ANNEX II
“ANNEX II IN-SERVICE CONFORMITY
1.INTRODUCTION
1.1.This Annex sets out the tailpipe emissions and OBD (inclusive IUPRM) in-service conformity requirements for vehicles type approved to this Regulation.
2.AUDIT OF IN-SERVICE CONFORMITY
2.1.The audit of in-service conformity by the approval authority shall be conducted on the basis of any relevant information that the manufacturer has, under the same procedures as those for the conformity of production defined in Article 12(1) and (2) of Directive 2007/46/EC and in points 1 and 2 of Annex X to that Directive. Information from approval authority and Member State surveillance testing may complement the in-service monitoring reports supplied by the manufacturer.
2.2.The figure referred to in point 9 of Appendix 2 to this Annex and Figure 4/2 of Appendix 4 to UN/ECE Regulation No 83 (for tailpipe emissions only) illustrates the procedure for in-service conformity checking. The process for in-service conformity is described in Appendix 3 to this Annex.
2.3.As part of the information provided for the in-service conformity control, at the request of the approval authority, the manufacturer shall report to the type-approval authority on warranty claims, warranty repair works and OBD faults recorded at servicing, according to a format agreed at type-approval. The information shall detail the frequency and substance of faults for emissions-related components and systems. The reports shall be filed at least once a year for each vehicle model for the duration of the period defined in Article 9(4) of this Regulation.
2.4. Parameters defining the tailpipe emissions in-service family
The in-service family may be defined by basic design parameters which shall be common to vehicles within the family. Accordingly, vehicle types may be considered as belonging to the same in-service family if they have in common, or within the stated tolerances, the following parameters:
combustion process (two stroke, four stroke, rotary);
number of cylinders;
configuration of the cylinder block (in-line, V, radial, horizontally opposed, other. The inclination or orientation of the cylinders is not a criteria);
method of engine fuelling (e.g. indirect or direct injection);
type of cooling system (air, water, oil);
method of aspiration (naturally aspirated, pressure charged);
fuel for which the engine is designed (petrol, diesel, NG, LPG, etc.). Bi fuelled vehicles may be grouped with dedicated fuel vehicles providing one of the fuels is common;
type of catalytic converter (three-way catalyst, lean NOx trap, SCR, lean NOx catalyst or other(s));
type of particulate trap (with or without);
exhaust gas recirculation (with or without, cooled or non-cooled); and
engine cylinder capacity of the largest engine within the family minus 30 %.
2.5. Information requirements
An audit of in-service conformity will be conducted by the approval authority on the basis of information supplied by the manufacturer. Such information shall include in particular, the following:
the name and address of the manufacturer;
the name, address, telephone and fax numbers and e-mail address of his authorised representative within the areas covered by the manufacturer’s information;
the model name(s) of the vehicles included in the manufacturer’s information;
where appropriate, the list of vehicle types covered within the manufacturer’s information, i.e. for tailpipe emissions, the in-service family group in accordance with point 2.4, and for OBD and IUPRM, the OBD family in accordance with Appendix 2 to Annex XI;
the vehicle identification number (VIN) codes applicable to these vehicle types within the family (VIN prefix);
the numbers of the type-approvals applicable to these vehicle types within the family, including, where applicable, the numbers of all extensions and field fixes/recalls (re-works);
details of extensions, field fixes/recalls to those type-approvals for the vehicles covered within the manufacturer’s information (if requested by the approval authority);
the period of time over which the manufacturer’s information was collected;
the vehicle build period covered within the manufacturer’s information (e.g. vehicles manufactured during the 2007 calendar year);
the manufacturer’s in-service conformity checking procedure, including:
vehicle location method;
vehicle selection and rejection criteria;
test types and procedures used for the programme;
the manufacturer’s acceptance/rejection criteria for the family group;
geographical area(s) within which the manufacturer has collected information;
sample size and sampling plan used;
the results from the manufacturer’s in-service conformity procedure, including:
identification of the vehicles included in the programme (whether tested or not). The identification shall include the following:
model name,
vehicle identification number (VIN),
vehicle registration number,
date of manufacture,
region of use (where known),
tyres fitted (tailpipe emissions only);
the reason(s) for rejecting a vehicle from the sample;
service history for each vehicle in the sample (including any re-works);
repair history for each vehicle in the sample (where known);
test data, including the following:
date of test/download,
location of test/download,
distance indicated on vehicle odometer;
test data for tailpipe emissions only:
test fuel specifications (e.g. test reference fuel or market fuel),
test conditions (temperature, humidity, dynamometer inertia weight),
dynamometer settings (e.g. power setting),
test results (from at least three different vehicles per family);
test data for IUPRM only:
all required data downloaded from the vehicle,
For each monitor to be reported the in-use-performance ratio IUPRM;
records of indication from the OBD system;
for IUPRM sampling, the following:
The average of in-use-performance ratios IUPRM of all selected vehicles for each monitor according to points 3.1.4 and 3.1.5 of Appendix 1 to Annex XI,
The percentage of selected vehicles, which have an IUPRM greater or equal to the minimum value applicable to the monitor according to points 3.1.4 and 3.1.5 of Appendix 1 to Annex XI.
