Regulation No. 132-01

Name:Regulation No. 132-01
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:2015-02-03
Amendment Level:01 Series
Number of Pages:71
Vehicle Types:Agricultural Tractor, Bus, Component, Heavy Truck, Light Truck
Subject Categories:Emissions and Fuel Consumption
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Keywords:

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

Text Extract:

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E/ECE/324
) Rev.2/Add.131/Rev.1
E/ECE/TRANS/505 )
February 3, 2015
STATUS OF UNITED NATIONS REGULATION
ECE 132-01
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
01 series of amendments
Date of Entry into Force: 22.01.15

REGULATION No. 132-01
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. 132-01
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.
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.
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.
7.5.4. The filter of a particulate reduction REC or a combined PM and NOx reduction REC shall be
designed and constructed in a way that it 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.
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.

7.8.3. 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 NO emission requirements as specified in Paragraph 8.4.;
(d) The secondary emissions requirements as specified in Paragraph 8.6.

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 IIA REC, the NO incremental increase shall not be more than 20 percentage
points greater than the level recorded when no REC is fitted (baseline). As an example, if
baseline NO is 10% of NO , the maximum permitted NO emission with the REC is 30% of
NO measured as defined in Annex 5 to this Regulation. For a Class IIB REC, the NO
incremental increase shall be no more than 30 percentage points.
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. Particle Number Emission 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% 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 (%) = (1 - (E /E )) × 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% 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 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.

9.2. The applicant shall conduct a 1,000h 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% idle, 10% transient operation, 75% high speed-high load
operation, and 5% 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.
9.3. The content of the test is as follows:
(a)
(b)
1,000h 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;
In the case of an REC that operates 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 500h of operation and after 1,000h 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)
(b)
Other engines produced by the same engine manufacturer; and
Engines of other engine manufacturers.

11.3. The emission control system of the original engine manufacturer shall not be modified,
except for:
(a)
(b)
Modifications allowed by written permission of the original engine manufacturer; or
In the case of a Class I, Class IIA or Class IIB REC, replacement of an existing diesel
oxidation catalyst providing that:
(i)
(ii)
The requirements of Paragraph 8.4. are met; and
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 NO reduction REC system including the dosing unit.
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 NO 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)
(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.

(h)
(i)
(j)
(k)
(l)
(m)
(n)
(o)
Type of regeneration (whether periodic or continuous);
Regeneration principle (for example, catalytic, thermal, or electrothermal) and
regeneration strategy (for example passive, active, forced);
Method and control strategy for introducing additives or reagents (if used);
Type of additive or reagent (if used);
Installation conditions (max. +0.5m introduction difference between the turbocharger
outlet (turbine) and the inlet of the particulate reduction REC);
Type of any catalytically active material;
With or without an upstream oxidation catalyst;
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.
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)
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);

Devices where PM and NO 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.
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% 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)
(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.

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.
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)
(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.

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. 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.

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/No
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): ...................................................................................

4. Characteristics of the NO reduction rec and NO reduction REC family ...................................
4.1. Dimensions, shape and active volume of the NO reduction system: .......................................
....................................................................................................................................................
4.2. 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.): ...............................................
....................................................................................................................................................
4.3. Description, drawings and part lists of the NO 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 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 NO reduction active element (for example Selective Catalytic
Reduction, NO 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: ..........................................................................
4.3.3.1. Type(s) of catalytically active material(s): ...................................................................................
4.3.3.2. Physical design of the substrate: ...............................................................................................
4.3.3.3. Cell density ..................................................................................................................................
4.3.4. Location (upstream/downstream), function and working principle (e.g. 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: ................................................................................................................................
4.3.5. Minimum volumetric concentration of catalytically active materials of each element of the
NO reduction system including supplementary catalysts (if fitted) (grams/m ) .........................
....................................................................................................................................................
4.3.6. Maximum volumetric concentration of catalytically active materials of each element of the
NO reduction system including supplementary catalysts (if fitted) (grams/m ) .........................
....................................................................................................................................................
4.3.7. The design characteristics of the canning or packaging: ...........................................................
4.3.8. Volume of each active component: ............................................................................................

