Commission Regulation (EU) 2019/1939Show full title

Commission Regulation (EU) 2019/1939

of 7 November 2019

amending Regulation (EU) No 582/2011 as regards Auxiliary Emission Strategies (AES), access to vehicle OBD information and vehicle repair and maintenance information, measurement of emissions during cold engine start periods and use of portable emissions measurement systems (PEMS) to measure particle numbers, with respect to heavy duty vehicles

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EC) No 595/2009 of the European Parliament and of the Council of 18 June 2009 on type-approval of motor vehicles and engines with respect to emissions from heavy duty vehicles (Euro VI) and on access to vehicle repair and maintenance information and amending Regulation (EC) No 715/2007 and Directive 2007/46/EC and repealing Directives 80/1269/EEC, 2005/55/EC and 2005/78/EC(1), and in particular Articles 4(3), 5(4), 6(2) and 12 thereof.

Whereas:

(1) The rules for declaring and assessing Auxiliary Emission Strategies (AES) were recently changed for light passenger and commercial vehicles by Commission Regulation (EU) 2017/1151(2). The provisions already established in Commission Regulation (EU) No 582/2011(3) for heavy duty vehicles should be aligned for the sake of consistency.

(2) In-service conformity testing represents one of the building blocks of the vehicle type-approval procedure and allows the performance of emission control systems to be verified throughout a vehicle’s useful life. Commission Regulation (EU) No 582/2011 requires the tests to be performed by means of a portable emissions measurement system (PEMS), which assesses emissions under normal conditions of use. The PEMS approach is equally used to check off-cycle emissions during type-approval.

(3) The emissions performance of heavy duty vehicles in the period following a cold engine start is currently not assessed as part of the type-approval demonstration test or the in-service conformity test. Following a monitoring exercise when data from type-approval and in-service conformity tests were collected and analysed, it was found that significant amounts of the total NO_x emitted were excluded from the analysis as a result of not assessing the cold engine start period. In order to represent real world emissions better, the measurement procedure should therefore be revised to include measurement of pollutant emissions during the cold engine start period.

(4) Particle number measurements using PEMS have been successfully implemented under the emissions type-approval rules for light passenger and commercial vehicles(4). Following a pilot study by the Commission’s Joint Research Centre in which an analysis was performed on the portable particle number equipment for heavy duty vehicles, it is considered appropriate to introduce a similar requirement in the emissions type-approval rules for heavy duty vehicles. The Commission will be obliged under Regulation (EC) No 595/2009 to keep the level of the final conformity factor for particle number emissions under review, taking into account technical progress.

(5) The Commission recognises that vehicles equipped with a spark-ignition engine or a dual-fuel engine fuelled with gas from Compressed Natural Gas (CNG), Liquefied Natural Gas (LNG) or Liquefied Petroleum Gas (LPG) may require technical adaptations to comply with the particle number conformity factor. In order to ensure a sufficient lead time to allow manufacturers of gas engines to modify their products in accordance with the requirements laid down by this Regulation, a transitional period should be permitted for compliance with the maximum allowed conformity factor for vehicles equipped with such engines.

(6) The requirements introduced by this Regulation for in-service conformity testing should not apply retroactively to engines and vehicles which were type-approved before introduction of those requirements. Therefore, the amendments set out in Annexes I, II and III to this Regulation should only apply to the in-service conformity testing of new types of engine or vehicle, in other words to engines or vehicles which are type-approved in accordance with the amendments introduced by this Regulation.

(7) The rules on access to vehicle OBD information and vehicle repair and maintenance information have been incorporated into Regulation (EU) 2018/858 of the European Parliament and of the Council(5), which applies from 1 September 2020. Therefore, the provisions in Regulation (EU) No 582/2011 relating to access to such information should be omitted with effect from that date.

(8) Regulation (EU) No 582/2011 should therefore be amended accordingly.

(9) The measures provided for in this Regulation are in accordance with the opinion of the Technical Committee — Motor Vehicles,

HAS ADOPTED THIS REGULATION:

Article 1 U.K.