3.SELECTION OF VEHICLES FOR IN-SERVICE CONFORMITY
3.1.The information gathered by the manufacturer shall be sufficiently comprehensive to ensure that in-service performance can be assessed for normal conditions of use. The manufacturer’s sampling shall be drawn from at least two Member States with substantially different vehicle operating conditions (unless only sold in one Member State). Factors such as differences in fuels, ambient conditions, average road speeds, and urban/highway driving split shall be taken into consideration in the selection of the Member States.
For OBD IUPRM testing only vehicles fulfilling the criteria of point 2.2.1 of Appendix 1 shall be included in the test sample.
3.2.In selecting the Member States for sampling vehicles, the manufacturer may select vehicles from a Member State that is considered to be particularly representative. In this case, the manufacturer shall demonstrate to the approval authority which granted the type approval that the selection is representative (e.g. by the market having the largest annual sales of a vehicle family within the Union). When a family requires more than one sample lot to be tested as defined in point 3.5, the vehicles in the second and third sample lots shall reflect different vehicle operating conditions from those selected for the first sample.
3.3.The emissions testing may be done at a test facility which is located in a different market or region from where the vehicles have been selected.
3.4.The in-service tailpipe emissions conformity tests by the manufacturer shall be continuously carried out reflecting the production cycle of applicable vehicles types within a given in-service vehicle family. The maximum time period between commencing two in-service conformity checks shall not exceed 18 months. In the case of vehicle types covered by an extension to the type-approval that did not require an emissions test, this period may be extended up to 24 months.
3.5. Sample size
3.5.1.When applying the statistical procedure defined in Appendix 2 (i.e. for tailpipe emissions), the number of sample lots shall depend on the annual sales volume of an in-service family in the Union, as defined in the following table:
| EU Registrationsper calendar year (for tailpipe emission tests),of vehicles of an OBD family with IUPR in the sampling period | Number of sample lots |
|---|---|
| up to 100 000 | 1 |
| 100 001 to 200 000 | 2 |
| above 200 000 | 3 |
3.5.2.For IUPR, the number of sample lots to be taken is described in the table in point 3.5.1 and is based on the number of vehicles of an OBD family that are approved with IUPR (subject to sampling).
For the first sampling period of an OBD family, all of the vehicle types in the family that are approved with IUPR shall be considered to be subject to sampling. For subsequent sampling periods, only vehicle types which have not been previously tested or are covered by emissions approvals that have been extended since the previous sampling period shall be considered to be subject to sampling.
For families consisting of fewer than 5 000 EU registrations that are subject to sampling within the sampling period the minimum number of vehicles in a sample lot is six. For all other families, the minimum number of vehicles in a sample lot to be sampled is fifteen.
Each sample lot shall adequately represent the sales pattern, i.e. at least high volume vehicle types (≥ 20 % of the family total) shall be represented.
4.On the basis of the audit referred to in Section 2 the approval authority shall adopt one of the following decisions and actions:
decide that the in-service conformity of a vehicle type, vehicle in-service family or vehicle OBD family is satisfactory and not take any further action;
decide that the data provided by the manufacturer is insufficient to reach a decision and request additional information or test data from the manufacturer;
decide that based on data from the approval authority or Member State surveillance testing programmes, that information provided by the manufacturer is insufficient to reach a decision and request additional information or test data from the manufacturer;
decide that the in-service conformity of a vehicle type, that is part of an in-service family, or of an OBD family, is unsatisfactory and proceed to have such vehicle type or OBD family tested in accordance with Appendix 1.
If according to the IUPRM audit the test criteria of point 6.1.2 point (a) or (b) of Appendix 1 are met for the vehicles in a sample lot, the type-approval authority must take the further action described in point (d) of this point.
