
7.5.2.1. The NOx control strategy of the REC shall be operational under all
environmental conditions regularly pertaining in the territory of the
Contracting Parties, especially at low ambient temperatures.
7.5.3. Combined PM and NOx reduction REC (Class IV REC) shall meet the
provisions of paragraphs 7.5.1., 7.5.2. and 7.5.2.1. of this Regulation.
7.5.4. The filter of a particulate reduction REC or a combined PM and NO x
reduction REC shall be designed and constructed in a way that in can only be
installed in one direction. Intentionally or unintentionally reversing the filter
shall be physically impossible.
7.6. Specific requirements for REC requiring a reagent or additive.
7.6.1. Each separate storage tank installed on a vehicle or machine shall include
means for taking a sample of any fluid inside the tank. The sampling point
shall be easily accessible without the use of any specialised tool or device.
7.6.2. The driver or machine operator shall be informed of the level of reagent or
additive in the storage tank on the vehicle or machine through a specific
mechanical or electronic indication in accordance with Annex 10 to this
Regulation. The reagent level indicator and the warning indicator shall both
be placed in close proximity to the fuel level indicator.
7.6.3. The characteristics of the reagent, including the type of reagent, information
on concentration when the reagent is in solution, operational temperature
conditions and reference to international standards for composition and
quality shall be specified by the REC manufacturer in Annex 1 to this
Regulation.
7.6.4. Detailed written information fully describing the functional operation
characteristics of the operator warning system defined in paragraph 4. of
Annex 10 to this Regulation and of the operator inducement system defined
in paragraph 5. of Annex 10 to this Regulation shall be provided to the Type
Approval Authority at the time of type approval.
7.6.5. Reagent freeze protection
7.6.5.1. It is permitted to use a heated or a non-heated reagent tank and dosing
system. A heated system shall meet the requirements of paragraph 7.6.5.2.2.
of this Regulation. A non-heated system shall meet the requirements of
paragraph 6. of Annex 10 to this Regulation. The use of a non-heated reagent
tank and dosing system shall be indicated in the written instructions to the
driver or operator of the vehicle or machine.
11
7.6.5.2. Reagent tank and dosing system

7.6.5.2.1. If the reagent has frozen, the reagent shall be available for use within a
maximum of 70 minutes after the start of the vehicle or machine at 266 K
(-7 °C) ambient temperature.
7.6.5.2.2. Design criteria for a heated system
7.6.5.2.2.1. The reagent tank and dosing system shall be soaked at 255 K (-18 °C) for
72 hours or until the reagent becomes solid, whichever occurs first.
7.6.5.2.2.2. After the soak period in paragraph 7.6.5.2.2.1. above, the
vehicle/machine/engine shall be started and operated at 266 K (-7 °C)
ambient temperature or lower as follows: 10 to 20 minutes idling, followed
by up to 50 minutes at no more than 40 per cent of rated load.
7.6.5.2.2.3. At the conclusion of the test procedure in paragraph 7.6.5.2.2.2. above, the
reagent dosing system shall be fully functional.
7.6.5.2.3. Evaluation of the design criteria may be performed in a cold chamber test cell
using an entire vehicle or machine or parts representative of those to be
installed on a vehicle or machine or based on field tests.
7.7. Requirements on NOx control measures for REC requiring a reagent
7.7.1. The REC manufacturer shall provide information that fully describes the
functional operational characteristics of the NOx control measures using the
documents set out in Annex 1.
7.7.2. The REC shall be equipped with a NOx Control Diagnostic system (NCD)
able to identify the NOx control malfunctions. The NCD shall be designed,
constructed and installed so as to be capable of meeting the requirements of
paragraph 7. of this Regulation during the normal life of the REC under
normal conditions of use.
7.7.2.1. The NCD system shall be operational at:
(a) Ambient temperatures between 266 K and 308 K (-7 °C and 35 °C);
(b) All altitudes below 1,600 m;
(c) Engine coolant temperatures above 343 K (70 °C).
This paragraph does not apply in the case of monitoring for reagent level in
the storage tank where monitoring shall be conducted under all conditions
where measurement is technically feasible (for instance, under all conditions
when a liquid reagent is not frozen).
7.7.3. The NCD system shall meet the requirements in Annex 10.
7.8. Maintenance requirements
7.8.1. The REC manufacturer shall furnish written instructions about the REC
system and its correct operation to be provided to all drivers or operators of
vehicles or machines.
These instructions shall state that if the REC system is not functioning
correctly, the driver or operator 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 the vehicle or machine
being unable to re-start.
12
7.8.2. The instructions shall indicate requirements for the proper use and
maintenance of the REC in order to maintain its emissions performance,
including the proper use of consumable reagents.
7.8.3. 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 vehicle or machine.
7.8.4. The instructions shall specify if consumable reagents have to be refilled by the
driver or operator between normal maintenance intervals. The instructions shall
also specify the required reagent quality. They shall indicate how the driver or
operator should refill the reagent tank. The information shall also indicate a
likely rate of reagent consumption and how often it should be replenished.
7.8.5. The instructions shall specify that use of, and refilling of, a required reagent
of the correct specifications is essential in order for the vehicle or machine to
comply with the requirements for the issuing of the approval of the REC for
that vehicle or machine.
7.8.6. The instructions shall state that it may be a criminal offence to use a vehicle
or machine that does not consume any reagent if the reagent is required for
the reduction of emissions.
7.8.7. 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.
7.9. The approval shall be conditional upon the following sub-paragraphs.
7.9.1. The manufacturer providing written maintenance instructions to be given by
the installer to the driver or operator.
7.9.2. The manufacturer providing installation documents for the REC.
7.9.3. The manufacturer providing instructions for an operator warning system, an
inducement system and reagent freeze protection (where applicable) to be
given by the installer to the workshop or the driver or the operator, as
appropriate.
7.9.4. The manufacturer providing a written statement to the installer, to be given to
the driver or operator, on the normal operating conditions (temperature range,
environmental conditions, …) within which the REC will operate correctly.
8. Performance requirements
8.1. REC approved under this Regulation shall meet all of the following criteria:
(a) The emission limit values as specified in paragraph 8.2.;
(b) The reduction levels as specified in paragraph 8.3.;
(c) The NO2 emission requirements as specified in paragraph 8.4.;
(d) The secondary emissions requirements as specified in paragraph 8.6.
13
8.2. Limit values

The retrofitted engine system shall not exceed the emission limits for the
relevant pollutants (NOx or PM or both as appropriate for the REC Class) of a
more stringent emission stage as specified in Regulation No. 49 or in
Regulation No. 96 as appropriate and measured using the test procedure(s)
associated with the limit values to be achieved. The retrofitted engine system
shall meet at least the emission limits for the stage to which the base engine
was approved for each of the other controlled pollutants relevant to that stage.
8.2.1. The requirements for each class of REC in terms of meeting the limits of the
next more stringent emission stage are illustrated in the tables in Annex 9 to
this Regulation.
8.2.2. In the case of an engine not type-approved in accordance with the
requirements of either Regulation No. 49 or Regulation No. 96, the emissions
of each of the regulated pollutants (CO, HC, NOx, and PM) in the initial
condition shall not exceed the limit values for the emissions stage
immediately below that for which certification of the REC is sought.
8.3. Reduction levels and reduction efficiency
8.3.1. The reduction level of a REC system is characterised by means of its
reduction efficiency as specified in Table 1:
Table 1
Reduction levels
Minimum reduction efficiency (%)
PM mass NOX
Reduction level 01 90 60
8.3.2. The reduction efficiency shall be determined by comparison of the emissions

measured over the weighted WHTC for REC to be applied to heavy-duty
engines or over the weighted NRTC for REC to be applied to non-road
mobile machinery or agricultural and forestry tractor engines. The reduction
efficiency shall be calculated as defined in 8.3.4. of this Regulation.
8.3.3. For the purpose of this Regulation the reduction efficiency for NOx shall be
applicable to systems which are intended to reduce NO x, and the PM
reduction level to systems intended to reduce PM. For Class IV REC the
reduction levels for both NOx and PM shown in table 1 of this Regulation
shall be met.
8.3.4. The reduction efficiency shall be calculated from the measured emissions of
the relevant pollutant downstream of the REC (EREC) and the engine system
emissions measured before fitment of the REC (E Base) for that pollutant, both
measured in accordance with the procedures defined in this Regulation:
reduction efficiency (per cent) = (1 - (EREC / EBase)) × 100.
8.4. NO2 emissions requirements
8.4.1. For a Class I REC, there shall be no increase in NO2 emissions above the
NO2 baseline emissions, measured as defined in Annex 5 to this Regulation.
8.4.2. For a Class IIA REC, the NO2 incremental increase shall not be more than
20 percentage points greater than the level recorded when no REC is fitted
14
(baseline). As an example, if baseline NO2 is 10 per cent of NOx, the

maximum permitted NO2 emission with the REC is 30 per cent of NOx
measured as defined in Annex 5 to this Regulation. For a Class IIB REC, the
NO2 incremental increase shall be no more than 30 percentage points.
8.4.3. For Class III REC, there shall be no increase of NO2 emissions measured in
g/kWh and as defined in Annex 6 to this Regulation.
8.4.4. For Class IV REC, there shall be no increase of NO2 emissions measured in
g/kWh and as defined in Annex 7 to this Regulation.
8.5. Particle number emissions requirements
8.5.1. Class I, Class IIA or IIB and Class IV REC approved to PM Reduction Level
01 shall provide a reduction efficiency for particle number of at least 97 per
cent from the engine baseline emissions of the test engine as defined in
paragraph 12. when measured using the test procedure(s) set out in this
Regulation.
8.5.2. Direct sampling from raw exhaust gas prior to dilution is permitted. The
dilution ratios of the particle number diluters (PND1 and PND2 of the
particle transfer system, as defined in Regulation No. 49) shall then be
adapted to the measurement range of the particle number counter (PNC).
8.5.3. The particle number reduction efficiency is determined as the difference of 1
minus the penetration, which is the ratio between the particle number
emissions downstream of the REC system and the particle number emission
of the engine system before fitment of the REC. The particle number
reduction efficiency is indicated as a percentage. The particle number
reduction efficiency shall be determined for the appropriate test cycle as
defined in paragraph 8.3.2.
reduction efficiency (percent) = (1 - (EREC / EBase)) × 100.
8.5.4. If two particle number measurement systems are used in parallel for
measurement of the particle number reduction efficiency, they shall give
measurements within 5 per cent of each other when measuring
simultaneously from the same sample point.
8.6. Secondary emissions requirements
8.6.1. The manufacturer of the REC system shall provide documentary evidence to
show that materials and processes used in the REC do not present any
additional hazard to health and the environment.
8.6.2. For Class III and Class IV REC, emissions of ammonia shall not exceed a
mean value of 25 ppm when measured using the procedures defined in
Appendix 7 to Annex 4 of the 06 series of amendments to Regulation No. 49.
8.6.3. The REC shall not increase secondary emissions to concentrations known to
be hazardous to health.
8.6.4. The applicant for approval shall provide an assessment of the performance of
the REC with respect to secondary emissions. The assessment shall address
all likely secondary emissions from the REC having regard to its working
principle, its design, its method of construction, and the materials employed.
15
8.6.4.1. The assessment shall, in particular:

