Commission Directive 2005/78/EC (repealed)Show full title

ANNEX III CONFORMITY OF IN-SERVICE VEHICLES/ENGINES

1. GENERAL

1.1. With reference to type-approvals granted for emissions, measures are appropriate for confirming the functionality of the emission control devices during the useful life of an engine installed in a vehicle under normal conditions of use (conformity of in-service vehicles/engines properly maintained and used).

1.2. For the purpose of this Directive these measures must be checked over a period corresponding to the appropriate useful life period defined in Article 3 of this Directive for vehicles or engines which are type-approved to either row B1, row B2 or row C of the tables in section 6.2.1 of Annex I to Directive 2005/55/EC.

1.3. The checking of conformity of in-service vehicles/engines is done on the basis of information provided by the manufacturer to the type-approval authority conducting an audit of the emissions-performance of a range of representative vehicles or engines of which the manufacturer holds the type-approval.

Figures 1 in this Annex illustrates the procedure for in-service conformity checking.

2. PROCEDURES FOR AUDIT

2.1. Audit of in-service conformity by the type-approval authority is conducted on the basis of any relevant information that the manufacturer has, under procedures similar to those defined in Article 10(1) and (2), and in sections 1 and 2 of Annex X to Directive 70/156/EEC.

Alternatives are in-service monitoring reports supplied by the manufacturer, type approval authority surveillance testing and/or information on surveillance testing performed by a Member State. The procedures to be used are given in section 3.

3. AUDIT PROCEDURES

3.1.

An audit of in-service conformity will be conducted by the type-approval authority on the basis of information supplied by the manufacturer. The manufacturers' in-service monitoring (ISM) report should be based on in-use testing of engines or vehicles using proven and relevant testing protocols. Such information (the ISM report) must include, but is not limited to, the following (see sections 3.1.1 to 3.1.13):

3.1.1. The name and address of the manufacturer.

3.1.2. The name, address, telephone and fax numbers and e-mail address of his authorised representative within the areas covered by the manufacturer’s information.

3.1.3. The model name(s) of the engines included in the manufacturer’s information.

3.1.4. Where appropriate, the list of engine types covered within the manufacturer’s information, i.e. the engine-after-treatment system family.

3.1.5. The vehicle identification number (VIN) codes applicable to the vehicles equipped with an engine that is part of the audit.

3.1.6. The numbers of the type approvals applicable to the engine types within the in-service family, including, where applicable, the numbers of all extensions and field fixes/recalls (re-works):

3.1.7. Details of extensions, field fixes/recalls to those type approvals for the engines covered within the manufacturer’s information (if requested by the type-approval authority).

3.1.8. The period of time over which the manufacturer’s information was collected.

3.1.9. The engine build period covered within the manufacturer’s information (e.g. ‘vehicles or engines manufactured during the 2005 calendar year’).

3.1.10.

The manufacturer’s in-service conformity checking procedure, including:

3.1.10.1. Vehicle or engine location method

3.1.10.2. Selection and rejection criteria for vehicle or engine

3.1.10.3. Test types and procedures used for the programme

3.1.10.4. The manufacturer’s acceptance/rejection criteria for the in-service family group

3.1.10.5. Geographical area(s) within which the manufacturer has collected information

3.1.10.6. Sample size and sampling plan used.

3.1.11.

The results from the manufacturer’s in-service conformity procedure, including:

3.1.11.1. Identification of the engines included in the programme (whether tested or not). The identification will include:

• model name

• vehicle identification number (VIN)

• engine identification number

• vehicle registration number equipped with an engine that is part of the audit

• date of manufacture

• region of use (where known)

• type of use of the vehicle (where known), i.e. urban delivery, long haul etc.

3.1.11.2. The reason(s) for rejecting a vehicle or engine from a sample (e.g., vehicle being in-use for less than one year, improper emission-related maintenance, evidence of using a fuel having a higher sulphur content than required for normal vehicle use, emission control equipment not in conformity with type-approval). The reason for rejection shall be substantiated (e.g., the nature of non-fulfilment of maintenance instructions, etc.). A vehicle should not be excluded solely on the ground that the AECS may have been excessively in operation.

3.1.11.3. Emission-related servicing and maintenance history for each engine in the sample (including any re-works).

3.1.11.4. Repair history for each engine in the sample (where known).

3.1.11.5. Test data, including:

(a)

date of test

(b)

location of test

(c)

where applicable, distance indicated odometer of vehicle equipped with an engine that is covered by the audit

(d)

test fuel specifications (e.g. test reference fuel or market fuel)

(e)

test conditions (temperature, humidity, dynamometer inertia weight)

(f)

dynamometer settings (e.g. power setting)

(g)

emission test results conducted on the ESC, ETC and ELR tests according to section 4 of this Annex. A minimum of five engines shall be tested

(h)

alternative to item (g) above, tests may be conducted using another protocol. The relevance for monitoring in-service functionality with such a test shall be stated and substantiated by manufacturer in conjunction with the type-approval process (sections 3 and 4 in Annex I to Directive 2005/55/EC).