4.1.Where type 1 tests are considered necessary to check the conformity of emission control devices with the requirements for their performance while in service, such tests shall be carried out using a test procedure meeting the statistical criteria defined in Appendix 2.
4.2.The approval authority, in cooperation with the manufacturer, shall select a sample of vehicles with sufficient mileage whose use under normal conditions can be reasonably assured. The manufacturer shall be consulted on the choice of the vehicles in the sample and allowed to attend the confirmatory checks of the vehicles.
4.3.The manufacturer shall be authorised, under the supervision of the approval authority, to carry out checks, even of a destructive nature, on those vehicles with emission levels in excess of the limit values with a view to establishing possible causes of deterioration which cannot be attributed to the manufacturer (e.g. use of leaded petrol before the test date). Where the results of the checks confirm such causes, those test results shall be excluded from the conformity check.
Appendix 1 In-service conformity check
1.INTRODUCTION
1.1.This Appendix sets out the criteria referred to in Section 4 regarding the selection of vehicles for testing and the procedures for the in-service conformity control.
2.SELECTION CRITERIA
The criteria for acceptance of a selected vehicle are defined for tailpipe emissions in points 2.1 to 2.8 and for IUPRM in Sections 2.1 to 2.5.
2.1.The vehicle shall belong to a vehicle type that is type-approved under this Regulation and covered by a certificate of conformity in accordance with Directive 2007/46/EC. For checking of IUPRM, the vehicle shall be approved to the OBD standards Euro 5+, Euro 6- plus IUPR or later. It shall be registered and have been used in the Union.
2.2.The vehicle shall have been in service for at least 15 000 km or 6 months, whichever the later, and for no more than 100 000 km or 5 years, whichever the sooner.
2.2.1.For checking IUPRM, the test sample shall include only vehicles that:
have collected sufficient vehicle operation data for the monitor to be tested.
For monitors required to meet the in-use monitor performance ratio and to track and report ratio data pursuant to point 3.6.1 of Appendix 1 to Annex XI, sufficient vehicle operation data shall mean the denominator meets the criteria set forth below. The denominator, as defined in points 3.3 and 3.5 of Appendix 1 to Annex XI, for the monitor to be tested must have a value equal to or greater than one of the following values:
75 for evaporative system monitors, secondary air system monitors, and monitors utilising a denominator incremented in accordance with point 3.3.2 points (a), (b) or (c) of Appendix 1 to Annex XI (e.g. cold start monitors, air conditioning system monitors, etc.); or
25 for particulate filter monitors and oxidation catalyst monitors utilising a denominator incremented in accordance with point 3.3.2(d) of Appendix 1 to Annex XI; or
150 for catalyst, oxygen sensor, EGR, VVT, and all other component monitors;
have not been tampered with or equipped with add-on or modified parts that would cause the OBD system not to comply with the requirements of Annex XI.
2.3.There shall be a maintenance record to show that the vehicle has been properly maintained (e.g. has been serviced in accordance with the manufacturer’s recommendations).
2.4.The vehicle shall exhibit no indications of abuse (e. g. racing, overloading, mis-fuelling, or other misuse), or other factors (e. g. tampering) that could affect emission performance. The fault code and mileage information stored in the computer shall be taken into account. A vehicle shall not be selected for testing if the information stored in the computer shows that the vehicle has operated after a fault code was stored and a relatively prompt repair was not carried out.
2.5.There shall have been no unauthorised major repair to the engine or major repair of the vehicle.
2.6.The lead content and sulphur content of a fuel sample from the vehicle tank shall meet the applicable standards laid down in Directive 98/70/EC of the European Parliament and of the Council(1) and there shall be no evidence of mis-fuelling. Checks may be done in the tailpipe.
2.7.There shall be no indication of any problem that might jeopardise the safety of laboratory personnel.
2.8.All anti-pollution system components on the vehicle shall be in conformity with the applicable type-approval.
3.DIAGNOSIS AND MAINTENANCE
Diagnosis and any normal maintenance necessary shall be performed on vehicles accepted for testing, prior to measuring exhaust emissions, in accordance with the procedure laid down in points 3.1 to 3.7.
3.1.The following checks shall be carried out: checks on air filter, all drive belts, all fluid levels, radiator cap, all vacuum hoses and electrical wiring related to the antipollution system for integrity; checks on ignition, fuel metering and pollution control device components for maladjustments and/or tampering. All discrepancies shall be recorded.
3.2.The OBD system shall be checked for proper functioning. Any malfunction indications in the OBD memory shall be recorded and the requisite repairs shall be carried out. If the OBD malfunction indicator registers a malfunction during a preconditioning cycle, the fault may be identified and repaired. The test may be rerun and the results of that repaired vehicle used.