(a) In cases where the REC contains copper or copper compounds,
address the possible formation of dioxins;
(b) In cases where the REC 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.
8.6.4.2. The assessment shall name each of the species of secondary emissions
considered.
8.6.4.3. 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.
8.6.4.4. 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.
8.6.5. 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 REC with respect to secondary emissions produces a reasonable
expectation that the requirements of paragraph 8.6.3. above will not be met.
9. Durability requirements
9.1. The applicant shall declare that the REC 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:
(a) For category M2 and M3 and N vehicles, a mileage of 200,000 km or a
service life of 6 years, whichever occurs first;
(b) For all other applications, 4,000 operating hours or a service life of
6 years, whichever occurs first.
9.2. The applicant shall conduct a 1,000 hours durability test on an engine and
REC combination. This test shall be either a field test in a typical vehicle or
machine application agreed between the Type Approval Authority and the
applicant or a test on an engine test bed. In the case of testing on an engine
test bed, the aging cycle, load and speed shall include conditions that
approximate to 10 per cent idle, 10 per cent transient operation, 75 per cent
high speed-high load operation, and 5 per cent low speed-medium load
operation.
The engine for the durability run may be different from the test engine used
for tests to establish the reduction level of the REC, but shall be an engine
within the declared application range of the particular REC.
16
9.3. The content of the test is as follows:

(a) 1,000 hours service accumulation of the REC with recording of all
relevant operating data of the engine concerned including type and
consumption of fuel and lubricating oil , and when appropriate reagent
or additive required by the REC device, 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 REC shall be
sealed by the Technical Service and the data-logging shall be carried
out by the REC manufacturer or by the operator of the vehicle or
machine on which the endurance test is performed;
(b) In the case of REC that operate with additives or makes use of a
reagent, verification of the correct dosing rate shall additionally be
performed at the beginning of the field test, after 500 hours of
operation and after 1,000 hours of operation.
9.4. After completion of the durability run the REC system used to demonstrate
durability shall 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 Type Approval Authority.
9.5. The REC system shall meet the requirements of paragraph 8. when tested in
accordance with paragraph 9.4. after completion of the service accumulation.
10. Application range

10.1. The application range describes the range of engines or engine systems to
which the REC family may be applied. The applicant shall provide detailed
information about the application range to the Type Approval Authority as
specified in Annex 3 to this Regulation.
10.2. The application range is limited to the engine family to which the test engine
as defined in paragraph 12. belongs.
10.3. The application range may be extended to:
(a) Other engines produced by the same engine manufacturer; and
(b) Engines 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:
(a) Individual cylinder displacement within ±20 per cent of the test engine;
(b) Method of aspiration (turbocharged or naturally-aspirated engine);
(c) With or without EGR;
(d) Whether a constant speed or a variable speed engine; 3
(e) Engine baseline emission stage; and
3
An engine approved to Regulation No. 49 will be considered a variable speed engine for this purpose.
17
(f) With or without an after treatment system.

10.4. The application range shall not be extended to engines with a baseline
emission stage less stringent than the baseline emission stage of the test
engine.
10.5. If the applicant can prove that a REC tested for vehicles of Category M2, M3 and
N and their CI engines, is also designed for use in the same structural manner on
CI engines for use in non-road mobile machinery or Category T vehicles and the
test engine in accordance with paragraph 12. below is representative for such
applications and also meets the family criteria of paragraphs 14., 15. or 16. below
as appropriate, the application range can be extended to CI engines for use in
non-road mobile machinery and category T vehicles.
Extending the range of a REC that has been approved for use with CI engines
in non-road mobile machinery or category T vehicles to cover on-road
applications in the way described in this paragraph is not permitted.
11. Modifications to engine baseline emissions

11.1. 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).
11.2. 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 REC, 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
Type Approval Authority or Technical Service to address the differences
between the modified and original designs.
11.3. 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, Class IIA or Class IIB REC, replacement of an
existing diesel oxidation catalyst providing that:
(i) The requirements of paragraph 8.4. are met; and
(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;
(c) The installation of temperature and/or pressure measuring probes at
the entrance of the NOx reduction REC system including the dosing
unit.
18
11.4. Subject to the requirements of paragraph 11.1. of this Regulation being met,
modifications downstream of an original after treatment system are
permitted.
11.5. The performance of any On-Board Diagnostics (OBD) system and NOx
control system of the original engine system shall not be compromised by the
REC.
12. Choice of the test engines and REC combination

12.1. The test engines shall originate from an engine family corresponding to the
subsequent application range of the REC. The emissions performance of the
test engine shall be measured and shall meet the limits for the applicable
baseline emission stage.
12.2. The test engine and REC combination for the selected application range shall
meet the following criteria:
(a) The engine shall have a nominal power output between 100 per cent
and 60 per cent of the maximum power of the parent engine in the
particular family when assessed in accordance with the procedures of
Regulation No. 49 or Regulation No. 96 as appropriate;
(b) When combined with the selected test engine the REC shall have the
highest space velocity within the application range of the REC family;
(c) The REC shall have the minimum volumetric concentration of
catalytically active materials specified by the manufacturer for the
REC family.
When the requirements of sub-paragraphs (b) and (c), above, are mutually
incompatible, the requirements of sub-paragraph (b) shall take priority.
12.3. For REC intended to be used on engines type-approved in accordance with
Regulation No. 96, testing on one test engine for each power category for
which the REC is intended is mandatory.
12.4. The selected test engine shall comply in both series production condition and
in retrofitted condition with all of the pollutant emissions limits associated
with the stage or standard to which it was originally type-approved. Where
vehicles or machines 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.
13. Specifications concerning emissions measurement

13.1. The gaseous and particulate components emitted by the engine or engine
system in combination with the REC submitted for testing shall be measured
by the methods described in the applicable annexes of Regulation No. 49 and
Regulation No. 96.
19
13.2. If a heated chemiluminescent detector (CLD) is used for the determination of

NO2 in accordance with paragraph 8.4. of this Regulation, two parallel
measuring chambers to determine NOx and NO simultaneously shall be used.
Two CLDs in parallel are permitted providing that they both comply with the
requirements of Regulation No. 49 or Regulation No. 96 as appropriate, and
the absolute converter efficiencies are shown to be within 3 per cent of each
other.
14. Particulate reduction REC family

14.1. The approval of a particulate reduction REC 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);
(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 per cent of the volume of the tested device;
(h) Type of regeneration (whether periodic or continuous);
(i) Regeneration principle (for example, catalytic, thermal, or
electrothermal) and regeneration strategy (for example passive, active,
forced);
(j) Method and control strategy for introducing additives or reagents (if
used);
(k) Type of additive or reagent (if used);
(l) Installation conditions (max. +0.5 m introduction difference between
the turbocharger outlet (turbine) and the inlet of the particulate
reduction REC);
(m) Type of any catalytically active material;
20
(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 REC
under consideration; and
(ii) The other pollution control devices being similar in design and
principle of operation to those used during testing.
14.2. When testing the particulate reduction REC on the engine test bed, the REC
shall be fitted so that there is a distance of at least 2 metres to the REC inlet
from the outlet of the turbocharger (turbine) or the outlet plane of the exhaust
manifold where no turbocharger is fitted. If the applicant can show that a
distance shorter than the minimum distance specified here will be used in all
subsequent applications of the REC, the length of the pipe used in the test
cell may be correspondingly reduced. Insulation or similar means of
maintaining the exhaust temperature are permissible only if they will also be
used in the subsequent installation of the REC on the vehicle or machine.
15. NOx reduction REC family

15.1. The approval of a NOx reduction REC will continue to be valid for a
nominally similar system (employing the same NOx reduction technology) in
a different configuration or application provided that it does not deviate from
the tested system with respect to the following features:
(a) Critical dimensions of the active elements of the device (such as the
size of valves or ducts, or the volume of a catalytic element, and
including any reagent mixing device) shall be the same as those on the
tested device, or shall not differ from those dimensions in the tested
device by an amount greater than can be justified as insignificant by
relevant tests or robust engineering analysis. The active volume, for
instance, of a catalytic element shall be within ±40 per cent of the
active volume of the tested device;
(b) Any temperature control method employed (for example, catalytic,
thermal, or electro thermal heating);
(c) Where the tested device was tested in association with other pollution
control devices:
(i) The retention of the same arrangement of devices for the REC
under consideration; and
(ii) The other pollution control devices being similar in design and
principle of operation to those used during testing;
(d) The catalyst substrate material and the mechanical design of the
substrate (for example a coated monolith or an extruded monolith,
sheets or plates) and the shape, cross-sectional area, and density of the
exhaust gas channels formed in it;
(e) The same catalytically active material, washcoat, loading and catalyst
distribution over the substrate as the type approved system, within
reasonable production tolerances;
21
(f) Type of reagent or additive (if used);

(g) Any control strategy employed, including features of the
implementation of that strategy such as delay periods, dosing rates for
reagents, the positioning and characteristics of sensors, and the time
constants and flow characteristics associated with valves. If different
reagents and/or strategies are used for different climatic conditions the
strategy with the lowest total dosing during the test shall be tested;
(h) The reagent introduction location and conditions. This condition will
be considered to have been met if the introduction point is at least the
same distance from inlet of the catalyst as the tested device and the
means of reagent introduction (for example, air assisted or not) and
any mixing device are also the same.
15.2. When testing the NOx reduction REC in an engine test cell, the REC shall be
fitted so that there is a distance of at least 2 metres from the outlet of the
turbocharger (turbine), or the exit flange of the exhaust manifold in the case
of an engine not fitted with a turbocharger, to the REC inlet. If the applicant
can show that a distance shorter than the minimum distance specified here
will be used in all subsequent applications of the REC, the length of the pipe
used in the test cell may be correspondingly reduced. Insulation or similar
means of maintaining the exhaust temperature are permissible only if they
will also be used in the subsequent installation of the REC on the vehicle or
machine.
16. NOx and PM reduction REC family

The approval of a NOx and PM REC device 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) The PM reduction elements of the REC are in conformance with the
requirements of paragraph 14. of this Regulation;
(b) The NOx reduction elements of the REC are in conformance with the
requirements of paragraph 15. of this Regulation;
(c) The location of the PM and NOx reduction elements of the REC
relative to each other is the same as the relationship between these
elements in the tested device (for example the PM REC upstream of
the NOx REC).
Devices where PM and NOx reduction are performed on the same substrate
shall not be considered to be in the same family as devices where the two
activities are performed on separate substrates.
17. Fuel and specific fuel consumption

17.1. The testing of the REC shall be conducted with commercially available fuel
representative of that generally used for the type of vehicle or machine to
which the REC will be fitted.
22
17.2. The REC manufacturer may, as an alternative to using market fuel, apply to
the Type Approval Authority for permission to perform the tests on the REC
using a reference fuel. The reference fuel to be used in this case will be the
appropriate fuel specified in either Regulation No. 49 or Regulation No. 96.
17.3. The specific fuel consumption of the engine fitted with the REC during the
applicable test cycles (paragraphs 2.3. and 3.3. of Annex 5 to this Regulation,
paragraphs 2.3. and 3.3. of Annex 6 to this Regulation) shall be not more than
4 per cent greater in the retrofitted condition than the mean specific
consumption in the non-retrofitted condition.
18. Operating behaviour and safety hazard

18.1. The REC 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 vehicle or machine or its operating characteristics.
18.2. The REC 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 vehicle or machine unless
(a) The impairment does not cause a safety hazard;
(b) The impairment does not increase the fuel consumption beyond the
level set in paragraph 17. of this Regulation;
(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.
18.3. In order to ensure that the requirements of paragraph 20. and Annex 11 to
this Regulation with respect to installation and the provision of information
are properly complied with, the REC manufacturer shall make an assessment
of the safety hazards that might arise from installation of the REC on the
vehicle or machine. In performing this assessment he shall take as the
baseline the level of safety provided by the vehicle or machine when it was
first placed on the market.
19. Noise emissions