3.1.12. Records of indication from the OBD system.

3.1.13.

Record of experiences of the use of consumable reagent. Reports should detail, but not be limited to, operator experiences with the handling of filling, refilling and consumption of the reagent, and the conduct of the filling installations, and, specifically, the frequency of activation in-use of the temporary performance limiter and events of other defect instances, activation of the MI and the registering of a fault code relating to a lack of the consumable reagent.

3.1.13.1. The manufacturer shall supply in-use and defect reports. The manufacturer shall report on warranty claims and their nature, and in-field indications of activation/deactivation of the MI and the registering of a fault code relating to a lack of the consumable reagent and the activation/deactivation of the engine performance limiter (see section 6.5.5 of Annex I to Directive 2005/55/EC).

3.2. The information gathered by the manufacturer must be sufficiently comprehensive to ensure that in-service performance can be assessed for normal conditions over the appropriate durability/useful life period defined in Article 3 of this Directive and in a way representative of the manufacturer's geographic penetration.

3.3. The manufacturer may whish to run in-service monitoring comprising fewer engines/vehicles than the number given in section 3.1.11.5, item (g), and using a procedure defined under section 3.1.11.5, item (h). The reason could be that the engines in the engine family(-ies) covered by the report are in a small number. The conditions should have been agreed on beforehand by the type-approval authority.

3.4. On the basis of the monitoring report referred to in this section, the type-approval authority must either:

• decide that the in-service conformity of an engine type or an engine family is satisfactory and not to take any further action

• decide that the data provided by the manufacturer is insufficient to reach a decision and request additional information and/or test data from the manufacturer. Where requested, and depending on the type-approval of the engine, such additional test data shall include ESC, ELR, and ETC test results, or from other proven procedures according to section 3.1.11.5, item (h)

• decide that the in-service conformity of an engine family is unsatisfactory and proceed to have confirmatory testing carried out on a sample of engines from the engine family, according to section 5 of this Annex.

3.5. A Member State may conduct and report its' surveillance testing, based on the audit procedure spelled out in this section. Information on the procurement, maintenance, and manufacturer’s participation in the activities may be recorded. Likewise, the Member State may use alternative emission test protocols, according to section 3.1.11.5, item (h).

3.6. The type-approval authority may take up surveillance testing conducted and reported by a Member State as a basis for the decisions according to section 3.4.

3.7. The manufacturer should report to the type-approval authority and the Member State(s) where the subject engines/vehicles are kept in service when planning to conduct a voluntary remedial action. The reporting shall be supplied by the manufacturer in conjunction with taking the decision to take action, specifying the particulars of the action, describe the groups of engines/vehicles to be included in the action, and regularly thereafter on the commencement of the campaign. The applicable particulars of section 7 to this Annex may be used.

4. EMISSION TESTS

4.1. An engine selected from the engine family shall be tested over the ESC and ETC test cycles for gaseous and particulate emissions and over the ELR test cycle for smoke emission. The engine shall be representative of the type of use expected for this type of engine, and come from a vehicle in normal use. The procurement, inspection, and restorative maintenance of the engine/vehicle shall be conducted using a protocol such as is specified in section 3, and shall be documented.

The appropriate maintenance schedule, referred to in section 4 of Annex II, shall have been carried out on the engine.

4.2. The emission values determined from the ESC, ETC and ELR tests shall be expressed to the same number of decimal places as the limit value for that pollutant, as shown in the tables in section 6.2.1 of Annex I to Directive 2005/55/EC, plus one additional decimal place.

5. CONFIRMATORY TESTING

5.1.

Confirmatory testing is done for the purpose of confirmation of the in-service emission functionality of an engine family.

5.1.1. If the type-approval authority is not satisfied with the manufacturers' ISM according to section 3.4 or on a reported evidence of unsatisfactory in-service conformity, e.g., according to section 3.5, may order the manufacturer to run test for confirmatory purposes. The type-approval authority will examine the confirmatory test report supplied by the manufacturer.

5.1.2. The type-approval authority may conduct confirmatory testing.

5.2. The confirmatory test should be applicable engine ESC, ETC and ELR tests, as specified in Section 4. Representative engines to be tested should be dismounted from vehicles used under normal conditions and be tested. Alternatively, after prior agreement with the type-approval authority, the manufacturer may test emission control components from vehicles in use, after being dismounted, transferred and mounted on properly used and representative engine(s). For each series of tests, the same package of emission control components shall be selected. The reason for the selection shall be stated.

5.3. A test result may be regarded as non-satisfactory when, from tests of two or more engines representing the same engine family, for any regulated pollutant component, the limit value as shown in section 6.2.1 of Annex I to Directive 2005/55/EC is exceeded significantly.

