ANNEX ISupplementary provisions
ANNEX I ADMINISTRATIVE PROVISIONS FOR EC TYPE-APPROVAL 1. ADDITIONAL REQUIREMENTS FOR GRANTING OF EC TYPE-APPROVAL 1.1. Additional requirements for mono fuel gas vehicles, and bi-fuel gas vehicles. 1.1.1. The additional requirements for granting of type-approval for mono fuel gas vehicles, and bi-fuel gas vehicles shall be those set out in sections 1, 2 and 3 and Appendices 1 and 2 to Annex 12 to UN/ECE Regulation No 83, with the exceptions set out below. 1.1.2. The reference in paragraphs 3.1.2. and 3.1.4. of Annex 12 to UN/ECE Regulation No 83 to reference fuels of Annex 10a shall be understood as being reference to the appropriate reference fuel specifications in Section A of Annex IX to this Regulation. 1.2. Additional requirements for flex fuel vehicles The additional requirements for granting of type-approval for flex fuel vehicles shall be those set out in paragraph 4.9. of UN/ECE Regulation No 83. 2. ADDITIONAL TECHNICAL REQUIREMENTS AND TESTS 2.1. Small volume manufacturers 2.1.1. List of legislative acts referred to in Article 3(3): Legislative Act Requirements The California Code of Regulations, Title 13, Sections 1961(a) and 1961(b)(1)(C)(1) applicable to 2001 and later model year vehicles, 1968.1, 1968.2, 1968.5, 1976 and 1975, published by Barclay’s Publishing Type-approval must be granted under the California Code of Regulations applicable to the most recent model year of light-duty vehicle. 2.2. Inlets to fuel tanks 2.2.1. The requirements for inlets to fuel tanks shall be those specified in paragraphs 5.4.1. and 5.4.2. of Annex XXI and point 2.2.2 below. 2.2.2. Provision shall be made to prevent excess evaporative emissions and fuel spillage caused by a missing fuel filler cap. This may be achieved by using one of the following: (a) an automatically opening and closing, non-removable fuel filler cap, (b) design features which avoid excess evaporative emissions in the case of a missing fuel filler cap, (c) any other provision which has the same effect. Examples may include, but are not limited to, a tethered filler cap, a chained filler cap or one utilizing the same locking key for the filler cap as for the vehicle’s ignition. In this case the key shall be removable from the filler cap only in the locked condition. 2.3. Provisions for electronic system security 2.3.1. The provisions for electronic system security shall be those specified in paragraph 5.5 of Annex XXI and points 2.3.2 and 2.3.3 below. 2.3.2 In the case of mechanical fuel-injection pumps fitted to compression-ignition engines, manufacturers shall take adequate steps to protect the maximum fuel delivery setting from tampering while a vehicle is in service. 2.3.3. Manufacturers shall effectively deter reprogramming of the odometer readings, in the board network, in any powertrain controller as well as in the transmitting unit for remote data exchange if applicable. Manufacturers shall include systematic tamper-protection strategies and write-protect features to protect the integrity of the odometer reading. Methods giving an adequate level of tamper protection shall be approved by the approval authority. 2.4. Application of tests 2.4.1. Figure I.2.4 illustrates the application of the tests for type-approval of a vehicle. The specific test procedures are described in Annexes II, 111A, IV, V, VI, VII, VIII, XI, XVI, XX and XXI. Figure I.2.4 Application of test requirements for type-approval and extensions Vehicle category Vehicles with positive ignition engines including hybrids 1 Vehicles with compression ignition engines including hybrids Pure electric vehicles Hydrogen fuel cell vehicles Mono fuel Bi-fuel 3 Flex-fuel 3 Reference fuel Petrol (E10) LPG NG/Biomethane Hydrogen (ICE) Petrol (E10) Petrol (E10) Petrol (E10) Petrol (E10) Diesel (B7) 5 — Hydrogen (Fuel Cell) LPG NG/Biomethane Hydrogen (ICE) 4 Ethanol (E85) Gaseous pollutants (Type 1 test) Yes Yes Yes Yes 4 Yes (both fuels) Yes (both fuels) Yes (both fuels) Yes (both fuels) Yes — — PM (Type 1 test) Yes 2 — — — Yes 2 (petrol only) Yes 2 (petrol only) Yes 2 (petrol only) Yes 2 (both fuels) Yes — — PN Yes 2 — — — Yes 2 (petrol only) Yes 2 (petrol only) Yes 2 (petrol only) Yes 2 (both fuels) Yes — — Gaseous pollutants, RDE (Type 1A test) Yes Yes Yes Yes ( 4 ) Yes (both fuels) Yes (both fuels) Yes (both fuels) Yes (both fuels) Yes — — PN, RDE (Type 1A test) Yes — — — Yes (both fuels) Yes (both fuels Yes (both fuels Yes (both fuels) Yes — — Idle emissions (Type 2 test) Yes Yes Yes — Yes (both fuels) Yes (both fuels) Yes (petrol only) Yes (both fuels) — — — Crankcase emissions (Type 3 test) Yes Yes Yes — Yes (petrol only) Yes (petrol only) Yes (petrol only) Yes (petrol only) — — — Evaporative emissions (Type 4 test) Yes — — — Yes (petrol only) Yes (petrol only) Yes (petrol only) Yes (petrol only) — — — Durability (Type 5 test) Yes Yes Yes Yes Yes (petrol only) Yes (petrol only) Yes (petrol only) Yes (petrol only) Yes — — Low temperature emissions (Type 6 test) Yes — — — Yes (petrol only) Yes (petrol only) Yes (petrol only) Yes (both fuels) — — — In-service conformity Yes Yes Yes Yes Yes (both fuels) Yes (both fuels) Yes (both fuels) Yes (both fuels) Yes — — On-board diagnostics Yes Yes Yes Yes Yes Yes Yes Yes Yes — — CO 2 emissions, fuel consumption, electric energy consumption and electric range Yes Yes Yes Yes Yes (both fuels) Yes (both fuels) Yes (both fuels) Yes (both fuels) Yes Yes Yes Smoke opacity — — — — — — — — Yes — — Engine power Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes 3. EXTENSIONS TO TYPE-APPROVALS 3.1. Extensions for tailpipe emissions (type 1 and type 2 tests) 3.1.1. The type-approval shall be extended to vehicles if they conform to the criteria of Article 2 (1). 3.1.2. Vehicles with periodically regenerating systems For Ki tests undertaken under Appendix 1 to Sub-Annex VI to Annex XXI (WLTP), the type-approval shall be extended to vehicles if they conform to the criteria of paragraph 5.9. of Annex XXI. For Ki tests undertaken under Annex 13 of UN/ECE Regulation No 83 (NEDC) the type-approval shall be extended to vehicles according to the requirements of Section 3.1.4. of Annex I to Regulation (EC) No 692/2008. 3.2. Extensions for evaporative emissions (type 4 test) 3.2.1. The type-approval shall be extended to vehicles equipped with a control system for evaporative emissions which meet the following conditions: 3.2.1.1. The basic principle of fuel/air metering (e.g. single point injection) is the same. 3.2.1.2. The shape of the fuel tank and the material of the fuel tank and liquid fuel hoses are identical. 3.2.1.3. The worst-case vehicle with regard to the cross-section and approximate hose length shall be tested. Whether non-identical vapour/liquid separators are acceptable is decided by the technical service responsible for the type-approval tests. 3.2.1.4. The fuel tank volume is within a range of ± 10 %. 3.2.1.5. The setting of the fuel tank relief valve is identical. 3.2.1.6. The method of storage of the fuel vapour is identical, i.e. trap form and volume, storage medium, air cleaner (if used for evaporative emission control), etc. 3.2.1.7. The method of purging of the stored vapour is identical (e.g. air flow, start point or purge volume over the preconditioning cycle). 3.2.1.8. The method of sealing and venting of the fuel metering system is identical. 3.2.2. The type-approval shall be extended to vehicles with: 3.2.2.1. different engine sizes; 3.2.2.2. different engine powers; 3.2.2.3. automatic and manual gearboxes; 3.2.2.4. two and four wheel transmissions; 3.2.2.5. different body styles; and 3.2.2.6. different wheel and tyre sizes. 3.3. Extensions for durability of pollution control devices (type 5 test) 3.3.1. The type-approval shall be extended to different vehicle types, provided that the vehicle, engine or pollution control system parameters specified below are identical or remain within the prescribed tolerances: 3.3.1.1. Vehicle: Inertia category: the two inertia categories immediately above and any inertia category below. Total road load at 80 km/h: + 5 % above and any value below. 3.3.1.2. Engine (a) engine cylinder capacity (± 15 %), (b) number and control of valves, (c) fuel system, (d) type of cooling system, (e) combustion process. 3.3.1.3. Pollution control system parameters: (a) Catalytic converters and particulate filters: number of catalytic converters, filters and elements, size of catalytic converters and filters (volume of monolith ± 10 %), type of catalytic activity (oxidizing, three-way, lean NO x trap, SCR, lean NO x catalyst or other), precious metal load (identical or higher), precious metal type and ratio (± 15 %), substrate (structure and material), cell density, temperature variation of no more than 50 K at the inlet of the catalytic converter or filter. This temperature variation shall be checked under stabilized conditions at a vehicle speed of 120 km/h and the load setting of the type 1 test. (b) Air injection: with or without type (pulsair, air pumps, other(s)) (c) EGR: with or without type (cooled or non-cooled, active or passive control, high pressure or low pressure). 