The applicant shall provide evidence that the retrofitting of a REC in
accordance with the supplied fitting instructions will not lead to an increase
of the vehicle's noise emissions. Evidence that the REC is intended only to be
fitted in addition to the original equipment manufacturer's standard
production silencer system on a road vehicle 4 will be considered to fulfil this
requirement.
4
Road vehicles, for this purpose, are category M2, M3 and N vehicles as defined in the Consolidated
Resolution on the Construction of Vehicles (R.E.3), (document ECE/TRANS/WP.29/78/Rev.3,
para. 2 - www.unece.org/trans/main/wp29/wp29wgs/wp29gen/wp29resolutions.html), excluding
those vehicles approved according to Regulation No. 83.
23
20. Installation of a REC

20.1. The REC manufacturer shall provide written installation guidelines and
operation and maintenance instructions in accordance with the requirements
of Annex 11 to this Regulation.
20.2. The attention of the REC manufacturer is drawn, in particular, to the
requirement in Annex 11 to this Regulation for the guidelines and
instructions:
(a) To be written in the language of the country in which the REC is sold
or in which the REC is expected to be used, and to be in clear
language appropriate to the intended readership;
(b) To remind the installer of his or her potential legal responsibilities;
(c) To indicate to the end user any requirements for the proper
maintenance of the REC, including, where relevant, the use of
consumable reagents or additives;
(d) To indicate any requirements or limitations on the use of the vehicle
or machine that is necessary in order to ensure safety and correct
functioning of the REC;
(e) To specify whether any reagents need to be refilled by the vehicle or
machine operator between normal maintenance intervals, and to
indicate a likely rate of reagent consumption;
(f) To specify the type and quality of any consumable reagents or
additives used;
(g) To remind the owner and operator of the vehicle or machine that,
where the fitting of the REC is a condition for its operation in a
particular country or area, or where fitting of the REC entitles the
vehicle or machine owner to incentives or privileges, the failure to
maintain the REC 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.
20.3. The REC manufacturer shall demonstrate to the Type Approval Authority.
The existence of adequate procedures to select, train and monitor authorised
REC installers.
21. Modification and extension of approval of a REC

21.1. Every modification relevant in the context of this Regulation of the REC
shall be notified to the Type Approval Authority, which granted the REC
type approval. The Type Approval Authority will then assess whether or not
the REC still complies with the requirements for inclusion in the appropriate
REC family.
The Type Approval Authority may require a further test report from the
Technical Service responsible for conducting the tests in order to assist in its
assessment.
24
21.2. Where the Type Approval Authority approves the modification, a reference
to the formal notification of that approval shall be included in the installation
manual for the REC.
21.3. Confirmation or refusal of approval, specifying the alteration, shall be
communicated by the procedure specified in paragraph 6. above to the
Contracting Parties to the 1958 Agreement applying this Regulation.
21.4. The Type Approval Authority issuing the extension of approval shall assign a
series number for such an extension and inform thereof the other Contracting
Parties to the 1958 Agreement applying to this Regulation of that number by
means of the Communication form specified in Annex 2 to this Regulation.
22. Conformity of production

22.1. The conformity of production procedures shall comply with those set out in
the 1958 Agreement, Appendix 2 (E/ECE/324 - E/ECE/TRANS/505/Rev.2).
22.2. The measures taken to guarantee conformity of production shall fulfil the
requirements of paragraph 2. of Appendix 2 to the 1958 Agreement.
22.3. Special requirements
(a) The checks as meant in paragraph 2.2. of Appendix 2 to the 1958
agreement include the checks on conformity with the criteria of article
paragraphs 7. and 8. of this Regulation.
(b) For the application of paragraph 2.4.4. of Appendix 2 to the 1958
Agreement the tests described in the paragraphs 8.2., 8.3. and 8.4. of
this Regulation may be carried out.
22.4. Before type approvals can be granted, the manufacturers shall submit the
following data on conformity of production for the purpose of the initial
assessment:
(a) A completed and signed application form, according to a model to be
provided by the Type Approval Authority;
(b) A description of the requested information, according to the
application form;
(c) A copy of the ISO 9001:2000 certificate, or any equivalent quality
system, with a relevant scope.
22.5. Based on this information manufacturers who have a certified quality system
may be admitted, to the type approval procedure, receiving an Initial
Assessment Statement based on the appraisal of documents.
22.6. In case the manufacturer does not have a certified quality system, a company
assessment is carried out based on ISO 9001:2000, including Conformity of
Production aspects.
22.7. At least the following aspects of ISO 9001:2000 are to be described and
verified:
(a) Quality management system;
(b) Responsibilities of the board;
25
(c) Management of resources;

(d) Realisation of the product;
(e) Measurement, analysis and improvement.
22.8. To confirm the existence of adequate measures and procedures for an
effective control on Conformity of Production the manufacturer receives a
Compliance Statement, at the published certificate fee.
22.9. The statement has a stated validity.
22.10. Before the expiration of the validity of both statements the Type Approval
Authority will carry out a Conformity of Production audit by process control
at the manufacturer, to verify the effectiveness of the applied Conformity of
Production controls.
22.11. In practising its surveillance on the Conformity of Production the Type
Approval Authority shall take into consideration the surveillance carried out
by the qualified authorities of other Contracting Parties to the 1958
Agreement.
23. Penalties for non-conformity of production

23.1. The type approval granted in respect of a type of REC pursuant to this
Regulation may be withdrawn if the requirements laid down in
paragraphs 21. and 22. above are not complied with.
23.2. If a Contracting Party to the Agreement applying this Regulation withdraws
an approval it has previously granted, it shall forthwith so notify the other
Contracting Parties applying this Regulation, by means of the
Communication specified in Annex 2 to this Regulation.
24. Production definitively discontinued

If the holder of the approval completely ceases to manufacture a type of
Retrofit Emission Control device approved in accordance with this
Regulation, he shall so inform the Type Approval Authority which granted
the type-approval. Upon receiving the relevant communication, that
Authority shall inform thereof the other Contracting Parties to the 1958
Agreement applying this Regulation by means of the Communication form
specified in Annex 2 to this Regulation.
25. Names and addresses of Technical Services

conducting approval tests and of Type Approval
Authorities
The Contracting Parties to the Agreement applying this Regulation shall
communicate to the United Nations Secretariat the names and addresses of
the Technical Services responsible for conducting approval tests and of the
Type Approval Authorities which grant type approval and to which forms
certifying type approval or extension or refusal or withdrawal of type-
approval, issued in other countries, are to be sent.
26
26. Transitional provisions

26.1. As from the official date of entry into force of the 01 series of amendments,
no Contracting Party applying this Regulation shall refuse to grant and refuse
to accept Type Approval under this Regulation as amended by the 01 series
of amendments.
26.2. As from the official date of entry into force of the 01 series of amendments,
Contracting Parties applying the 01 series of amendments of this Regulation
may refuse the type approval of REC which do not meet the requirements of
the 01 series of amendments to this Regulation.
26.3. Contracting Parties applying this Regulation may continue to grant approvals
to those REC which comply with any previous level of this Regulation
provided that the REC are intended for the use in Contracting Parties that
apply the relevant requirements in their national legislation.
27
Annex 1
Annex 1
Information document
Information document No..….. of Regulation No. 132 relating to the type approval of
Retrofit Emission Control devices (REC) for heavy duty vehicles, agricultural tractors and
non-road mobile machinery 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 Type Approval Authority, further information may be needed for REC
family members to demonstrate compliance with paragraphs 14., 15. or 16. of this
Regulation, as appropriate.
If the system, components or separate technical units have electronic controls, information
concerning their performance shall be supplied.
1. General
1.1. Make (trade name of manufacturer): .................................................................
1.2. Name and address of manufacturer: ..................................................................
...........................................................................................................................
1.3. Type of REC: ....................................................................................................
1.4. Location and method of affixing of the approval mark: ...................................
...........................................................................................................................
1.5. Address(es) of assembly plant(s): ......................................................................
...........................................................................................................................
2. Description of the device
2.1. Class of REC: ....................................................................................................
2.2. Make(s) (Commercial name), and manufacturer's type identification of the
REC: ..................................................................................................................
...........................................................................................................................
2.2.1. Identifying part number(s) of the REC: ............................................................
...........................................................................................................................
2.3. Engine type or types for which the REC is intended (application range): .........
...........................................................................................................................
2.4. Number(s) and/or character(s) characterising the engine baseline emission(s)
performance: 1....................................................................................................
1
As defined in paragraph 8.2. of this Regulation.
28
Annex 1
2.5. Number(s) and/or character(s) characterising the achieved engine emission(s)

performance: 1 ....................................................................................................
2.6. Reduction level of the REC as defined in paragraph 8.3. of this Regulation: ....
...........................................................................................................................
2.7. Is the REC intended to be compatible with OBD requirements: Yes/No2
2.8. Description and drawings showing the position of the REC device relative to
the engine exhaust manifold(s): .........................................................................
...........................................................................................................................
2.9. Maximum allowable exhaust back pressure of the REC: ............................ kPa
3. Characteristics of the particulate reduction REC and particulate reduction
REC family
3.1. Dimensions, shape and active volume of the particulate matter reduction
system: ..............................................................................................................
3.2. Maximum distance to the REC inlet from the outlet of the turbocharger
(turbine) or the outlet plane of the exhaust manifold where no turbocharger is
fitted.): ...............................................................................................................
3.3. Description drawings and part lists of the Particulate Matter (PM) reduction
REC
The description shall include a list of the main components (stating the part
numbers) that are assembled to a REC for each application. Furthermore the
description shall provide all information necessary to permit decisions
relating to the REC family to be made in accordance with paragraph 14. of
this Regulation.
3.3.1. Type of retention of the active element (for example, adhesive or mechanical
fixing): ..............................................................................................................
3.3.2. Working principle of the PM reduction active element (for example metallic
or ceramic material including material type, barrier filtration or aerodynamic
separation): .......................................................................................................
3.3.3. Design and characteristics of the filter or other active material as defined in
paragraph 14.1. (c) of this Regulation: ............. ................................................
...........................................................................................................................
3.3.3.1. Type(s) of catalytically active material(s) (if any): ...........................................
3.3.3.2. Physical design of the substrate: ........................................................................
3.3.3.3. Cell density, porosity, mean pore size and pore size distribution: .....................
...........................................................................................................................
3.3.4. Location (upstream/downstream), function and working principle (e.g.
oxidation) of any supplementary catalyst(s): .....................................................
3.3.4.1. Type(s) of catalytically active material(s): ........................................................
2
Strike out what does not apply.
29
Annex 1

