Regulation No. 132-00

Name:Regulation No. 132-00
Description:Retrofit Emission Control Devices (REC) for Heavy Duty Vehicles, Tractors and Non-road Mobile Machinery Equipped with Compression Ignition Engines.
Official Title: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.
Country:ECE - United Nations
Date of Issue:2014-06-25
Amendment Level:Original
Number of Pages:69
Vehicle Types:Agricultural Tractor, Bus, Component, Heavy Truck, Light Truck
Subject Categories:Prior Versions
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Keywords:

rec, regulation, system, engine, test, emissions, reduction, approval, annex, paragraph, reagent, type, requirements, accordance, manufacturer, particulate, emission, operator, control, regeneration, means, vehicle, application, warning, cycle, active, machine, level, instructions, defined, device, family, fitted, authority, engines, specific, cycles, class, range, exhaust, ncd, stage, performance, operation, inducement, number, characteristics, dosing, including, retrofit

Text Extract:

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E/ECE/324
) Rev.2/Add.131
E/ECE/TRANS/505 )
June 25, 2014
STATUS OF UNITED NATIONS REGULATION
ECE 132-00
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
Incorporating:
00 series of amendments Date of Entry into Force: 17.06.14

REGULATION No. 132-00
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
Regulation
1.
Purpose
2.
Scope
3.
Definitions
4.
Application for approval
5.
Markings and labels
6.
Approval
7.
General requirements
8.
Performance requirements
9.
Durability requirements
10.
Application range
11.
Modifications to engine baseline emissions
12.
Choice of the test engines and REC combination
13.
Specifications concerning emissions measurement
14.
Particulate reduction REC family
15.
NO reduction REC family
16.
NO 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

REGULATION No. 132-00
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
1. PURPOSE
2. SCOPE
This Regulation provides a harmonized method for the classification, evaluation and
approval of Retrofit Emission Control devices (REC) for particulate matter (PM), for oxides
of nitrogen (NO ), or for both PM and NO , and for the determination of the levels of
emissions from compression-ignition (CI) engines used in applications within the scope
indicated in Paragraph 2. below.
The Regulation provides a framework for approval of RECs for different applications with
corresponding environmental performance levels.
This Regulation applies to Retrofit Emission Control devices (REC) to be installed:
2.1. On category M , M and N vehicles and their CI engines, excluding those vehicles
approved according to Regulation No. 83;
2.2. On CI engines having a net power higher than 18kW but not more than 560kW installed in
non-road mobile machinery, operated under variable speed;
2.3. On CI engines having a net power higher than 18kW but not more than 560kW installed in
non-road mobile machinery, operated under constant speed;
2.4. On CI engines having a net power higher than 18kW but not more than 560kW installed in
category T vehicles.
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 NO emissions.

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. "NO Control Diagnostic system (NCD)" means a system of the REC which has the
capability of:
(a)
(b)
Detecting a NO Control Malfunction;
Identifying the likely NO 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 NO 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 NO 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 amendments to Regulation
No. 96.
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.
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.

4.2. Each REC shall be accompanied by the following information:
(a)
(b)
(c)
(d)
(e)
The manufacturer’s name or trade mark;
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;
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;
The instruction manual for the retrofit installation;
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;

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 NO reduction RECs are provided in Paragraph 7.7.
below and Annex 10 to this Regulation.
7.5.2.1. The NO 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 NO reduction RECs (Class IV RECs) shall meet the provisions of
Paragraphs 7.5.1., 7.5.2. and 7.5.2.1. of this Regulation.
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 nonheated
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.
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 70min
after the start of the vehicle or machine at 266K (-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 255K (-18°C) for 72h or until the
reagent becomes solid, whichever occurs first.

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)
(b)
(c)
(d)
The emission limit values as specified in Paragraph 8.2. of this Regulation;
The reduction levels as specified in Paragraph 8.3. of this Regulation;
The NO emission requirements as specified in Paragraph 8.4. of this Regulation;
The secondary emissions requirements as specified in Paragraph 8.6. of this
Regulation.