3.3.1.4. The durability test may be carried out using a vehicle, which has a different body style, gear box (automatic or manual) and size of the wheels or tyres, from those of the vehicle type for which the type-approval is sought. 3.4. Extensions for on-board diagnostics 3.4.1. The type-approval shall be extended to different vehicles with identical engine and emission control systems as defined in Annex XI, Appendix 2. The type-approval shall be extended regardless of the following vehicle characteristics: (a) engine accessories; (b) tyres; (c) equivalent inertia; (d) cooling system; (e) overall gear ratio; (f) transmission type; and (g) type of bodywork. 3.5 Extensions for low temperature test (type 6 test) 3.5.1. Vehicles with different reference masses 3.5.1.1. The type-approval shall be extended only to vehicles with a reference mass requiring the use of the next two higher equivalent inertia or any lower equivalent inertia. 3.5.1.2. For category N vehicles, the approval shall be extended only to vehicles with a lower reference mass, if the emissions of the vehicle already approved are within the limits prescribed for the vehicle for which extension of the approval is requested. 3.5.2. Vehicles with different overall transmission ratios 3.5.2.1. The type-approval shall be extended to vehicles with different transmission ratios only under certain conditions. 3.5.2.2. To determine whether type-approval can be extended, for each of the transmission ratios used in the type 6 test, the proportion, shall be determined where, at an engine speed of 1 000 min –1 , V 1 is the speed of the vehicle-type approved and V 2 is the speed of the vehicle type for which extension of the approval is requested. 3.5.2.3. If, for each transmission ratio, E ≤ 8 %, the extension shall be granted without repeating the type 6 test. 3.5.2.4. If, for at least one transmission ratio, E > 8 %, and if, for each gear ratio, E ≤ 13 %, the type 6 test shall be repeated. The tests may be performed in a laboratory chosen by the manufacturer subject to the approval of the technical service. The report of the tests shall be sent to the technical service responsible for the type-approval tests. 3.5.3. Vehicles with different reference masses and transmission ratios The type-approval shall be extended to vehicles with different reference masses and transmission ratios, provided that all the conditions prescribed in paragraphs 3.5.1 and 3.5.2 are fulfilled. 4. CONFORMITY OF PRODUCTION 4.1. Introduction 4.1.1. Every vehicle produced under a Type Approval according to this Regulation shall be so manufactured as to conform to the type approval requirements of this Regulation. The Manufacturer shall implement adequate arrangements and documented control plans and carry-out at specified intervals as given in this regulation the necessary emission and OBD tests to verify continued conformity with the approved type. The approval authority shall verify and agree with these arrangements and control plans of the manufacturer and perform audits and conduct emission and OBD tests at specific intervals, as given in this regulation, at the premises of the manufacturer, including production and test facilities as part of the product conformity and continued verification arrangements as described in Annex X of Directive 2007/46/EC. 4.1.2. The manufacturer shall check the conformity of production by testing the emissions of pollutants (given in Table 2 of Annex I to Regulation (EC) No 715/2007), the emission of CO 2 (along with the measurement of electric energy consumption, EC), the crankcase emissions, evaporative emissions and the OBD. The verification shall therefore include the tests of types 1, 3, 4 and the test for OBD, as described in section 2.4 of this Annex and the relevant annexes quoted therein. The specific procedures for conformity of production are set out in Sections 4.2 to 4.7 and Appendixes 1 and 2. 4.1.3. For the purposes of the manufactures conformity of production check, the family means the CO 2 interpolation family for tests of Type 1 and 3, includes for the Type 4 test the extensions described in paragraph 3.2 of this Annex and the OBD family with the extensions described in paragraph 3.3 of this Annex for the OBD tests. 4.1.4. The frequency for product verification performed by the manufacturer shall be based on a risk assessment methodology consistent with the international standard ISO 31000:2009 — Risk Management — Principles and guidelines and at least for Type 1 with a minimum frequency of one verification per 5 000 vehicles produced per family or once per year, whichever comes first. 