3.3.4.3. Cell density: .......................................................................................................
3.3.5. Minimum volumetric concentration of catalytically active materials of each
element of the particulate reduction system including supplementary catalysts
(if fitted) (grams/m³): .........................................................................................
3.3.6. Maximum volumetric concentration of catalytically active materials of each
element of the particulate reduction system including supplementary catalysts
(if fitted) (grams/m³): .........................................................................................
3.3.7. The design characteristics of the canning or packaging: ...................................
3.3.8. Volume of each active component: ...................................................................
3.4. Method or system of regeneration (comprehensive description and/or
drawing): ............................................................................................................
...........................................................................................................................
3.4.1. Type of regeneration (for example periodic or continuous): .............................
...........................................................................................................................
3.4.2. Regeneration principle, frequency and strategy: ................................................
...........................................................................................................................
3.4.3. Method and control strategy for introducing additives or reagents (if used): ....
...........................................................................................................................
3.4.4. Type and concentration of reagent(s) or additive(s): ........................................
...........................................................................................................................
3.4.5. Frequency of reagent or additive refill: .............................................................
3.5. Description of PM reduction system monitoring (in accordance with
paragraph 7. of this Regulation): ......................................................................
...........................................................................................................................
3.6. Description of any modifications to the original engine or emissions control
system as defined in paragraph 11. of this Regulation: ....................................
...........................................................................................................................
3.7. Normal operating temperature: ........... (K) and pressure range: ............. (kPa)
3.8. Use of insulation: Yes/No2
3.8.1. Design and characteristics of the insulation: .....................................................
4. Characteristics of the NOx reduction rec and NOx reduction REC family
4.1. Dimensions, shape and active volume of the NOx reduction system: ...............
...........................................................................................................................
fitted.): ...............................................................................................................
30
Annex 1
4.3. Description, drawings and part lists of the NO x reduction REC

relating to the REC family to be made in accordance with paragraph 15. of
this Regulation
4.3.1. Type of retention of the active element (for example, adhesive or mechanical
fixing): ..............................................................................................................
4.3.2. Working principle of the NOx reduction active element (for example
Selective Catalytic Reduction, NOx Storage and Reduction): ..........................
...........................................................................................................................
4.3.3. Design and characteristics of the substrate and active material as defined in
paragraph 15.1. (d) and (e) of this Regulation: ..................................................
4.3.3.2. Physical design of the substrate: .......................................................................
4.3.3.3. Cell density: .......................................................................................................
oxidation) of any supplementary catalyst(s): ....................................................
4.3.4.1. Type(s) of catalytically active material(s): .......................................................
4.3.4.2. Physical design of the substrate: .......................................................................
4.3.4.3. Cell density: .......................................................................................................
element of the NOx reduction system including supplementary catalysts (if
fitted) (grams/m³):..............................................................................................
element of the NOx reduction system including supplementary catalysts (if
fitted) (grams/m³):..............................................................................................
4.3.7. The design characteristics of the canning or packaging: ...................................
4.4. Method or system of regeneration (if applicable) (comprehensive description
and/or drawing): ...............................................................................................
4.5. Method and control strategy for introducing additive(s) or reagent(s) (if
used): ................................................................................................................
...........................................................................................................................
4.5.1. Type and concentration of additive(s) or reagent(s): ........................................
...........................................................................................................................
4.5.2. Normal operational temperature range of reagent (K): .....................................
4.5.3. Frequency of reagent or additive refill: .............................................................
31
Annex 1
4.5.4. Control strategy (for example delay periods, reagent dosing rates, positioning
and characteristics of sensors, flow characteristics and reagent introduction
location): ............................................................................................................
4.6. Heated system: Yes/No2
4.6.1. Temperature control method (catalytic, thermal or electrothermal): .................
4.7. Description of NOx control diagnostic system (in accordance with Annex 10):
...........................................................................................................................
...........................................................................................................................
4.10.1. Design and characteristics of the insulation:......................................................
5. Characteristics of the NOx and PM reduction REC and the NOx and PM
reduction REC family
5.1. Dimensions, shape(s) and active volume(s) of the NOx and PM reduction
system: ..............................................................................................................
fitted): ...............................................................................................................
5.3. Description, drawings and part lists of the NO x and Particulate Matter (PM)
reduction REC
relating to the REC family to be made in accordance with paragraph 16 of
this Regulation.
5.3.1. Type of retention of the active element(s) (for example, adhesive or
mechanical fixing): ...........................................................................................
5.3.2. Working principles of the NOx reduction active element (for example
Selective Catalytic Reduction, NOx Storage and Reduction) and of the PM
reduction active element (for example metallic or ceramic material and
material type, barrier filtration or aerodynamic separation): ............................
...........................................................................................................................
5.3.3. Design and characteristics of the substrate(s) and active material(s) as defined
in paragraph 14.1. (c) and 15.1. (d) and (e) of this Regulation: ........................
...........................................................................................................................
5.3.3.2. Physical design of the substrate(s): ...................................................................
32
Annex 1
5.3.3.3. Working principle of the PM reduction active element (for example metallic
or ceramic material including material type, barrier filtration or aerodynamic
separation) .........................................................................................................
5.3.3.4. Cell density, porosity, mean pore size and pore size distribution of the PM
reduction active element: ..................................................................................
...........................................................................................................................
oxidation) of any supplementary catalyst(s): .....................................................
5.3.4.3. Cell density: .......................................................................................................
element of the NOx and PM reduction system including supplementary
catalysts (if fitted) (grams/m³): .........................................................................
...........................................................................................................................
element of the NOx and PM reduction system including supplementary
catalysts (if fitted) (grams/m³): ..........................................................................
...........................................................................................................................
5.3.7. The design characteristics of the canning or packaging: ..................................
5.4. Method(s) or system(s) of regeneration (if applicable) (comprehensive
description and/or drawing): .............................................................................
5.4.1. Type of PM reduction system regeneration (for example periodic or
continuous): ......................................................................................................
5.4.2. PM reduction system regeneration principle and regeneration strategy: ..........
...........................................................................................................................
5.5. Method and control strategy for introducing additives or reagents (if used):
...........................................................................................................................
5.5.1. Type and concentration of reagent(s) or additive(s) (if used): ..........................
...........................................................................................................................
5.5.2. Frequency of reagent(s) or additive(s) refill: ....................................................
5.5.3. Normal operational temperature range of NOx reduction reagent(s): ......... (K)
5.5.4. Control strategy (for example delay periods, reagent dosing rates, positioning
and characteristics of sensors, flow characteristics and reagent introduction
location): ...........................................................................................................
5.6. Heated system: Yes/No2
5.6.1. Temperature control method (catalytic, thermal or electrothermal): .................
5.7. Description of PM reduction system monitoring (in accordance with
paragraph 7.5.1. of this Regulation): .................................................................
33
Annex 1
5.8. Description of NOx control diagnostic system (in accordance with Annex 10):
...........................................................................................................................
...........................................................................................................................
5.11.1. Design and characteristics of the insulation:......................................................
34
Annex 2
Annex 2
Communication
(Maximum format: A4 (210 x 297 mm))
1
issued by: Name of administration:

......................................
......................................
......................................
Concerning: 2 Approval granted

Approval extended
Approval refused
Approval withdrawn
Production definitively discontinued
of a Type of Retrofit Emission Control device (REC) pursuant to Regulation No. 132
Type approval No. .................................... Extension No. ...........................................
1. Applicant's name and address: ..........................................................................
...........................................................................................................................
2. Manufacturer's name and address: ....................................................................
...........................................................................................................................
3. Manufacturer's trade name or mark: .................................................................
4. Type and commercial designation of the REC device: .....................................
...........................................................................................................................
5. Means of identification of type: ........................................................................
5.1. Location of that marking: .................................................................................
6. Engine type(s) for which the device type qualifies as a REC: ..........................
...........................................................................................................................
7. Type(s) of engine on which the REC has been tested:.......................................
...........................................................................................................................
1
Distinguishing number of the country which has granted/extended/refused/withdrawn approval (see
approval provisions in the Regulation).
2
Strike out what does not apply.
35
Annex 2
7.1. Has the REC demonstrated compatibility with OBD requirements: Yes/No 2
8. Location and method of affixing of the approval mark: ...................................
9. Submitted for type-approval on: ........................................................................
10. Technical Service responsible for approval tests: .............................................
10.1. Date of test report: ............................................................................................
10.2. Number of test report: .......................................................................................
11. Type-approval granted / extended / refused / withdrawn 2
12. Reason(s) of extension (if applicable): .............................................................
13. Engine type or types for which the REC is intended (application range) based
on test results: ...................................................................................................
14. REC Class I / II / III / IV 2 and reduction efficiency: .......................................
14.1. Designed for fitment to an engine meeting the emissions requirements of
(Regulation and Stage): ....................................................................................
14.2. The engine + REC system meets the requirements of (Regulation and Stage)
........................................................................... for NOx / PM / NOx and PM 2
14.3. The engine + REC system continues to meet the requirements of the above
Regulation and Stage for other pollutants regulated by that Regulation and
Stage: Yes/No 2
15. Annexed to this communication is a list of documents in the type approval
file deposited at the Type Approval Authority having delivered the type
approval and which can be obtained upon request.
16. The following documents, bearing the approval number shown above, are
annexed to this communication: .......................................................................
16.1. Verification of the engine baseline emissions: ..................................................
16.2. Determination of emissions with the REC fitted: .............................................
16.3. Results of the reduction efficiency: ..................................................................
16.4. Performance of an endurance run: ....................................................................
16.5. Determination of the NO2 emissions and of emissions of the other regulated
pollutants: .........................................................................................................
16.6. Declaration on noise emissions: .......................................................................
...........................................................................................................................
17. Place: ................................................................................................................
18. Date: .................................................................................................................
19. Signature: ..........................................................................................................
36
Annex 3
Annex 3
Addendum to the communication concerning a type of

retrofit emission control device (REC) pursuant to
Regulation No. 132
(Type approval No. ................................. Extension No. ..............................................)
1. Engines on which the retrofit emission control device has been tested:
Engine No. 1 2 n
Make
Type
Engine
Power
Category
2. Test results:
...........................................................................................................................
...........................................................................................................................
...........................................................................................................................
...........................................................................................................................
...........................................................................................................................
...........................................................................................................................
...........................................................................................................................
3. Engine type(s) for which the REC device is qualified (application range):
Number
Vehicle or engine manufacturer
Model year from/to
Engine type
Capacity / cylinder (cm³)
Capacity VH (cm³)
engine net power (kW with min-1)
Engine baseline emissions
Silencer replaced
Type identification of the REC
REC Type and Reduction Level
37
Annex 4
Annex 4
Arrangement of the REC type-approval mark

Model A
(See paragraph 5. of this Regulation)
Class II A
a = 8 mm min
The above example type-approval mark affixed to a REC shows that the type
concerned has been approved in the Netherlands (E 4), pursuant to Regulation No. 132
under type-approval No. 011234. The first two digits of the type-approval number indicate
that the approval was granted in accordance with the requirements of Regulation No. 132
in the form amended by this series. The approval mark shall also show the Class of REC (I,
IIA, IIB, III or IV).
38
Annex 5
Annex 5
Test of a particulate reduction REC (Class I or II REC)

Testing of a particulate reduction REC 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 9. of this Regulation.
2. Establishment of engine baseline emissions and specific fuel consumption
without REC fitted
2.1. The engine baseline emissions are established by performance of an
emissions test on the engine system without the REC in accordance with the
requirements of Regulation No. 49 or Regulation No. 96, as appropriate to
the application and type approval level of the base engine.
2.2. To enable the determination of reduction efficiency the emissions are
additionally established by performance of an emissions test in accordance
with the requirements of paragraph 8.3. of this Regulation.
2.3. The specific fuel consumption (g/kWh) shall be established by performance
of the emissions test in paragraph 2.2. of this annex.
3. Determination of emissions, fuel consumption and reduction efficiency with
the REC fitted after service accumulation run
3.1. The emissions are determined by performance of an emissions test in
accordance with the requirements of Regulation No. 49 or Regulation No. 96,
as appropriate to the intended application and intended emission level of the
candidate REC with the REC fitted in accordance with the requirements of
this Regulation.
3.2. For determination of reduction efficiency the emissions are additionally
established by performance of an emissions test with the REC fitted in
accordance with the requirements of paragraph 8.3. of this Regulation.
4. Determination of particulate reduction REC regeneration strategy and
regeneration characteristics
4.1. The particulate reduction REC regeneration strategy (periodically or
continuously) and the regeneration characteristics are established by use of
the following procedure.
4.2. In order to assess the regeneration performance of a particulate reduction
REC 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 REC system is
intended to permit the vehicle or machine to meet.
39
Annex 5
The gaseous emissions and the particulate mass, and the particle number
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 REC system is intended to be used. That is, one system test
takes place for each application area.
4.3. A particulate reduction REC 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 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 Type 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 4.6. 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 per cent 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:
variance  Standard deviation X (n)