6. ACTIONS TO BE TAKEN

6.1. Where the type-approval authority is not satisfied with the information or test data supplied by the manufacturer, and, having carried out confirmatory engine testing according to section 5, or based on confirmatory testing conducted by a Member State (section 6.3), and it is certain that an engine type is not in conformity with the requirements of these provisions, the type-approval authority must request the manufacturer to submit a plan of remedial measure to remedy the non-conformity.

6.2. In this case, the remedial measures referred to in Article 11(2) and in Annex X to Directive 70/156/EEC [or the refont of the framework Directive] are extended to engines in service belonging to the same vehicle type which are likely to be affected with the same defects, in accordance with section 8.

To be valid the plan of remedial measures presented by the manufacturer must be approved by the type-approval authority. The manufacturer is responsible for the execution of the remedial plan as approved.

The type-approval authority must notify its decision to all Member States within 30 days. The Member States may require that the same plan of remedial measures be applied to all engines of the same type registered in their territory.

6.3. If a Member State has established that an engine type does not conform to the applicable requirements of this Annex, it must notify without delay the Member State which granted the original type-approval in accordance with the requirements of Article 11(3) of Directive 70/156/EEC.

Then, subject to the provision of Article 11(6) of Directive 70/156/EEC, the competent authority of the Member State which granted the original type-approval shall inform the manufacturer that an engine type fails to satisfy the requirements of these provisions and that certain measures are expected of the manufacturer. The manufacturer shall submit to the authority, within two months after this notification, a plan of measures to overcome the defects, the substance of which should correspond with the requirements of section 7. The competent authority which granted the original type-approval shall, within two months, consult the manufacturer in order to secure agreement on a plan of measures and on carrying out the plan. If the competent authority which granted the original type-approval establishes that no agreement can be reached, the procedure pursuant to Article 11(3) and (4) of Directive 70/156/EEC shall be initiated.

7. PLAN OF REMEDIAL MEASURES

7.1. The plan of remedial measures, requested according to section 6.1, must be filed with the type-approval authority not later than 60 working days from the date of the notification referred to in section 6.1. The type-approval authority must 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 type-approval authority, that further time is required to investigate the non-compliance in order to submit a plan of remedial measures, an extension is granted.

7.2. The remedial measures must apply to all engines likely to be affected by the same defect. The need to amend the type-approval documents must be assessed.

7.3. The manufacturer must provide a copy of all communications related to the plan of remedial measures, must also maintain a record of the recall campaign, and supply regular status reports to the type-approval authority.

7.4.

The plan of remedial measures must include the requirements specified in 7.4.1 to 7.4.11. The manufacturer must assign a unique identifying name or number to the plan of remedial measures.

7.4.1. A description of each engine type included in the plan of remedial measures.

7.4.2. A description of the specific modifications, alterations, repairs, corrections, adjustments, or other changes to be made to bring the engines into conformity including a brief summary of the data and technical studies which support the manufacturer's decision as to the particular measures to be taken to correct the non-conformity.

7.4.3. A description of the method by which the manufacturer informs the engine or vehicle owners about the remedial measures.

7.4.4. A description of the proper maintenance or use, if any, which the manufacturer stipulates as a conditions of eligibility for repair under the plan of remedial measures, and an explanation of the manufacturer's reasons for imposing any such condition. No maintenance or use conditions may be imposed unless it is demonstrably related to the non-conformity and the remedial measures.

7.4.5. A description of the procedure to be followed by engine owners to obtain correction of the non-conformity. This must 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 must be done expediently, within a reasonable time after delivery of the vehicle.

7.4.6. A copy of the information transmitted to the vehicle owner.

7.4.7. 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 must be indicated when there will be an adequate supply of components or systems to initiate the campaign.

7.4.8. A copy of all instructions to be sent to those persons who are to perform the repair.

7.4.9. A description of the impact of the proposed remedial measures on the emissions, fuel consumption, driveability, and safety of each engine type, covered by the plan of remedial measures with data, technical studies, etc. which support these conclusions.

7.4.10. Any other information, reports or data the type-approval authority may reasonably determine is necessary to evaluate the plan of remedial measures.

7.4.11. Where the plan of remedial measures includes a recall, a description of the method for recording the repair must be submitted to the type-approval authority. If a label is used, an example of it must be submitted.

7.5. The manufacturer may be required to conduct reasonably designed and necessary tests on components and engines incorporating a proposed change, repair, or modification to demonstrate the effectiveness of the change, repair, or modification.

7.6. The manufacturer is responsible for keeping a record of every engine or vehicle recalled and repaired and the workshop which performed the repair. The type-approval authority must have access to the record on request for a period of 5 years from the implementation of the plan of remedial measures.

7.7. The repair and/or modification or addition of new equipment shall be recorded in a certificate supplied by the manufacturer to the owner of the engine.