4.1.5. The Approval Authority which has granted type-approval may at any time verify the conformity control methods applied in each production facility. For the purpose of this regulation the Approval Authority shall perform audits for verifying the manufacturers arrangements and documented control plans at the premises of the manufacturer on a risk assessment methodology consistent with the international standard ISO 31000:2009 — Risk Management — Principles and guidelines and, in all cases, with a minimum frequency of one audit per year. If the Approval Authority is not satisfied with the auditing procedure of the manufacturer, physical test shall directly be carried out on production vehicles as described in Sections 4.2 to 4.9. 4.1.6. The normal frequency of physical test verifications by the Approval Authority shall be based on the results of the auditing procedure of the manufacturer on a risk assessment methodology and in all cases with a minimum frequency of one verification test per three years. The Approval Authority shall conduct these physical emission tests and OBD tests on production vehicles as described in Sections 4.2 to 4.9. In the case of the manufacturer running the physical tests, the Approval Authority shall witness the tests at the manufacturer's facility. 4.1.7. The Approval Authority shall report the results of all audit checks and physical tests performed on verifying conformity of the manufacturers and file it for a period of minimum 10 years. These reports should be available for other type approval authorities and the European Commission on request. 4.1.8. In case of non-conformity Article 30 of Directive 2007/46/EC shall apply. 4.2. Checking the conformity of the vehicle for a type 1 test 4.2.1. The Type 1 test shall be carried out on production vehicles of a valid member of the CO 2 interpolation family as described in the TA certificate. The limit values against which to check conformity for pollutants are set out in Table 2 of Annex I to Regulation (EC) No 715/2007. As regards CO 2 emissions, the limit value shall be the value determined by the manufacturer for the selected vehicle in accordance with the interpolation methodology set out in Sub-Annex 7 of Annex XXI. The interpolation calculation shall be verified by the approval authority. 4.2.2. A sample of three vehicles shall be selected at random in the family. After selection by the approval authority, the manufacturer shall not undertake any adjustment to the vehicles selected. 4.2.2.1. The selection shall only include finalised production vehicles which have completed a maximum of 80 km and those vehicles will be referred to as zero km vehicles for the purposes of checking conformity against Type 1 test. The vehicle shall be tested on the appropriate WLTP cycle as described in Annex XXI to this Regulation notwithstanding the requirements for test repetitions, or km of vehicles. The test results shall be the values after all corrections according to this regulation are applied. 4.2.3. The statistical method for calculating the test criteria is described in Appendix 1. The production of a family shall be deemed to not conform when a fail decision is reached for one or more of the pollutants and CO 2 values, according to the test criteria in Appendix 1. The production of a family shall be deemed to conform once a pass decision is reached for all the pollutants and CO 2 values according to the test criteria in Appendix 1. When a pass decision has been reached for one pollutant, that decision shall not be changed by any additional tests carried out to reach a decision for the other pollutants and CO 2 values. If a pass decision is not reached for all the pollutants and CO 2 values, a test shall be carried out on another vehicle, up to the maximum of 16 vehicles, and the procedure described in Appendix 1 for taking a pass or fail decision shall be repeated (see Figure I.4.2). Figure I.4.2 Test of three vehicles Computation of the test statistic According to Appendix 1 does the test statistic agree with the criteria for failing the family for at least one pollutant/Co 2 ? YES Family rejected NO NO According to Appendix 1 does the test statistic agree with the criteria for passing the family for at least one pollutant/CO 2 ? YES A pass decision is reached for one or more pollutants/CO 2 Is a pass decision reached for all the pollutants/CO 2 ? YES Family accepted NO Test of an additional vehicle, up to a max of 16 vehicles tested 4.2.4. At the request of the manufacturer and with the acceptance of the approval authority, tests may be carried out on a vehicle of the family with a maximum of 15 000 km in order to establish measured evolution coefficients EvC for pollutants/CO 2 for each family. The running-in procedure shall be conducted by the manufacturer, who shall not to make any adjustments to these vehicles. 