Coefficient ofVariance
Average value X (n)
With:
n  x 2   x 
2
Standard deviation 
n n  1
and:
Average value  ( x1  x2  ...  xn ) / n
Where:
n= number of measured values
x= respective single measured value
4.4. Test of the regeneration characteristic of a particulate reduction REC
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
40
Annex 5
the particulate reduction system is not exceeded. The loading of the system
with particulate matter is preferably carried out by running the test engine at a
constant speed of between 50 per cent and 75 per cent of its rated speed.
After the REC 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
(That is, three ESC cycles, ETC cycles, WHSC cycles, WHTC cycles, NRSC
cycles, or NRTC cycles.) The measured exhaust gas pollutant values shall not
deviate from the measured exhaust gas pollutant values before the REC
loading procedure by more than 15 per cent for the gaseous emissions or
more than 20 per cent for the particulate mass or particle number.
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 REC.
As an alternative to using the loading procedure described above, the
manufacturer may provide a particulate reduction REC already loaded to the
limit for the regeneration test.
4.5. Assessment criteria for continuously regenerating particulate reduction REC
The REC system test of the particulate reduction REC is considered
satisfactory if the particulate emissions measured as defined in paragraph 8.
of this Regulation are met.
4.5.1. Regulated pollutants
The emissions of the regulated pollutants are determined by measurements
taken immediately after the tests to establish the regeneration characteristics.
The emissions of the regulated pollutants (CO, HC, PM and NO x) in the
initial condition and in the retrofitted condition shall be within the limit
values for the emissions stage or standard for which the engine was originally
type-approved. 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 NO 2 and NOx mass emissions is to be determined
by simultaneous measurement in accordance with paragraph 13.2. of this
Regulation.
4.6. Assessment criteria for periodically regenerating particulate reduction REC
This provision only applies to REC which utilise active regeneration.
The emissions shall be measured during at least three appropriate hot-start test
cycles (That is, three hot-start ESC cycles, ETC cycles, WHSC cycles, WHTC
cycles, NRSC cycles, or NRTC cycles.) One of the cycles from which
measurements are taken should include a regeneration event on a stabilized
REC system. The other two 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.
41
Annex 5
The REC manufacturer shall declare the conditions under which the
regeneration process normally occurs (the particulate loading, temperature,
exhaust back-pressure, 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 shall be agreed with the manufacturer by the Type
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
REC 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. of
this annex until the particulate reduction REC is loaded. Emissions
measurement is not required on cycles run for the purposes of loading the
REC 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 REC,
exhaust back pressure, 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.
Figure 1
Scheme of periodic regeneration
42
Annex 5
The system test of a periodically regenerating particulate reduction REC 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 REC to be approved.
4.6.1. Regulated pollutants
The emissions of regulated pollutants (CO, HC, PM and NO x) shall not
exceed the limit values for the standard to which the engine was originally
type approved, 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 NO 2 and NOx-mass emissions is to be determined
by simultaneous measurement in accordance with paragraph 4.7.2. of this
annex and paragraph 13. of this Regulation.
4.6.1.1. Weighted particulate emissions
The particulate emissions PM mass (g/kWh) for periodically regenerating
systems are determined as follows.
PM mass = PM massr 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 masswor = average specific emission from a test in which the regeneration
does not occur [g/kWh]
PM massr = 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 masswor (multiplicative adjustment factor)
or
k Ur = PM mass – PM masswor (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.
4.6.1.2. Weighted gaseous emissions
The emission of gaseous components Mgas (g/kWh) for periodically
regenerating systems is determined as follows.
Mgas = Mgasr x F + (1-F) x Mgaswor
43
Annex 5
Where:
F = frequency of the regeneration event in terms of the fraction of tests
during which the regeneration occurs
Mgaswor = average specific emission from a test in which the regeneration
does not occur [g/kWh]
Mgasr = 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 / Mgaswor (multiplicative adjustment factor)
or
k Ur = Mgas - Mgaswor (upward adjustment factor)
or
k Dr = Mgas - Mgas r (downward adjustment factor)
4.7. Determination of NO2 emissions
The testing shall be performed on the test engine selected by the criteria
described in paragraph 12. of this Regulation.
4.7.1. Selection of the particulate reduction REC for NO2 determination.
The REC used for testing may be different from the REC used in
paragraph 4.5. of this annex. The particulate reduction REC to be tested shall
be:
(a) A particulate reduction REC 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
(b) The particulate reduction REC containing the maximum charge of
platinum with the maximum total charge of catalytically active
material within the defined REC family.
The chosen particulate reduction REC shall be fitted in such a way that the
shortest distance between the engine and the particulate reduction REC, as
specified in the application range for the particulate reduction REC, is
achieved.
The particulate reduction REC shall be unloaded and shall not have been run
in for longer than 125 hours.
4.7.2. Determination of NO2 emissions
Three successive WHTC or NRTC 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 per cent of the mean, then an additional test cycle should be run.
The calculation of the NOx and NO2 emissions shall be determined for CI
engines used in vehicles of category M and N over the complete WHTC
cycle.
44
Annex 5
For CI engines used in non-road mobile machinery or Category T vehicles

having an installed net power higher than 18 kW, but not more than 560 kW
the calculation of the NOx and NO2 emissions shall be determined over the
complete NRTC cycle.
5. Test cycles
5.1. In cases where the approval of the engine with which the REC is to be used is
an on-road approval (performed in accordance with Regulation No. 49) the
test cycle to be used for approval of the REC shall be the test cycle associated
with the emissions stage in Regulation No. 49 for which approval of the REC
is being sought.
5.2. Where the engine is being used in an on-road application and has an approval
issued in accordance with the requirements of Regulation No. 49, the test
cycle to be used for the establishment of the base emissions of the engine
shall be the test cycle associated with the emissions stage in Regulation
No. 49 for which the engine has an approval.
5.3. Where the engine is being used in an on-road application but does not have
an approval issued in accordance with the requirements of Regulation No. 49,
the test cycle to be used for the establishment of the base emissions of the
engine shall be the test cycle associated with the emissions stage in
Regulation No. 49 for which approval of the REC is being sought.
a non-road approval (performed in accordance with Regulation No. 96) the
is being sought.
5.5. Where the engine is being used in a non-road application and has an approval
5.6. Where the engine is being used in a non-road application but does not have
Regulation No. 96 for which approval of the REC is being sought
5.7. For the purposes of establishing the REC efficiency and the emissions of NO 2
the appropriate test cycle is that defined in paragraph 8.3. of this Regulation.
45
Annex 6
Annex 6
Test of a NOx reduction REC (Class III REC)

Testing of a NOx reduction REC is performed in the following series of stages, including an
assessment of the emissions of secondary pollutants and determination of the NO 2
emissions:
1. Performance of a service accumulation run.
without REC fitted
2.1. The engine baseline emissions are established by performance of an
emissions test on the engine system without the REC in accordance with the
requirements of Regulation No. 49 or Regulation No. 96, as appropriate to
the application and type approval level of the base engine.
2.2. To enable the determination of reduction efficiency the emissions are
additionally established by performance of an emissions test in accordance
with the requirements of paragraph 8.3. of this Regulation.
3. Determination of emissions, specific fuel consumption and reduction
efficiency with the REC fitted after service accumulation run.
3.1. The emissions are determined by performance of an emissions test in
accordance with the requirements of Regulation No. 49 or Regulation No. 96,
as appropriate to the intended application and intended emission level of the
candidate REC with the REC fitted in accordance with the requirements of
this Regulation.
3.2. For determination of reduction efficiency the emissions are additionally
established by performance of an emissions test with the REC fitted in
accordance with the requirements of paragraph 8.3. of this Regulation.
4. Assessment criteria for NOx reduction REC
The REC system test of the NOx reduction REC is considered satisfactory if
the gaseous and particulate emissions measured as defined in paragraph 8. of
this Regulation are met.
4.1. Regulated pollutants
The emissions of the regulated pollutants (CO, HC, PM and NO x) in the
initial condition shall be within the limit values for the emissions stage or
standard for which the engine was originally type-approved.
46
Annex 6
4.2. 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 measurement in accordance with paragraph 13.2. of this
Regulation.
4.3. Determination of NO2 emissions
The testing shall be performed on the test engine selected by the criteria
described in paragraph 12. of this Regulation.
Three successive WHTC or NRTC 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 per cent of the mean, then an additional test cycle shall be run.
The calculation of the NOx and NO2 emissions shall be determined for CI
engines used in vehicles of category M and N over the complete WHTC
cycle.
For CI engines used in non-road mobile machinery or Category T vehicles
having an installed net power higher than 18 kW, but not more than 560 kW
the calculation of the NOx and NO2 emissions shall be determined over the
complete NRTC cycle.
5. Test cycles
an on-road approval (performed in accordance with Regulation No. 49) the
is being sought.
5.2. Where the engine is being used in an on-road application and has an approval
5.3. Where the engine is being used in an on-road application but does not have
Regulation No. 49 for which approval of the REC is being sought.
a non-road approval (performed in accordance with Regulation No. 96) the
is being sought.
5.5. Where the engine is being used in a non-road application and has an approval
47
Annex 6
5.6. Where the engine is being used in a non-road application but does not have
Regulation No. 96 for which approval of the REC is being sought
5.7. For the purposes of establishing the REC efficiency and the emissions of NO 2
the appropriate test cycle is that defined in paragraph 8.3. of this Regulation.
48
E/ECE/324/Rev.2/Add.131
E/ECE/TRANS/505/Rev.2/Add.131
Annex 7
Annex 7
Tests of a PM and NOx reduction REC (Class IV REC)

Testing of a NOx and PM reduction REC 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.
without REC fitted
Tests of a PM and NOx reduction REC shall meet the relevant requirements
for testing for each of the pollutants set out in paragraph 2. of Annex 5 to this
Regulation and paragraph 2. of Annex 6 to this Regulation.
3. Determination of emissions, specific fuel consumption and reduction
efficiency with the REC fitted after service accumulation run.
Tests of a PM and NOx reduction REC shall meet the relevant requirements
Regulation and paragraph 3. of Annex 6 to this Regulation.
4. Assessment criteria for NOx and PM reduction REC
4.1. Tests of a PM and NOx reduction REC shall meet the relevant requirements
Regulation and paragraph 4. of Annex 6 to this Regulation, except as
indicated in paragraph 4.2. of this annex.
4.2. For Class IV REC with a particulate reduction REC installed upstream of the
NOx reduction REC, paragraph 4.7.1. of Annex 5 to this Regulation shall not
apply.
5. Test cycles.
5.1. Tests of PM and NOx reduction REC shall be undertaken using the test cycles
that meet all of the requirements of Annex 5 and Annex 6 to this Regulation.
49
Annex 8
Annex 8
Test sequences
1. Test sequence for particulate reduction REC
50
Annex 8
2. Test sequence for NOx reduction REC
Start
1000h Durability
testing
Paragraph 9
Engine baseline emissions;

Annex 6, 2.1
YES
Specific requirements for

REC requiring a REC requiring a
reagent or additive? reagent or additive
Paragraph
Paragraphs7.6
7.6and
and 7.7
7.7
NO
Performance requirements Paragraph 8