3.3.The ignition system shall be checked and defective components replaced, for example spark plugs, cables, etc.
3.4.The compression shall be checked. If the result is unsatisfactory the vehicle shall be rejected.
3.5.The engine parameters shall be checked to the manufacturer’s specifications and adjusted if necessary.
3.6.If the vehicle is within 800 km of a scheduled maintenance service, that service shall be performed according to the manufacturer’s instructions. Regardless of odometer reading, the oil and air filter may be changed at the request of the manufacturer.
3.7.Upon acceptance of the vehicle, the fuel shall be replaced with appropriate emission test reference fuel, unless the manufacturer accepts the use of market fuel.
4.IN-SERVICE TESTING
4.1.When a check on vehicles is deemed necessary, emission tests in accordance with Annex III are performed on pre-conditioned vehicles selected in accordance with the requirements of Sections 2 and 3 of this Appendix. This test shall only include the measurement of particle number emissions for vehicles approved to the Euro 6 emission standards in categories W, X and Y as defined in Table 1 of Appendix 6 to Annex I. Pre-conditioning cycles additional to those specified in points 5.3 of Annex 4 to UN/ECE Regulation No 83 will only be allowed if they are representative of normal driving.
4.2.Vehicles equipped with an OBD system may be checked for proper in-service functionality, of the malfunction indication, etc., in relation to levels of emissions (e.g. the malfunction indication limits defined in Annex XI) for the type-approved specifications.
4.3.The OBD system may be checked, for example, for levels of emissions above the applicable limit values with no malfunction indication, systematic erroneous activation of the malfunction indication and identified faulty or deteriorated components in the OBD system.
4.4.If a component or system operates in a manner not covered by the particulars in the type-approval certificate and/or information package for such vehicle types and such deviation has not been authorised under Article 13(1) or (2) of Directive 2007/46/EC, with no malfunction indication by the OBD, the component or system shall not be replaced prior to emission testing, unless it is determined that the component or system has been tampered with or abused in such a manner that the OBD does not detect the resulting malfunction.
5.EVALUATION OF EMISSION TEST RESULTS
5.1.The test results shall be submitted to the evaluation procedure in accordance with Appendix 2.
5.2.Test results shall not be multiplied by deterioration factors.
6.PLAN OF REMEDIAL MEASURES
6.1.The approval authority shall request the manufacturer to submit a plan of remedial measures to remedy the non-compliance when:
For tailpipe emissions, more than one vehicle is found to be an outlying emitter that meets either of the following conditions:
the conditions set out in point 3.2.3 of Appendix 4 to UN/ECE Regulation No 83 and where both the approval authority and the manufacturer agree that the excess emission is due to the same cause; or
the conditions set out in point 3.2.4 of Appendix 4 to UN/ECE Regulation No 83 where the approval authority has determined that the excess emission is due to the same cause.
For IUPRM of a particular monitor M the following statistical conditions are met in a test sample, the size of which is determined according to point 3.5 of this Annex:
For vehicles certified to a ratio of 0,1 in accordance with point 3.1.5 of Appendix 1 to Annex XI, the data collected from the vehicles indicate for at least one monitor M in the test sample either that the test sample average in-use-performance ratio is less than 0,1 or that 66 % or more of the vehicles in the test sample have an in-use monitor performance ratio of less than 0,1.
For vehicles certified to the full ratios in accordance with point 3.1.4 of Appendix 1 to Annex XI, the data collected from the vehicles indicate for at least one monitor M in the test sample either that the test sample average in-use performance ratio in the test sample is less than the value Testmin(M) or that 66 % or more of the vehicles in the test sample have an in-use performance ratio of less than Testmin(M).
The value of Testmin(M) shall be:
0,230 if the monitor M is required to have an in-use ratio of 0,26;
0,460 if the monitor M is required to have an in-use ratio of 0,52;
0,297 if the monitor M is required to have an in-use ratio of 0,336;
according to point 3.1.4 of Appendix 1 to Annex XI.
6.2.The plan of remedial measures shall be filed with the type-approval authority not later than 60 working days from the date of the notification referred to in point 6.1. The type-approval authority shall within 30 working days declare its approval or disapproval of the plan of remedial measures. However, where the manufacturer can demonstrate, to the satisfaction of the competent approval authority, that further time is required to investigate the non-compliance in order to submit a plan of remedial measures, an extension shall be granted.