8.4. NO Emissions Requirements
8.4.1. For a Class I REC, there shall be no increase in NO emissions above the NO baseline
emissions, measured as defined in Annex 5 to this Regulation.
8.4.2. For a Class II REC, the NO incremental increase shall not be more than 30 percentage
points greater than the level recorded when no REC is fitted (baseline). As an example, if
baseline NO is 10% of NO , the maximum permitted NO emission with the REC is 40% of
NO measured as defined in Annex 5 to this Regulation.
8.4.3. For Class III RECs, there shall be no increase of NO emissions measured in g/kWh and as
defined in Annex 6 to this Regulation.
8.4.4. For Class IV RECs, there shall be no increase of NO emissions measured in g/kWh and as
defined in Annex 7 to this Regulation.
8.5. [This Paragraph is reserved for future use.]
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 RECs, emissions of ammonia shall not exceed a mean value of
25ppm 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.
8.6.4.1. The assessment shall, in particular:
(a)
(b)
In cases where the REC contains copper or copper compounds, address the possible
formation of dioxins;
In cases where the REC makes use of a fuel-borne catalyst, consider the impact
upon the production of secondary emissions of:
(i)
(ii)
The absence of that catalyst and
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.

9.5. The REC system shall meet the requirements of Paragraph 8. of this Regulation when
tested in accordance with Paragraph 9.4. of this Regulation 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. of this Regulation belongs.
10.3. The application range may be extended to:
(a)
(b)
Other engines produced by the same engine manufacturer; and
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)
(b)
(c)
Individual cylinder displacement within ±20% of the test engine;
Method of aspiration (turbocharged or naturally-aspirated engine);
With or without EGR;
(d) Whether a constant speed or a variable speed engine;
(e)
(f)
Engine baseline emission stage; and
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 M , M 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.

12.2. The test engine and REC combination for the selected application range shall meet the
following criteria:
(a)
(b)
(c)
The engine shall have a nominal power output between 100% and 60% 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;
When combined with the selected test engine the REC shall have the highest space
velocity within the application range of the REC family;
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.
13.2. If a heated chemiluminescent detector (CLD) is used for the determination of NO in
accordance with Paragraph 8.4. of this Regulation, two parallel measuring chambers to
determine NO 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% of
each other.

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 2m 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. NO REDUCTION REC FAMILY
15.1. The approval of a NO reduction REC will continue to be valid for a nominally similar system
(employing the same NO 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)
(b)
(c)
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% of the active volume of the
tested device;
Any temperature control method employed (for example, catalytic, thermal, or electro
thermal heating);
Where the tested device was tested in association with other pollution control
devices:
(i)
(ii)
The retention of the same arrangement of devices for the REC under
consideration; and
The other pollution control devices being similar in design and principle of
operation to those used during testing;
(d)
(e)
(f)
(g)
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;
The same catalytically active material, washcoat, loading and catalyst distribution
over the substrate as the type approved system, within reasonable production
tolerances;
Type of reagent or additive (if used);
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;

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)
(b)
The impairment does not cause a safety hazard;
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 will be considered
to fulfil this requirement.
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)
(b)
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;
To remind the installer of his or her potential legal responsibilities;

22.3. Special Requirements
(a)
(b)
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.
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)
(b)
(c)
A completed and signed application form, according to a model to be provided by the
Type Approval Authority;
A description of the requested information, according to the application form;
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)
(b)
(c)
(d)
(e)
Quality management system;
Responsibilities of the board;
Management of resources;
Realisation of the product;
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
parties to the 1958 Agreement.

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

3.3.4.2. Physical design of the substrate: ................................................................................................
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/m ): .............
....................................................................................................................................................
3.3.6. Maximum volumetric concentration of catalytically active materials of each element of the
particulate reduction system including supplementary catalysts (if fitted) (grams/m ): ..............
....................................................................................................................................................
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/No
3.8.1. Design and characteristics of the insulation: .............................................................................

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: ........................................................................................
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/No
4.6.1. Temperature control method (catalytic, thermal or electrothermal): ...........................................
4.7. Description of NO control diagnostic system (in accordance with Annex 10): ..........................
....................................................................................................................................................
4.8. Description of any modifications to the original engine or emissions control system as
defined in Paragraph 11. of this Regulation: ..............................................................................
....................................................................................................................................................
4.9. Normal operating temperature: ........... (K) and pressure range: . .................................... (KPa)
4.10. Use of insulation: Yes/No
4.10.1. Design and characteristics of the insulation: ..............................................................................
5. Characteristics of the NO and PM reduction REC and the NO and PM reduction REC
family ...........................................................................................................................................
5.1. Dimensions, shape(s) and active volume(s) of the NO and PM reduction system: .................
....................................................................................................................................................
5.2. 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): ................................................
....................................................................................................................................................
5.3. Description, drawings and part lists of the NO and 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 16 of this Regulation.