4.2.4.1. In order to establish a measured evolution coefficient with a run-in vehicle the procedure shall be as follows: (a) the pollutants/CO 2 shall be measured at a mileage of at most 80 km and at ‘x’ km of the first tested vehicle; (b) the evolution coefficient (EvC) of the pollutants/CO 2 between 80 km and ‘x’ km shall be calculated as: (c) the other vehicles in the interpolation family shall not be run in, but their zero km emissions/EC/CO 2 shall be multiplied by the evolution coefficient of the first run-in vehicle. In this case, the values to be taken for testing as in Appendix 1 shall be: (i) the values at ‘x’ km for the first vehicle; (ii) the values at zero km multiplied by the relevant evolution coefficient for the other vehicles. 4.2.4.2. All these tests shall be conducted with commercial fuel. However, at the manufacturer’s request, the reference fuels described in Annex IX may be used. 4.2.4.3. When checking the conformity of production for CO 2 , as an alternative to the procedure mentioned in Section 4.2.4.1 the vehicle manufacturer may use a fixed evolution coefficient EvC of 0,98 and multiply all values of CO 2 measured at zero km by this factor. 4.2.5 Tests for conformity of production of vehicles fuelled by LPG or NG/biomethane may be performed with a commercial fuel of which the C3/C4 ratio lies between those of the reference fuels in the case of LPG, or of one of the high or low caloric fuels in the case of NG/biomethane. In all cases a fuel analysis shall be presented to the approval authority. 4.2.6. Vehicles fitted with eco-innovations 4.2.6.1. In the case of a vehicle type fitted with one or more eco-innovations, within the meaning of Article 12 of Regulation (EC) No 443/2009 for M1 vehicles or Article 12 of Regulation (EU) No 510/2011 for N1 vehicles, the conformity of production shall be demonstrated with respect to the eco-innovations, by checking the presence of the correct eco-innovation(s) in question. 4.3. PEVs 4.3.1 Measures to ensure the conformity of production with regard to electric energy consumption (EC) shall be checked on the basis of the type-approval certificate set out in Appendix 4 to this Annex. 4.3.2. Electric energy consumption verification for conformity of production 4.3.2.1. During the conformity of production procedure, the break-off criterion for the Type 1 test procedure according to paragraph 3.4.4.1.3 of Sub-Annex 8 to Annex XXI of this Regulation (consecutive cycle procedure) and paragraph 3.4.4.2.3. of Sub-Annex 8 to Annex XXI of this Regulation (Shortened Test Procedure) shall be replaced with the following: The break-off criterion for the conformity of production procedure shall be reached with having finished the first applicable WLTP test cycle. 4.3.2.2. During this first applicable WLTP test cycle, the DC energy from the REESS(s) shall be measured according to the method described in Appendix 3 of Sub-Annex 8 to Annex XXI of this Regulation and divided by the driven distance in this applicable WLTP test cycle. 4.3.2.3. The value determined according to paragraph 4.3.2.2 shall be compared to the value determined according to paragraph 1.2 of Appendix 2. 4.3.2.4. Conformity for EC shall be checked using the statistical procedures described in Section 4.2 and Appendix 1. For the purposes of this conformity check, the terms pollutants/CO 2 shall be replaced by EC. 4.4. OVC-HEVs 4.4.1. Measures to ensure the conformity of production with regard to CO 2 mass emission and electric energy consumption from OVC-HEV shall be checked on the basis of the description in the type-approval certificate set out in Appendix 4 to this Annex. 4.4.2. CO 2 mass emission verification for conformity of production 4.4.2.1. The vehicle shall be tested according to the charge-sustaining Type 1 test as described in paragraph 3.2.5. of Sub-Annex 8 to Annex XXI of this Regulation. 4.4.2.2. During this test, the charge-sustaining CO 2 mass emission shall be determined according to Table A8/5 of Sub-Annex 8 to Annex XXI of this Regulation and compared to the charge-sustaining CO 2 mass emission according to paragraph 2.3 of Appendix 2. 