Regulation (EU) No 582/2011 is amended as follows:

(1)

Article 2 is amended as follows:

(a)

in point (5), the words ‘and vehicle repair and maintenance information’ are deleted;

(b)

point (43) is deleted;

(c)

the following point is added:

‘(57) “Particulate Matter number” (PM number) means the total number of solid particles emitted from the exhaust quantified according to the dilution, sampling and measurement methods as specified in Annex 4 to UNECE Regulation 49(6).’;

(2)

Articles 2a, 2b, 2c, 2d, 2e, 2f, 2g and 2h are deleted;

(3)

Article 3 is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1. In order to receive an EU type-approval of an engine system or engine family as a separate technical unit, an EU type-approval of a vehicle with an approved engine system with regard to emissions, or an EU type-approval of a vehicle with regard to emissions, the manufacturer shall, in accordance with the provisions of Annex I, demonstrate that the vehicles or engine systems or engine families are subject to the tests and comply with the requirements set out in Articles 4 and 14 and in Annexes III to VIII, X, XIII and XIV. The manufacturer shall also ensure compliance with the specifications of reference fuels set out in Annex IX. In the case of dual-fuel engines and vehicles, the manufacturer shall, in addition, comply with the requirements set out in Annex XVIII.

In order to receive an EU type-approval of a vehicle with an approved engine system with regard to emissions, or an EU type-approval of a vehicle with regard to emissions, the manufacturer shall also demonstrate that the requirements laid down in Article 6 of and Annex II to Commission Regulation (EU) 2017/2400(7) are met with respect to the vehicle group concerned. However, that requirement shall not apply where the manufacturer indicates that new vehicles of the type to be approved will not be registered, placed on the market or entered into service in the Union on or after the dates laid down in points (a), (b) and (c) of paragraph 1 of Article 24 of Regulation (EU) 2017/2400 for the respective vehicle group.’;

(b)

paragraphs 1a, 1b and 1c are deleted;

(c)

paragraph 2 is replaced by the following:

‘2. In order to receive an EU type-approval of a vehicle with an approved engine system with regard to emissions, or an EU type-approval of a vehicle with regard to emissions, the manufacturer shall ensure compliance with the installation requirements set out in Section 4 of Annex I and, in the case of dual-fuel vehicles, with the additional installation requirements set out in Section 6 of Annex XVIII.’;

(d)

paragraph 3 is replaced by the following:

‘3. In order to receive an extension of the EU type-approval of a vehicle with regard to emissions type-approved under this Regulation with a reference mass exceeding 2 380 kg but not exceeding 2 610 kg, the manufacturer shall meet the requirements set out in Section 5 of Annex VIII.’;

(e)

paragraph 6 is replaced by the following:

‘6. In order to receive an EU type-approval of an engine system or engine family as a separate technical unit or an EU type-approval of a vehicle with regard to emissions for the purposes of obtaining universal fuel-range type-approval, a restricted fuel-range type-approval or a fuel-specific type-approval, the manufacturer shall ensure compliance with the requirements set out in Section 1 of Annex I.’;

(4)

Article 5 is amended as follows:

(a)

the heading is replaced by the following:

‘Application for EU type-approval of an engine system or engine family as a separate technical unit with regard to emissions’;

(b)

paragraph 3 is replaced by the following:

‘3. Together with the application, the manufacturer shall provide a documentation package that fully explains any element of design which affects emissions, the emission control strategy of the engine system, the means by which the engine system controls the output variables which have a bearing upon emissions, whether that control is direct or indirect, anti-tampering measures and fully explains the warning and inducement system required by Sections 4 and 5 of Annex XIII. The documentation package shall be identified and dated by the approval authority and kept by that authority for at least 10 years after the approval is granted.

The documentation package shall consist of the following parts:

the information set out in Section 8 to Annex I,

an AES documentation package, as described in Appendix 11 of Annex I to this Regulation in order for the approval authorities to be able to assess the proper use of AES.

At the request of the manufacturer, the approval authority shall conduct a preliminary assessment of the AES for new vehicle types. In that case, the manufacturer shall provide the draft AES documentation package to the approval authority between 2 and 12 months before the start of the type-approval process.

The approval authority shall make a preliminary assessment on the basis of the draft AES documentation package provided by the manufacturer. The approval authority shall make the preliminary assessment in accordance with the methodology described in Appendix 2 of Annex VI. The approval authority may deviate from that methodology in exceptional and duly justified cases.

The preliminary assessment of the AES for new vehicle types shall remain valid for the purposes of type approval for a period of 18 months. That period may be extended by a further 12 months if the manufacturer provides the approval authority with proof that no new technologies have become available on the market that would change the preliminary assessment of the AES.

A list of AES which were deemed non-acceptable by approval authorities shall be compiled yearly by the Forum for Exchange of Information on Enforcement and made available to the public by the Commission.’