5.3.1. Type of retention of the active element(s) (for example, adhesive or mechanical fixing): ..........
....................................................................................................................................................
5.3.2. Working principles of the NO reduction active element (for example Selective Catalytic
Reduction, NO 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: .....................................................
....................................................................................................................................................
5.3.3.1. Type(s) of catalytically active material(s): ...................................................................................
5.3.3.2. Physical design of the substrate(s): ............................................................................................
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: .....................................................................................................................................
....................................................................................................................................................
5.3.4. Location (upstream/downstream), function and working principle (e.g. oxidation) of any
supplementary catalyst(s): ..........................................................................................................
5.3.4.1. Type(s) of catalytically active material(s): ..................................................................................
5.3.4.2. Physical design of the substrate: ................................................................................................
5.3.4.3. Cell density: .................................................................................................................................
5.3.5. Minimum volumetric concentration of catalytically active materials of each element of the
NO and PM reduction system including supplementary catalysts (if fitted) (grams/m ): ..........
....................................................................................................................................................
5.3.6. Maximum volumetric concentration of catalytically active materials of each element of the
NO and PM reduction system including supplementary catalysts (if fitted) (grams/m ): ..........
....................................................................................................................................................
5.3.7. The design characteristics of the canning or packaging: ............................................................
5.3.8. Volume of each active component: .............................................................................................
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): ...................
....................................................................................................................................................

ANNEX 2
COMMUNICATION
(Maximum format: A4 (210mm × 297mm))
Issued by:
Name of administration
.....................................
.....................................
.....................................
concerning:
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: ...................................................................
.........................................................................................................................................................
7.1. Has the REC demonstrated compatibility with OBD requirements: Yes/No

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 (cm )
Capacity VH (cm )
engine net power (kW with min )
Engine baseline emissions
Silencer replaced
Type identification of the REC
REC Type and Reduction Level

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 NO 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.
3.3. The specific fuel consumption (g/kWh) shall be established by performance of the emissions
test in Paragraph 3.2. of this Annex.
4. Determination of particulate reduction 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.

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 100h 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 50h, the
exhaust gas backpressure does not vary by more than ±4mbar within a period of 30min.
The test points of the cycle used for loading the system are to be selected so that a
maximum exhaust gas temperature of 180°C at the inlet of the particulate reduction system
is not exceeded. The loading of the system with particulate matter is preferably carried out
by running the test engine at a constant speed of between 50% and 75% of its rated speed.
After the REC has been loaded with particulate matter until the backpressure is constant, or
after a maximum of 100h 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% for the gaseous emissions or more than 20% 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 ) 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 NO to NO ratio for the initial
condition and the retrofitted condition is to be recorded and shown in the test report.
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.

Figure 1
Scheme of Periodic Regeneration
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 ) 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 NO /NO 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 and NO -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.

The manufacturer may choose, on the basis of good engineering analysis, to calculate either a
multiplicative or an additive the regeneration adjustment factor k , expressing the average emission rate,
as follows:
k = Mgas/Mgas (multiplicative adjustment factor)
or
k = Mgas - Mgas (upward adjustment factor)
or
k = Mgas - Mgas (downward adjustment factor)
4.7. Determination of NO 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 NO 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)
(b)
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
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 125h.
4.7.2. Determination of NO 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%of the mean, then an additional test cycle should
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.

ANNEX 6
TEST OF A NO REDUCTION REC (CLASS III REC)
Testing of a NO reduction REC is performed in the following series of stages, including an assessment
of the emissions of secondary pollutants and determination of the NO 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, 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.
3.3. The specific fuel consumption (g/kWh) shall be established by performance of the emissions
test in Paragraph 3.2. of this Annex.
4. ASSESSMENT CRITERIA FOR NO REDUCTION REC
The REC system test of the NO 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 ) in the initial condition shall
be within the limit values for the emissions stage or standard for which the engine was
originally type-approved.

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.