(REC and test engine in accordance
with Paragraph 12)
Secondary emissions requirements Paragraph 8.6
Determination of NO2 emissions; Annex 6, 4.2 to 4.3
Requirements of the NOx control diagnostic system of

NOx or NOx and PM reduction REC requiring a
reagent; Annex 10
NOx Reduction REC in accordance with Paragraph 8 and Annex 6
51
Annex 8
3. Test sequence for particulate and NOx reduction REC
Start
1000h Durability
testing
Paragraph 9
Engine baseline emissions;

Annex 5, 2.1 / Annex 6, 2.1
YES
Specific requirements for
REC requiring a REC requiring a
reagent or additive? reagent or additive
Paragraph 7.6
Paragraphs 7.6 and
and 7.7
7.7
NO
Performance requirements Paragraph 8

(REC and test engine in accordance
with Paragraph 12)
Secondary emissions requirements Paragraph 8.6
Continuously regenerating Test of REC regeneration strategy; Periodically regenerating

Annex 5, 4.1
Active
regeneration
provisions ? YES
NO
Test of the REC regeneration characteristic;

Annex 5, 4.4
Assessment criteria for periodically regenerating REC;

Annex 5, 4.6
Determination of NO2 emissions; Annex 6, 4.2 to 4.3
Requirements of the NOx control diagnostic system of NOx or NOx and PM reduction REC requiring a
reagent; Annex 10
Particulate and NOx reduction REC in accordance with Paragraph 8 and Annex 7
52
Annex 9
Annex 9
Limit value equivalence tables

1. The requirements for each type of REC in terms of meeting the limits of the
next more stringent emission stage, as required by paragraph 8.2. of this
Regulation, are illustrated in the tables below.
2. The tables below show emission limits in g/kWh that would have to be met in
order to achieve equivalence to the standard shown from each baseline.
3. The efficiency requirements detailed in paragraph 8.3. of this Regulation may
require that the measured emissions are lower than these limit values.
Table A9/1
Equivalence matrix for Regulation No. 49 Standard series
Emission limits in g/kWh
Baseline* Component Class I/IIA/IIB Class III Class IV
To the standard of To the standard of To the standard of
A B1 B2 C A B1 B2 A B1 B2 C
(ESC) - - - - 5.0 3.5 2.0 5.0 3.5 2.0 2.0
NOx
(ETC) - - - - 5.0 3.5 2.0 5.0 3.5 2.0 2.0
Before A
(ESC) 0.10 (1) 0.02 0.02 0.02 - - - 0.10 (1)
0.02 0.02 0.02
PM
(ETC) 0.16 (2) 0.03 0.03 0.02 - - - 0.16 (2) 0.03 0.03 0.02
(1)
0.13 g/kWh for engines having a swept volume of less than 0.75 dm³ per cylinder and a rated power speed of more than 3000 min-1
(2)
0.21 g/kWh for engines having a swept volume of less than 0.75 dm³ per cylinder and a rated power speed of more than 3000 min-1
Class I/IIA/IIB Class III Class IV

Baseline* Component
B1 B2 C B1 B2 C B1 B2 C
NOx (ESC) - - - 3.5 2.0 2.0 3.5 2.0 2.0
(ETC) - - - 3.5 2.0 2.0 3.5 2.0 2.0
A
(ESC) 0.02 0.02 0.02 - - - 0.02 0.02 0.02
PM
(ETC) 0.03 0.03 0.02 - - - 0.03 0.03 0.02

Baseline* Component
B2 C D B2 C D B2 C D
(ESC) - - - 2.0 2.0 2.0 2.0 -
(ETC) - - - 2.0 2.0 2.0 2.0 -
NOx
(WHSC) - - - - - 0.4 - - 0.4
(WHTC) - - - - - 0.46 - - 0.46
B1
(ESC) 0.02 0.02 - - - - 0.02 0.02 -
(ETC) 0.03 0.02 - - - - 0.03 0.02 -
PM
(WHSC) - - 0.01 - - - - - 0.01
(WHTC) - - 0.01 - - - - - 0.01
53
Annex 9

Baseline * Component
C D C D C D
(ESC) - - 2.0 - 2.0 -
NOx (ETC) - - 2.0 - 2.0 -
(WHSC) - - - 0.4 - 0.4
(WHTC) - - - 0.46 - 0.46
B2
(ESC) 0.02 - - - 0.02 -
(ETC) 0.02 - - - 0.02 -
PM
(WHSC) - 0.01 - - - 0.01
(WHTC) - 0.01 - - - 0.01
*
Where A, B1, B2 and C correspond to the limit values in tables 1 and 2 of the 05 series of amendments to Regulation No. 49 and D
corresponds to the limit values in the 06 series of amendments to Regulation No. 49.
Table A9/2
Equivalence Matrix for Regulation No. 96 / REC Class I / II
Baseline* Net Power Component Class I / II, to the standard of
[kW] [g/kWh] H I J K L M N P Q R
E 130 ≤ P ≤ 560 PM - - - - 0.025 - - - 0.025 -
F 75 ≤ P < 130 PM - - - - - 0.025 - - - 0.025
G 37 ≤ P < 75 PM - - - - - - 0.025 (1)
0.025 -(2)
- 0.025 (1)
D 18 ≤ P < 37 PM - - - 0.6 (3) - - - - - -
H 130 ≤ P ≤ 560 PM - - - - 0.025 - - - 0.025 -

I 75 ≤ P < 130 PM - - - - - 0.025 - - - 0.025
J 37 ≤ P < 75 PM - - - - - - 0.025 (1) 0.025(2)- - 0.025 (1)
K 19 ≤ P < 37 PM - - - - - - - - - -
L 130 ≤ P ≤ 560 PM - - - - - - - - - -
M 75 ≤ P < 130 PM - - - - - - - - - -
N 56 ≤ P < 75 PM - - - - - - - - - -
P 37 ≤ P < 56 PM - - - - - - - - - -
(1)
Only for engines 56 ≤ P < 75
(2)
(3)
Only for engines 19 ≤ P < 37. Engines 18 ≤ P <19 are to be treated as having no further stage
*
Where the baseline corresponds to that in Regulation No. 96, Revision 2.
54
Annex 9
Table A9/3
Equivalence Matrix for Regulation No. 96 / REC Class III
Baseline* Net Power Component Class III, to the standard of
E 130 ≤ P ≤ 560 NOx 4.0 (4) - - - 2.0 - - - 0.4 -
F 75 ≤ P < 130 NOx - 4.0 (4)
- - - 3.3 - - - 0,4
G 37 ≤ P < 75 NOx - - 4.7 (4)
- - - 3.3 (1)
4.7 (2,4)
- - 0.4 (1)-
D 18 ≤ P < 37 NOx - - - 7.5 (3,4) - - - - - -
H 130 ≤ P ≤ 560 NOx (3) - - - - 2.0 - - - 0.4 -

I 75 ≤ P < 130 NOx (3)
- - - - - 3.3 - - - 0.,4)
J 37 ≤ P < 75 NOx (3) - - - - - - 3.3 (1) 4.7(2,4)- - 0.4 (1)
K 19 ≤ P < 37 NOx (3) - - - - - - - - - -
L 130 ≤ P ≤ 560 NOx - - - - - - - - 0.4 -

M 75 ≤ P < 130 NOx - - - - - - - - - 0.4
N 56 ≤ P < 75 NOx - - - - - - - - - 0.4
P 37 ≤ P < 56 NOx - - - - - - - - - -
(1)
(2)
(3)
Only for engines 19 ≤ P < 37. Engines 18 ≤ P <19 are to be treated as having no further stage
(4)
Sum of hydrocarbons and oxides of nitrogen
*
55
Annex 9
Table A9/4
Equivalence Matrix for Regulation No. 96 / REC Class IV
Baseline* Net Power Component Class IV, to the standard of
PM - - - - 0.025 - - - 0.025 -
E 130 ≤ P ≤ 560
(4)
NOx 4.0 - - - 2.0 - - - 0.4 -
PM - - - - - 0.025 - - - 0.025
F 75 ≤ P < 130
(4)
NOx - 4.0 - - - 3.3 - - - 0.4
(1) (2)
PM - - - - - - 0.025 0.025 - - 0.025 (1)
G 37 ≤ P < 75
NOx - - 4.7 (4) - - - 3.3 (1) 4.7(2,4)- - 0.4 (1)
PM - - - 0.6 (3) - - - - - -
D 18 ≤ P < 37
(3,4)
NOx - - - 7.5 - - - - - -
PM - - - - 0.025 - - - 0.025 -
H 130 ≤ P ≤ 560
(3)
NOx - - - - 2.0 - - - 0.4 -
PM - - - - - 0.025 - - - 0.025
I 75 ≤ P < 130
NOx (3) - - - - - 3.3 - - - 0.4
(1) (2)
PM - - - - - - 0.025 0.025 - - 0.025 (1)
J 37 ≤ P < 75
NOx (3) - - - - - - 3.3 (1) 4.7 (2,4) - 0.4 (1)
PM - - - - - - - - - -
K 19 ≤ P < 37
NOx (3) - - - - - - - - - -
PM - - - - - - - - - -
L 130 ≤ P ≤ 560
NOx - - - - - - - - 0.4 -
PM - - - - - - - - - -
M 75 ≤ P < 130
NOx - - - - - - - - - 0.4
PM - - - - - - - - - -
N 56 ≤ P < 75
NOx - - - - - - - - - 0.4
PM - - - - - - - - - -
P 37 ≤ P < 56
NOx - - - - - - - - - -
(1)
(2)
(3)
Only for engines only for engines 19 ≤ P < 37. Engines 18 ≤ P <19 are to be treated as having no further
(4)
Sum of hydrocarbons and oxides of nitrogen
*
56
Annex 10
Annex 10
Requirements of the NOx control diagnostic system of NOx

reduction or NOx and particulate reduction REC requiring a
reagent
1. Introduction
This annex sets out the requirements of the NOx control diagnostic (NCD)
system for NOx reduction or NOx and particulate reduction REC that rely on
the use of a reagent in order to reduce NOx emissions.
2. Diagnostic requirements
2.1. The NCD system shall be able to identify REC related malfunctions
considered by this annex by means of failure messages stored in the REC
computer memory and to communicate that information off-board upon
request.
2.2. The NCD system shall record a failure message for each distinct malfunction.
2.3. The NCD system shall conclude whether a malfunction is present.
2.3.1. The malfunction shall be detected within 60 minutes of operation, except for
the cases laid down in paragraphs 2.3.1.1. and 2.3.2. of this annex.
2.3.1.1. In cases where more than 60 minutes running time is required for the
monitors to accurately detect and confirm a malfunction, the Type Approval
Authority may permit a longer period for monitoring provided the REC
manufacturer justifies the need for the longer period (for example by
technical rationale, experimental results, in house experience).
2.3.2. The malfunction shall be detected within 10 minutes of operation for
monitoring the reagent level and the dosing detection for a non-heated REC
system.
2.4. Failures messages shall not be erased by the NCD system itself from the REC
computer memory until the failure related to that message has been remedied,
except for the case laid down in paragraph 6.1.4. of this annex.
2.5. Any reprogrammable computer codes or operating parameters of the NCD
system shall be resistant to tampering and afford a level of protection at least
as good as the provisions in ISO 15031-7 (SAE J 2186) or SAE J1939-73
3. NCD family
3.1. The REC manufacturer is responsible for determining the composition of an
NCD family. Grouping engines within an NCD family shall be based on
good engineering judgement and be subject to approval by the Type
Approval Authority.
Engines that do not belong to the same engine family incl. engines from
different engine manufacturers may still belong to the same NCD family.
57
Annex 10
3.2. Parameters defining an NCD family