6.3.The remedial measures shall apply to all vehicles likely to be affected by the same defect. The need to amend the type-approval documents shall be assessed.
6.4.The manufacturer shall provide a copy of all communications related to the plan of remedial measures, and shall also maintain a record of the recall campaign, and supply regular status reports to the approval authority.
6.5.The plan of remedial measures shall include the requirements specified in points 6.5.1 to 6.5.11. The manufacturer shall assign a unique identifying name or number to the plan of remedial measures.
6.5.1.A description of each vehicle type included in the plan of remedial measures.
6.5.2.A description of the specific modifications, alterations, repairs, corrections, adjustments or other changes to be made to bring the vehicles into conformity including a brief summary of the data and technical studies which support the decision of the manufacturer as to the particular measures to be taken to correct the non-conformity.
6.5.3.A description of the method by which the manufacturer informs the vehicle owners.
6.5.4.A description of the proper maintenance or use, if any, which the manufacturer stipulates as a condition of eligibility for repair under the plan of remedial measures, and an explanation of the reasons why the manufacturer imposes any such condition. No maintenance or use conditions may be imposed unless it is demonstrably related to the non-conformity and the remedial measures.
6.5.5.A description of the procedure to be followed by vehicle owners to obtain correction of the non-conformity. This description shall include a date after which the remedial measures may be taken, the estimated time for the workshop to perform the repairs and where they can be done. The repair shall be done expediently, within a reasonable time after delivery of the vehicle.
6.5.6.A copy of the information transmitted to the vehicle owner.
6.5.7.A brief description of the system which the manufacturer uses to assure an adequate supply of component or systems for fulfilling the remedial action. It shall be indicated when there will be an adequate supply of components or systems to initiate the campaign.
6.5.8.A copy of all instructions to be sent to those persons who are to perform the repair.
6.5.9.A description of the impact of the proposed remedial measures on the emissions, fuel consumption, driveability, and safety of each vehicle type, covered by the plan of remedial measures with data and technical studies which support these conclusions.
6.5.10.Any other information, reports or data the type-approval authority may reasonably determine is necessary to evaluate the plan of remedial measures.
6.5.11.Where the plan of remedial measures includes a recall, a description of the method for recording the repair shall be submitted to the type-approval authority. If a label is used, an example of it shall be submitted.
6.6.The manufacturer may be required to conduct reasonably designed and necessary tests on components and vehicles incorporating a proposed change, repair, or modification to demonstrate the effectiveness of the change, repair, or modification.
6.7.The manufacturer is responsible for keeping a record of every vehicle recalled and repaired and the workshop which performed the repair. The type-approval authority shall have access to the record on request for a period of 5 years from the implementation of the plan of remedial measures.
6.8.The repair and modification or addition of new equipment shall be recorded in a certificate supplied by the manufacturer to the vehicle owner.
Appendix 2 Statistical procedure for tailpipe emissions in-service conformity testing
1.This procedure shall be used to verify the in-service conformity requirements for the type 1 test. The applicable statistical method set out in Appendix 4 to UN/ECE Regulation No 83 shall apply, with the exceptions described in the Sections 2 to 9 of this Appendix.
2.Note 1 shall not apply.
3.Point 3.2 shall be understood as follows:
A vehicle is said to be an outlying emitter when the conditions given in point 3.2.2 are met.
4.Point 3.2.1 shall not apply.
5.In point 3.2.2, the reference to row B of the table in point 5.3.1.4 shall be understood as reference to Table 1 of Annex I to Regulation (EC) No 715/2007 for Euro 5 vehicles and to Table 2 of Annex I to Regulation (EC) No 715/2007 for Euro 6 vehicles.
6.In points 3.2.3.2.1 and 3.2.4.2, the reference to Section 6 of Appendix 3 shall be understood as reference to Section 6 of Appendix 1 to Annex II to this Regulation.
7.In notes 2 and 3, the reference to row A of the table in point 5.3.1.4 shall be understood as reference to Table 1 of Annex I to Regulation (EC) No 715/2007 for Euro 5 vehicles and to Table 2 of Annex I to Regulation (EC) No 715/2007 for Euro 6 vehicles.
8.In point 4.2, the reference to point 5.3.1.4 shall be understood as reference to Table 1 of Annex I to Regulation (EC) No 715/2007 for Euro 5 vehicles and Table 2 of Annex I to Regulation (EC) No 715/2007 for Euro 6 vehicles.
9.Figure 4/1 shall be replaced by the following figure:
‘Figure 4/1
’