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 NO 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/No
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): .................................................................................................................................
5.8. Description of NO control diagnostic system (in accordance with Annex 10): ..........................
....................................................................................................................................................
5.9. Description of any modifications to the original engine or emissions control system as
defined in Paragraph 11. of this Regulation: ..............................................................................
....................................................................................................................................................
5.10. Normal operating temperature: ........... (K) and pressure range: .................................... (KPa)
5.11. Use of insulation: Yes/No
5.11.1. Design and characteristics of the insulation: ..............................................................................

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
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 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 NO /PM/NO and PM
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
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 NO emissions and of emissions of the other regulated pollutants:
.........................................................................................................................................................
16.6. Declaration on noise emissions: .....................................................................................................
.........................................................................................................................................................
17. Place: ...............................................................................................................................................
18. Date: .................................................................................................................................................
19. Signature: .........................................................................................................................................

ANNEX 4
ARRANGEMENT OF THE REC SYSTEM TYPE APPROVAL MARK
Model A
(See Paragraph 5. of this
Regulation)
a=8mm min
The above example type-approval mark affixed to a REC shows that the typee concerned has been
approved in the Netherlands (E 4) ), pursuant too Regulation No. 132 under type-approval No. 001234. The
first two digits of the type-approval number indicate that the approval was w granted in accordance with the
requirements of Regulation No. 132 in its original form. The approval mark shall also show the Class of
REC (I, II,
III or IV).

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% over
25 test cycles. The exhaust gas backpressure is measured continuously for the purposes of
this assessment and the particulate emissions are measured during at least every fifth test
cycle.
The coefficient of variance (CoV) is calculated as follows:
Coefficient of variance =
Standard deviation
Average value X
X ( n)
( n)
With:
And:
Standard deviation =
Average value = ( x + x + ... + x
)/
n
n
∑x
− ( ∑ x)
( − 1)
n n
Where:
n = number of measured values
x = respective single measured value

4.6. Assessment criteria for periodically regenerating particulate reduction REC
This provision only applies to RECs 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.
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 NO 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.

4.6.1.1. Weighted Particulate Emissions
The particulate emissions PM mass (g/kWh) for periodically regenerating systems are
determined as follows.
Where:
PM mass = PM mass x F + (1-F) x PM mass
F
=
frequency of the regeneration event in terms of fraction of tests during
which the regeneration occurs [-]
PM mass
=
average specific emission from a test in which the regeneration does not
occur [g/kWh]
PM mass
=
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 k , expressing the
average emission rate, as follows:
k = PM mass / PM mass (multiplicative adjustment factor)
or
k = PM mass – PM mass (upward adjustment factor)
or
k = PM mass – PM mass (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 = Mgas x F + (1-F) x Mgas
F
=
frequency of the regeneration event in terms of the fraction of tests
during which the regeneration occurs
Mgas
=
average specific emission from a test in which the regeneration does not
occur [g/kWh]
Mgas
=
average specific emission from a test in which the regeneration occurs
[g/kWh]

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.
5.4. In cases where the approval of the engine with which the REC is to be used is a non-road
approval (performed in accordance with Regulation No. 96) the test cycle to be used for
approval of the REC shall be the test cycle associated with the emissions stage in
Regulation No. 96 for which approval of the REC is being sought.
5.5. Where the engine is being used in a non-road application and has an approval issued in
accordance with the requirements of Regulation No. 96, 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. 96 for which the engine has an approval.
5.6. Where the engine is being used in a non-road application but does not have an approval
issued in accordance with the requirements of Regulation No. 96, 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. 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 the
appropriate test cycle is that defined in Paragraph 8.3. of this Regulation.