3.2.1. An NCD family is characterised by basic design parameters that shall be
common to NCD systems within the family.
3.2.2. In order that NCD systems are considered to belong to the same NCD family,
the following list of basic parameters shall be similar:
(a) NOx emission control systems;
(b) Methods of NCD monitoring;
(c) Criteria for NCD monitoring;
(d) Monitoring parameters (e.g. frequency).
3.2.3. These similarities shall be demonstrated by the REC manufacturer by means
of relevant engineering demonstration or other appropriate procedures and
subject to the approval of the Type Approval Authority.
The manufacturer may request approval by the Type Approval Authority of
minor differences in the methods of monitoring/diagnosing the NCD system
due to engine configuration variation.
4. Operator warning system
4.1. The REC shall include an operator warning system using visual and audible
alarms that informs the driver or operator when a low reagent level, incorrect
reagent quality, interruption of dosing or a malfunction according to
paragraph 10. of this annex have been detected in accordance with
paragraph 2.3. of this annex and that will lead to activation of the operator
inducement system described in paragraph 5. of this annex, if not rectified in
a timely manner.
4.1.1. The operator warning system shall not be easily disabled or ignored.
4.2. The operator warning system may consist of one or more lamps, or display
short messages, including messages indicating clearly:
(a) The remaining time before activation of the inducement;
(b) The amount of inducement, for example the amount of time for restart;
(c) The conditions under which vehicle or machine disablement can be
cleared.
4.3. Upon detection of the malfunction in accordance with paragraph 2.3. of this
annex, a visual warning in accordance with paragraph 4.2. of this annex shall
be activated.
4.4. 10 hours after detection of the malfunction, an audible warning shall be
activated in addition to the visual warning.
4.5. Between 10 hours and 19 hours after detection of the malfunction, the visual
and audible warnings shall escalate in intensity.
4.6. 19 hours after detection of the malfunction, the driver or operator shall be
informed that after an additional hour of operation without having remedied
the malfunction, the engine will not start after engine shut off.
58
Annex 10
4.6.1. This warning shall be clearly displayed by:

(a) Activating a second lamp, whose meaning is described in the REC
manual; or
(b) Display a message, for example "engine will not start after shut-off".
4.7. The operator warning system shall be deactivated when the conditions for its
activation have ceased to exist. The operator warning system shall not be
automatically deactivated without the reason for its activation having been
remedied.
4.8. As part of the application for type-approval, the REC manufacturer shall
demonstrate the operation of the operator warning system, as specified in
paragraph 11. of this annex.
5. Operator inducement system
5.1. The REC shall incorporate an operator inducement system that shall be
activated, if failures of the REC system have not been rectified in a timely
manner.
5.2. The operator inducement system shall be activated 20 hours after detection of
the malfunction, unless otherwise noted in paragraphs 6.2. and 7.3. of this
annex.
5.3. The direct current to the engine starter (for example terminal 30 in
accordance with DIN 72552) shall be interrupted, as follows:
5.3.1. An interruptor switch shall be installed between battery and engine starter,
whose operation shall be controlled by the NCD system.
5.3.2. The connectors of the interruptor switch shall be made of breakaway safety
devices, such as shear bolt, breakaway valve or similar.
5.4. After engine shut-off, an engine re-start shall not be possible for 5 hours.
5.5. As part of the application for type-approval, the REC manufacturer shall
demonstrate the operation of the operator inducement system, as specified in
5.6. Upon prior approval of the Type Approval Authority, the REC may be fitted
with a means to disable the operator inducement system during an emergency
declared by a national or regional government, their emergency services or
their armed services.
6. Specific requirements of the operator warning and inducement system
6.1. If a malfunction has not been remedied after engine re-start in accordance
with paragraph 5.4. of this annex, the following provisions apply:
6.1.1. The operator warning system shall be activated in accordance with
paragraphs 4.3. to 4.7. of this annex.
6.1.2. The operator inducement system shall be activated in accordance with
paragraphs 5.2 and 5.3. of this annex, 20 hours after detection of the
malfunction in paragraph 6.1.1. of this annex.
6.1.3. After engine shut-off, an engine re-start shall not be possible for 48 hours.
59
Annex 10
6.1.4. Non-erasable failure messages identifying the reason of failures of the REC
system shall be stored by the NCD system for at least 400 days.
6.1.4.1. The failures messages shall be accessible via a generic scan-tool, as defined
in paragraph 3.36.1. of this Regulation.
6.1.5. If the failure has been remedied after the engine shut-off, the NCD system
may enable an engine re-start prior to the 48 hours period upon request of a
proprietary scan-tool, as defined in paragraph 3.36.2. of this Regulation,
using a pass code provided by the REC manufacturer or an authorized dealer
upon request.
6.1.5.1. The REC manufacturer shall ensure that adequate tools are available on
market for service or dealers.
6.1.5.2. The provision in paragraph 6.1.5. of this annex shall not be used more than
one time.
6.1.5.3. The provisions of paragraph 6.1.4. of this annex apply.
6.2. Non-heated REC system
6.2.1. The operator warning system described in paragraph 4.3. of this annex shall
be activated if no reagent dosing occurs at an ambient temperature ≤ 266 K
(-7 °C) in accordance with paragraph 2.3.2. of this annex.
6.2.2. The operator inducement system described in paragraphs 5.3. to 5.6. of this
annex shall be activated if no reagent dosing occurs within a maximum of
70 minutes after engine start at an ambient temperature ≤ 266 K (-7 °C).
7. Reagent availability
7.1. Reagent level indicator
The minimum acceptable performance level for the reagent indicator is that it
shall continuously indicate the reagent level whilst the operator warning
system referred to in paragraph 4. of this annex is activated. The reagent
indicator may be in the form of an analogue or digital display, and may show
the level as a proportion of the full tank capacity, the amount of remaining
reagent, or the estimated operating hours remaining.
7.2. Activation of the operator warning system
paragraph 4.3. of this annex when the level of reagent goes below
(a) 10 per cent of the capacity of the reagent tank or a higher percentage
at the choice of the REC manufacturer; or
(b) A level corresponding to 12 hours of usage of the vehicle or machine
under average conditions of operation.
7.2.2. The warning provided shall be sufficiently clear, in conjunction with the
reagent indicator, for the driver or operator to understand that the reagent
level is low. When the warning system includes a message display system,
the visual warning shall display a message indicating a low level of reagent.
(For example "urea level low", "AdBlue level low", or "reagent low").
7.2.3. Paragraphs 4.4. to 4.6. of this annex do not apply.
60
Annex 10
7.2.4. The operator warning system shall escalate in intensity when the level of
reagent goes below:
(a) 2.5 per cent of the capacity of the reagent tank or a higher percentage
at the choice of the REC manufacturer; or
(b) A level corresponding to 3 hours of usage of the vehicle or machine
under average conditions of operation.
This warning shall be clearly displayed by:
(a) Activating a second lamp, whose meaning is described in the REC
manual; or
(b) Display a message, for example "fill up urea", "fill up AdBlue", or
"fill up reagent".
7.2.5. It shall not be possible to turn off the operator warning system until the
reagent has been replenished to a level not requiring its activation.
7.3. Activation of the operator inducement system
7.3.1. The operator inducement system described in paragraphs 5.3. to 5.6. of this
annex shall be activated if the reagent tank is empty, or at any level below
2.5 per cent of its nominally full capacity at the discretion of the REC
manufacturer.
7.3.2. It shall not be possible to turn off the operator inducement system until the
reagent has been replenished to a level not requiring their respective
activation.
8. Reagent quality monitoring
8.1. The REC shall include a means of determining the presence of an incorrect
reagent in the tank, for example NOx sensor, reagent quality sensor, or
equivalent.
8.2. The manufacturer shall specify a minimum acceptable reagent concentration
CDmin, which results in tailpipe NOx emissions not exceeding
(a) 0.9 g/kWh for retrofitted engine systems complying with the NO x
emission limit for stage Q and R of Regulation No. 96; or
(b) The NOx emission limit + 1.5 g/kWh for all other systems.
8.2.1. The correct value of CDmin shall be demonstrated during type approval as
follows and recorded in the documentation package as specified in Annex 1.
8.2.1.1. The test shall be conducted by performing the hot part of the WHTC or
NRTC cycle, whichever applies, using a reagent with the concentration
CDmin.
8.2.1.2. A WHTC or NRTC preconditioning cycle or REC manufacturer defined pre-
conditioning cycle may be conducted, permitting a closed loop NO x control
system to perform adaptation to the quality of the reagent with the
concentration CDmin.
8.2.1.3. The NOx emission resulting from this test shall be lower than the NO x
threshold specified in paragraph 8.2. of this annex.
61
Annex 10
8.2.2. Any reagent concentration lower than CDmin shall be detected and be
regarded, for the purpose of paragraph 8.1. of this annex, as being incorrect
reagent.
8.3. A specific counter ("the reagent quality counter") shall be attributed to the
reagent quality. The reagent quality counter shall count the number of
operating hours with an incorrect reagent.
8.3.1. Optionally, the manufacturer may group the reagent quality failure together
with the failures listed in paragraphs 9. and 10. of this annex into a single
counter.
8.4.2. When the operator warning system includes a message display system, it
shall display a message indicating the reason of the warning if technically
feasible (for example "incorrect urea detected", "incorrect AdBlue detected",
or "incorrect reagent detected").
9. Reagent dosing activity
9.1. The engine shall include a means of determining interruption of dosing.
9.2. A specific counter shall be attributed to the dosing activity (the "dosing
activity counter"). The counter shall count the number of operating hours
which occur with an interruption of the reagent dosing activity. This is not
required where such interruption is demanded because vehicle or machine
operating conditions are such that their emission performance does not
require reagent dosing.
9.2.1. Optionally, the REC manufacturer may group the reagent dosing failure
together with the failures listed in paragraphs 8. and 10. of this annex into a
single counter.
9.3.2. When the warning system includes a message display system, it shall display
a message indicating the reason of the warning (e.g. "urea dosing
malfunction", "AdBlue dosing malfunction", or "reagent dosing
malfunction").
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Annex 10
10. Monitoring failures that may be attributed to tampering

10.1. In addition to the level of reagent in the reagent tank, the reagent quality, and
the interruption of dosing, the following failures shall be monitored because
they may be attributed to tampering:
(a) Disconnect reagent dosing valve;
(b) Disconnect reagent pump;
(c) Failures or disconnect of the NCD system, as described in
paragraph 10.1.1. of this annex.
10.1.1. The NCD system shall be monitored for electrical failures and for removal or
deactivation of any sensor that prevents it from diagnosing any other failures
mentioned in paragraphs 7. to 9. of this annex.
A non-exhaustive list of sensors that affect the diagnostic capability are those
directly measuring NOx concentration, urea quality sensors, ambient sensors
and sensors used for monitoring reagent dosing activity, reagent level, or
reagent consumption.
10.2. A specific counter shall be attributed to each of the monitoring failures
considered in paragraph 10.1. of this annex. The NCD system counters shall
count the number of operating hours when the diagnostic capability of the
NCD system is not available. Grouping of several faults into a single counter
is permitted.
10.2.1. Optionally, the manufacturer may group the NCD system failure together
with the failures listed in paragraphs 8. and 9. of this annex into a single
counter.
10.3. As an alternative to the requirements in paragraph 10.1. of this annex, the
manufacturer may use a NOx sensor located in the exhaust gas. In this case:
(a) The NOx value shall not exceed the lower threshold between:
(i) Twice the applicable REC type approval NOx limit; or
(ii) An increase of no more than 1 g/kWh above the applicable
REC type approval NOx limit;
(b) A single failure "high NOx - root cause unknown" may be used.
10.4.2. When the warning system includes a message display system, it shall display
a message indicating either the reason of the warning (for example "reagent
dosing valve disconnected", or "critical emission failure").
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Annex 10
11. Demonstration requirements