(c)

in paragraph 4, points (d) and (g) are deleted;

(5)

Article 6 is amended as follows:

(a)

the heading is replaced by the following:

‘Administrative provisions for EU type-approval of an engine system or engine family as a separate technical unit with regard to emissions’;

(b)

in paragraph 1, the first and second subparagraphs are replaced by the following:

‘If all the relevant requirements are met, the approval authority shall grant an EU type-approval of an engine system or engine family as a separate technical unit and issue a type-approval number in accordance with the numbering system set out in the applicable implementing act adopted pursuant to Article 28(3) of Regulation (EU) 2018/858 of the European Parliament and of the Council(8).

Without prejudice to the provisions of that implementing act, Section 3 of the type-approval number shall be drawn up in accordance with Appendix 9 to Annex I to this Regulation.’;

(c)

in paragraph 1a, point (b) is deleted;

(6)

Article 7 is amended as follows:

(a)

the heading is replaced by the following:

‘Application for EU type-approval of a vehicle with an approved engine system with regard to emissions’;

(b)

paragraph 1 is replaced by the following:

‘1. The manufacturer shall submit to the approval authority an application for EU type-approval of a vehicle with an approved engine system with regard to emissions.’;

(c)

in paragraph 4, points (c) and (d) are deleted;

(7)

Article 8 is amended as follows:

(a)

the heading is replaced by the following:

‘Administrative provisions for EU type-approval of a vehicle with an approved engine system with regard to emissions’;

(b)

in paragraph 1, the first and second subparagraphs are replaced by the following:

‘If all the relevant requirements are met, the approval authority shall grant an EU type-approval of a vehicle with an approved engine system with regard to emissions and issue a type-approval number in accordance with the numbering system set out in the applicable implementing act adopted pursuant to Article 28(3) of Regulation (EU) 2018/858.

Without prejudice to the provisions of that implementing act, Section 3 of the type-approval number shall be drawn up in accordance with Appendix 9 to Annex I to this Regulation.’;

(c)

paragraph 1a is amended as follows:

(i)

the introductory wording is replaced by the following:

‘As an alternative to the procedure provided for in paragraph 1, the approval authority shall grant an EU type-approval of a vehicle with an approved engine system with regard to emissions if all the following conditions are fulfilled:’;

(ii)

point (b) is deleted;

(8)

Article 9 is amended as follows:

(a)

the heading is replaced by the following:

‘Application for EU type-approval of a vehicle with regard to emissions’;

(b)

paragraph 1 is replaced by the following:

‘1. The manufacturer shall submit to the approval authority an application for EU type-approval of a vehicle with regard to emissions.’;

(9)

Article 10 is amended as follows:

(a)

the heading is replaced by the following:

‘Administrative provisions for EU type-approval of a vehicle with regard to emissions’;

(b)

in paragraph 1, the first and second subparagraphs are replaced by the following:

‘If all the relevant requirements are met, the approval authority shall grant an EU type-approval of a vehicle with regard to emissions and issue a type-approval number in accordance with the numbering system set out in the applicable implementing act adopted pursuant to Article 28(3) of Regulation (EU) 2018/858.

Without prejudice to the provisions of that implementing act, Section 3 of the type-approval number shall be drawn up in accordance with Appendix 9 to Annex I to this Regulation.’;

(c)

paragraph 1a is amended as follows:

(i)

the introductory wording is replaced by the following:

‘As an alternative to the procedure provided for in paragraph 1, the approval authority shall grant an EU type-approval of a vehicle with regard to emissions if all the following conditions are fulfilled:’;

(ii)

point (b) is deleted;

(10)

in Article 16, paragraph 3 is deleted;

(11)

in Article 17a, the following paragraphs are added:

‘3. With effect from 1 January 2021, national authorities shall refuse, on grounds relating to emissions, to grant EU type-approval or national type-approval in respect of new types of vehicle or engine which do not comply with the requirements of this Regulation as amended by Commission Regulation (EU) 2019/1939(9).

By way of derogation from the first subparagraph, new types of positive-ignition engines, type 1A dual-fuel engines and type 1B dual-fuel engines (in dual-fuel mode), and vehicles equipped with such engines, shall comply with the maximum allowed conformity factor for PM number according to point 6.3 of Annex II with effect from 1 January 2023. However, as from 1 January 2021, the particle number work window conformity factor and CO₂ mass window conformity factor shall be stated in the PEMS demonstration test results on the type-approval certificate for monitoring purposes.

