Commission Directive 2005/78/EC (repealed)Show full title

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.