11.1. The compliance to the requirements of this annex shall be demonstrated
during type-approval by performing:
(a) A demonstration of the operator warning system activation;
(b) A demonstration of the operator inducement system activation.
11.2. Demonstration of the operator warning system activation.
11.2.1. The compliance of the warning system activation shall be demonstrated by
performing two tests: lack of reagent, and one failure category considered in
paragraphs 8. to 10. of this annex.
11.2.2. For the purpose of demonstrating the activation of the warning system in case
of a wrong reagent quality, a reagent shall be selected with a dilution of the
active ingredient at least as dilute as that communicated by the manufacturer
(CDmin) according to the requirements of paragraph 8.2. of this annex
11.2.3. For the purpose of demonstrating the activation of the operator warning
system, the selection shall be performed on the basis of a list of potential
failures provided by the REC manufacturer to the Type Approval Authority,
and agreed by the Type Approval Authority.
11.2.4. For the purpose of this demonstration, a separate test shall be performed for
each of the failures considered in paragraph 11.2.1. of this annex.
11.2.5. During a test, no failure shall be present other than the one addressed by the
test.
11.2.6. Prior to starting a test, all failure messages shall have been erased.
11.2.7. At the request of the manufacturer, and with the agreement of the Type
Approval Authority, the failures subject to testing may be simulated.
11.2.8. Demonstration test procedure for failures other than lack of reagent
11.2.8.1. Once the failure has been installed or simulated, the NCD system shall
respond to the introduction of a failure within three consecutive hot WHTC
or hot NRTC cycles, as applicable.
11.2.8.2. Each individual test cycle in the demonstration test may be separated by an
engine shut-off.
11.2.9. Demonstration test procedure in case of lack of reagent
11.2.9.1. The REC system shall be operated over one or more hot WHTC or hot NRTC
cycles, as applicable, at the discretion of the REC manufacturer.
11.2.9.2. The demonstration shall start with a level of reagent in the tank to be agreed
between the REC manufacturer and the Type Approval Authority but
representing not less than 10 per cent of the nominal capacity of the tank.
11.2.10. The demonstration of the warning system activation is deemed to be
accomplished if, at the end of each demonstration test performed according to
paragraphs 11.2.8. and 11.2.9. of this annex, the warning system has been
properly activated in accordance with paragraph 4. of this annex.
11.2.11. The manufacturer shall be permitted to simulate, in agreement with the Type
Approval Authority, the achievement of a certain number of operating hours.
64
Annex 10
11.3. Demonstration of the operator inducement system activation

11.3.1. The demonstration of the operator inducement system shall be done by tests
performed on an engine test bench.
11.3.2. If the REC manufacturer chooses, and subject to the agreement of the Type
Approval Authority, the demonstration tests may be performed on a complete
vehicle or machine either by mounting the vehicle or machine on a suitable
test bed or by running it on a test track under controlled conditions.
11.3.3. The compliance of the inducement system activation shall be demonstrated
by performing two tests: lack of reagent, and one failure category considered
in paragraphs 8. to 10. of this annex.
11.3.4. For the purpose of this demonstration, the failures selected for the warning
system activation shall be used.
11.3.5. The demonstration starts when the warning system has been activated as a
result of the detection of a failure selected by the Type Approval Authority.
11.3.6. When the system is being checked for its reaction to the case of lack of
reagent in the tank, the engine shall be run until the reagent tank is empty, or
has reached the level of 2.5 per cent of the nominal full capacity of the tank
or the value declared by the manufacturer in accordance with
paragraph 7.3.1. of this annex.
11.3.6.1. The manufacturer may, with the agreement of the Type Approval Authority,
simulate continuous running by extracting reagent from the tank, either
whilst the engine is running or is stopped.
11.3.7. When the system is checked for its reaction in the case of a failure other than
a lack of reagent in the tank, the engine shall be run for the relevant number
of hours indicated in paragraph 5.2. of this annex.
11.3.8. The manufacturer shall be permitted to simulate, in agreement with the Type
Approval Authority, the achievement of a certain number of operating hours.
11.3.9. The demonstration of the inducement system activation is deemed to be
accomplished if, at the end of each demonstration test performed according to
paragraphs 11.3.4. and 11.3.5. of this annex, the inducement system has been
properly activated in accordance with paragraph 5. of this annex.
65
Annex 11
Annex 11
Installation and operating instructions

1. The REC manufacturer shall provide written information and installation
instructions for use by retrofitters, and operating 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 18.3. of this Regulation so
that, to the greatest extent possible, fitting of the REC in accordance
with the instructions will eliminate those hazards and will:
(i) Maintain the level of safety provided by the vehicle or machine
when it was first placed on the market;
(ii) Maintain the vehicle or machine 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 REC is sold or in which the REC is expected to be used, and
shall be in clear language appropriate to the intended readership.
2.2. The REC manufacturer shall be able to demonstrate to the Type 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 REC 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
country or region, and the use of industry-specific terms where a REC is
intended for use on vehicles or machines specific to that industry.
3. Instructions for the retrofitter
3.1. The instructions for the retrofitter should include:
(a) Specific instructions related to any specific vehicle or machine
application for which the REC is intended;
66
Annex 11
(b) General instructions and guidelines, when appropriate, which will

permit the REC to be properly fitted to any vehicle or machine in the
range for which it is approved;
(c) A clear indication of the range of applications for which the REC is
approved, and of the range of vehicle or machine applications 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 instructions shall state that retrofitting with a REC shall be performed in
accordance with the installation instructions provided by the REC
manufacturer, and that any additional instructions provided by the vehicle or
machine manufacturer, public authorities, or other competent parties shall
also be taken into consideration.
3.3. The instructions shall state that the vehicle or machine to be retrofitted shall
be in a properly maintained condition, and that defects that could prevent
achievement of the emission reduction level for which the REC 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 vehicle or machine is not impaired by the
fitting of the REC, 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 REC, and propose measures for reducing
the risks associated with them;
(b) Warn against the installation of the REC, or any systems associated
with it, in such a way as to interfere with the field of vision of the
operator of a vehicle or machine, 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 REC 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 REC.
3.5. The instructions shall draw attention to the fact that any modification made to
an engine enclosure or access panel may increase the noise emitted by the
vehicle or machine, which increases in noise may be forbidden by local laws,
and that increases in noise may have implications for the health and safety of
operators and bystanders.
4. Instructions for the owner and operator
4.1. The instructions for the owner and operator should include both specific
instructions related to any vehicle or machine application for which the REC
is intended and, when appropriate, general instructions related to its use with
any vehicle or machine in the range for which it is approved.
67
Annex 11
4.2. The instructions shall indicate any requirements or limitations on the use of
the vehicle or machine that are necessary in order to ensure correct
functioning of the REC.
4.3. The instructions shall specify whether any reagents or additives need to be
refilled by the vehicle or machine operator between normal maintenance
intervals, and to indicate a likely rate of reagent consumption.
4.4. The instructions shall specify the type and quality of any consumable
reagents or additives used.
4.5. The instructions shall remind the owner and operator of the vehicle or
machine that, where the fitting of the REC is a condition for its operation in a
particular country or area, or where fitting of the REC entitles the vehicle or
machine owner to incentives or privileges, the failure to maintain the REC in
proper working order (including the failure to ensure a proper supply of any
reagent or additive), may constitute a breach of contract or be a criminal
offence.
68
Annex 12
Annex 12
Specific requirements regarding the approval of a REC with

respect to the emission limits set out in the 06 series of
amendments of Regulation No. 49
1. Introduction
This annex sets out the specific requirements for the approval of a REC fitted
to an engine or engine system, for the purpose of meeting the emission limits
set out in the 06 series of amendments to Regulation No. 49.
2. Specific requirements
2.1. The retrofitted engine system shall meet the following specific requirements
2.1.1. The NOx and PM emissions limits set out in Table 1, paragraph 5.3. of the
06 series of amendments to Regulation No. 49.
2.1.2. The requirements for the verification of the durability of engine systems, as
lied down in Annex 7 to the 06 series of amendments to Regulation No. 49.
2.1.3. The On-board diagnostic system (OBD) requirements set out in Annexes 9A
and 9B to the 06 series of amendments to Regulation No. 49.
2.1.4. The specific requirements to limit off-cycle emissions and in-use emissions,
as lied down in Annex 10 to the 06 series of amendments to Regulation
No. 49.
2.1.5. The requirements to ensure the correct operation of the NO x control
measures, as lied down in Annex 11 to the 06 series of amendments to
Regulation No. 49.
2.1.6. Notwithstanding paragraph 8.6.2. of this Regulation, for Class III and
Class IV REC, emissions of ammonia shall not exceed a mean value of 10
ppm when measured using the procedures defined in Appendix 7 to Annex 4
of the 06 series of amendments to Regulation No. 49.
69

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E/ECE/324/Rev.2/Add.131/Rev.1−E/ECE/TRANS/505/Rev.2/Add.131/Rev.

Concerning the Adoption of Uniform Technical Prescriptions for

Addendum 131 – Regulation No. 132

Uniform provisions concerning the approval of Retrofit Emission

Regulation No. 132

Uniform provisions concerning the approval of Retrofit

3.29. "Particulate reduction REC family" means a family of particulate reduction

4. Application for approval

5. Markings and labels

7.6.5.2. Reagent tank and dosing system

8.2. Limit values

8.3.2. The reduction efficiency shall be determined by comparison of the emissions

(baseline). As an example, if baseline NO2 is 10 per cent of NOx, the

8.6.4.1. The assessment shall, in particular:

9.3. The content of the test is as follows:

10. Application range

(f) With or without an after treatment system.

11. Modifications to engine baseline emissions

12. Choice of the test engines and REC combination

13. Specifications concerning emissions measurement

13.2. If a heated chemiluminescent detector (CLD) is used for the determination of

14. Particulate reduction REC family

(n) With or without an upstream oxidation catalyst;

15. NOx reduction REC family

(f) Type of reagent or additive (if used);

16. NOx and PM reduction REC family

17. Fuel and specific fuel consumption

18. Operating behaviour and safety hazard

19. Noise emissions

20. Installation of a REC

21. Modification and extension of approval of a REC

22. Conformity of production

(c) Management of resources;

23. Penalties for non-conformity of production

24. Production definitively discontinued

25. Names and addresses of Technical Services

26. Transitional provisions

2.5. Number(s) and/or character(s) characterising the achieved engine emission(s)

3.3.4.2. Physical design of the substrate: ........................................................................

4.3. Description, drawings and part lists of the NO x reduction REC

issued by: Name of administration:

Concerning: 2 Approval granted

Addendum to the communication concerning a type of

Arrangement of the REC type-approval mark

Test of a particulate reduction REC (Class I or II REC)

variance  Standard deviation X (n)

The system test of a periodically regenerating particulate reduction REC is

For CI engines used in non-road mobile machinery or Category T vehicles

Test of a NOx reduction REC (Class III REC)

Tests of a PM and NOx reduction REC (Class IV REC)

2. Test sequence for NOx reduction REC

Engine baseline emissions;

Specific requirements for

Performance requirements Paragraph 8

Secondary emissions requirements Paragraph 8.6

Determination of NO2 emissions; Annex 6, 4.2 to 4.3

Requirements of the NOx control diagnostic system of

NOx Reduction REC in accordance with Paragraph 8 and Annex 6

3. Test sequence for particulate and NOx reduction REC