The determination of the NO and NO mass emissions is to be determined by simultaneous
measurement in accordance with Paragraph 13.2. of this Regulation.
4.3. Determination of NO 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% of the mean, then an additional test cycle shall
be run. The calculation of the NO and NO 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 18kW, but not more than 560kW the calculation of the NO
and NO 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.
5.4. In cases where the approval of the engine with which the REC is to be used is a non-road
approval (performed in accordance with Regulation No. 96) the test cycle to be used for
approval of the REC shall be the test cycle associated with the emissions stage in
Regulation No. 96 for which approval of the REC is being sought.
5.5. Where the engine is being used in a non-road application and has an approval issued in
accordance with the requirements of Regulation No. 96, 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. 96 for which the engine has an approval.
5.6. Where the engine is being used in a non-road application but does not have an approval
issued in accordance with the requirements of Regulation No. 96, 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. 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 the
appropriate test cycle is that defined in Paragraph 8.3. of this Regulation.

ANNEX 8
TEST SEQUENCES
1. TEST SEQUENCE FOR PARTICULATE REDUCTION REC

3. TEST SEQUENCE FOR PARTICULATE AND NO REDUCTION REC


Table A9/3
Equivalence Matrix for Regulation No. 96 / REC Class III

ANNEX 10
REQUIREMENTS OF THE NO CONTROL DIAGNOSTIC SYSTEM OF NO REDUCTION OR NO
AND PARTICULATE REDUCTION REC REQUIRING A REAGENT
1. INTRODUCTION
This annex sets out the requirements of the NO control diagnostic (NCD) system for NO
reduction or NO and particulate reduction RECs that rely on the use of a reagent in order to
reduce NO 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 60min 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 10min 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.
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.

4.6.1. This warning shall be clearly displayed by:
(a)
(b)
Activating a second lamp, whose meaning is described in the REC manual; or
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 20h 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 interrupter 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 interrupter 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 5h.
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 Paragraph 11. of this Annex.
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 Paragraph 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, 20h 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 48h.

7.2.3. Paragraphs 4.4. to 4.6. of this Annex do not apply.
7.2.4. The operator warning system shall escalate in intensity when the level of reagent goes
below:
(a)
(b)
2.5% of the capacity of the reagent tank or a higher percentage at the choice of the
REC manufacturer; or
A level corresponding to 3h of usage of the vehicle or machine under average
conditions of operation.
This warning shall be clearly displayed by:
(a)
(b)
Activating a second lamp, whose meaning is described in the REC manual; or
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% 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 NO sensor, reagent quality sensor, or equivalent.
8.2. The manufacturer shall specify a minimum acceptable reagent concentration CDmin, which
results in tailpipe NO emissions not exceeding;
(a)
(b)
0.9g/kWh for retrofitted engine systems complying with the NO emission limit for
stage Q and R of Regulation No. 96; or
The NO emission limit +1.5g/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 preconditioning cycle
may be conducted, permitting a closed loop NO control system to perform adaptation to the
quality of the reagent with the concentration CDmin.
8.2.1.3. The NO emission resulting from this test shall be lower than the NO threshold specified in
Paragraph 8.2. of this Annex.

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)
(b)
(c)
Disconnect reagent dosing valve;
Disconnect reagent pump;
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 NO 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 NO sensor located in the exhaust gas. In this case:
(a)
The NO value shall not exceed the lower threshold between:
(i)
(ii)
Twice the applicable REC type approval NO limit; or
An increase of no more than 1g/kWh above the applicable REC type approval
NO limit;
(b)
A single failure "high NO - root cause unknown" may be used.
10.4. Activation of the operator warning system
10.4.1. The operator warning system shall be activated in accordance with Paragraph 4. of this
Annex.
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").
10.5. Activation of the Operator Inducement System
10.5.1. The operator inducement system shall be activated in accordance with Paragraph 5. of this
Annex.

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.
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% 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.

3. INSTRUCTIONS FOR THE RETROFITTER
3.1. The Instructions for the Retrofitter should Include:
(a)
(b)
(c)
(d)
(e)
Specific instructions related to any specific vehicle or machine application for which
the REC is intended;
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;
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;
An indication of the level of skill and education required in order to perform the fitting
operation;
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)
(b)
(c)
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;
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;
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.

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 NO 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 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 RECs,
emissions of ammonia shall not exceed a mean value of 10ppm when measured using the
procedures defined in Appendix 7 to Annex 4 of the 06 series of amendments to Regulation
No. 49.
Retrofit Emission Control Devices (REC) for Heavy Duty Vehicles, Tractors and Non-road Mobile Machinery Equipped with Compression Ignition Engines.