4.4.2.3. Conformity for CO 2 emissions shall be checked using the statistical procedures described in Section 4.2 and Appendix 1. 4.4.3. Electric energy consumption verification for conformity of production 4.4.3.1. During the conformity of production procedure, the end of the charge-depleting Type 1 test procedure according to paragraph 3.2.4.4. of Sub-Annex 8 to Annex XXI of this Regulation shall be replaced with the following: The end of the charge-depleting Type 1 test procedure for the conformity of production procedure shall be reached with having finished the first applicable WLTP test cycle. 4.4.3.2. During this first applicable WLTP test cycle, the DC energy from the REESS(s) shall be measured according to the method described in Appendix 3 of Sub-Annex 8 to Annex XXI of this Regulation and divided by the driven distance in this applicable WLTP test cycle. 4.4.3.3. The value determined according to paragraph 4.5.3.2. of this Regulation shall be compared to the value determined according to paragraph 2.4. of Appendix 2. 4.4.1.4. Conformity for EC shall be checked using the statistical procedures described in Section 4.2 and Appendix 1. For the purposes of this conformity check, the terms pollutants/CO 2 shall be replaced by EC. 4.5. Checking the conformity of the vehicle for a Type 3 test 4.5.1. If a verification of the Type 3 test is to be carried out, it shall be conducted in accordance with the following requirements: 4.5.1.1. When the approval authority determines that the quality of production seems unsatisfactory, a vehicle shall be randomly taken from the family and subjected to the tests described in Annex V. 4.5.1.2. The production shall be deemed to conform if this vehicle meets the requirements of the tests described in Annex V. 4.5.1.3. If the vehicle tested does not satisfy the requirements of Section 4.5.1.1, a further random sample of four vehicles shall be taken from the same family and subjected to the tests described in Annex V. The tests may be carried out on vehicles which have completed a maximum of 15 000 km with no modifications. 4.5.1.4. The production shall be deemed to conform if at least three vehicles meet the requirements of the tests described in Annex V. 4.6. Checking the conformity of the vehicle for a Type 4 test 4.6.1. If a verification of the Type 4 test is to be carried out, it shall be conducted in accordance with the following requirements: 4.6.1.1. When the approval authority determines that the quality of production seems unsatisfactory, a vehicle shall be randomly taken from the family and subjected to the tests described in Annex VI, or at least as in paragraph 7 of Annex 7 of UN Regulation 83. 4.6.1.2. The production shall be deemed to conform if this vehicle meets the requirements of the tests described in Annex VI, or paragraph 7 of Annex 7 of UN Regulation 83 depending on the test performed. 4.6.1.3. If the vehicle tested does not satisfy the requirements of section 4.6.1.1, a further random sample of four vehicles shall be taken from the same family and subjected to the tests described in Annex VI, or at least as in paragraph 7 of Annex 7 of UN Regulation 83. The tests may be carried out on vehicles which have completed a maximum of 15 000 km with no modifications. 4.6.1.4. The production shall be deemed to conform if at least three vehicles meet the requirements of the tests described in Annex VI, or paragraph 7 of Annex 7 of UN Regulation 83 depending on the test performed. 4.7. Checking the conformity of the vehicle for On-board Diagnostics (OBD) 4.7.1. If a verification of the performance of the OBD system is to be carried out, it shall be conducted in accordance with the following requirements: 4.7.1.1. When the approval authority determines that the quality of production seems unsatisfactory, a vehicle shall be randomly taken from the family and subjected to the tests described in Appendix 1 to Annex XI. 4.7.1.2. The production shall be deemed to conform if this vehicle meets the requirements of the tests described in Appendix 1 to Annex XI. 4.7.1.3. If the vehicle tested does not satisfy the requirements of section 4.7.1.1, a further random sample of four vehicles shall be taken from the same family and subjected to the tests described in Appendix 1 to Annex XI. The tests may be carried out on vehicles which have completed a maximum of 15 000 km with no modifications. 4.7.1.4. The production shall be deemed to conform if at least three vehicles meet the requirements of the tests described in Appendix 1 to Annex XI.