4. With effect from 1 January 2022, national authorities shall, in the case of new vehicles which do not comply with the requirements of this Regulation as amended by Regulation (EU) 2019/1939, consider certificates of conformity issued in respect of those vehicles to be no longer valid for the purposes of Article 48 of Regulation (EU) 2018/858 and shall, on grounds relating to emissions, prohibit the registration, making available on the market and entry into service of such vehicles.

By way of derogation from the first subparagraph, with effect from 1 January 2024, national authorities shall, in the case of new vehicles equipped with positive-ignition engines, type 1A dual-fuel engines and type 1B dual-fuel engines (in dual-fuel mode) which do not comply with the maximum allowed conformity factor for PM number according to point 6.3 of Annex II and the requirements of this Regulation as amended by Regulation (EU) 2019/1939, consider certificates of conformity issued in respect of those vehicles to be no longer valid for the purposes of Article 48 of Regulation (EU) 2018/858 and shall, on grounds relating to emissions, prohibit the registration, making available on the market and entry into service of such vehicles. However, as from 1 January 2022, the particle number work window conformity factor and CO₂ mass window conformity factor shall be stated in the PEMS demonstration test results on the type-approval certificate for monitoring purposes.

With effect from 1 January 2022 and except in the case of replacement engines for in-service vehicles, national authorities shall on grounds relating to emissions prohibit the making available on the market and entry into service of new engines which do not comply with the requirements of this Regulation as amended by Regulation (EU) 2019/1939.

By way of derogation from the third subparagraph, with effect from 1 January 2024, and except in the case of replacement engines for in-service vehicles, national authorities shall, on grounds relating to emissions, prohibit the making available on the market and entry into service of new positive-ignition engines, new type 1A dual-fuel engines and new type 1B dual-fuel engines (in dual-fuel mode) which do not comply with the requirements of this Regulation as amended by Regulation (EU) 2019/1939.’;

(12)

Annex I is amended in accordance to Annex I to this Regulation;

(13)

Annex II is amended in accordance to Annex II to this Regulation;

(14)

Annex VI is amended in accordance to Annex III to this Regulation;

(15)

in Annex VIII, point 5.1.2. is replaced by the following:

‘5.1.2. Paragraph A.1.2.1 of Appendix 1 of Annex 12 to UNECE Regulation No 49 shall be understood as follows:

A.1.2.1.

In order to receive an extension of an EU type-approval for a vehicle in respect of its engine type-approved under Regulation (EC) No 595/2009 and this Regulation to a vehicle with a reference mass exceeding 2 380 kg but not exceeding 2 610 kg, the manufacturer shall meet the requirements relating to the measurement of CO₂ emissions and fuel consumption established by the type 1 emissions test procedures set out in sub-annex 6 to Annex XXI to Commission Regulation (EU) 2017/1151 with only speed trace and RCB corrections. The CO₂ emissions shall be determined in accordance with table A6/2 not taking into account the criteria emission test results, where the vehicle during testing shall apply no AES and be considered as VH. The test reports specified in Appendices 8a part I until point 2.1. included and 8b of Annex I, to Commission Regulation (EU) 2017/1151, shall be submitted to the type approval authorities including the results of pollutant emissions.

The manufacturer shall provide the type approval authority with a signed declaration that all variants and versions for which this extension is requested are in conformity with the type-approval emission requirements in Regulation (EC) No 595/2009 and that the type 1 test was performed in compliance with the previous paragraph.

Existing EU type-approvals for a vehicle with a reference mass exceeding 2 380 kg but not exceeding 2 610 kg, in respect of its engine type-approved under Regulation (EC) No 595/2009, may be extended at the latest by the application date of this Regulation.

For dedicated compression ignition engines fuelled with ethanol (ED95), a fixed carbon-hydrogen-oxygen ratio shall be used for the purposes of calculating fuel consumption values, which shall be C₁H_2,92O_0,46.””;

(16)

in Annex X, the following point is inserted after point 2.4.1.3.:

‘2.4.1.4. The OBD standard Euro 6-2 in Table 1 of Appendix 6 to Annex I to Commission Regulation (EU) 2017/1151 shall be considered equivalent to the character E of Table 1 of Appendix 9 to Annex I to this Regulation.’;

(17)

in Annex XI, in Appendix 1, in the model of the information document, points 2 to 2.3. are deleted;

(18)

in Annex XIII, the second paragraph of point 12 is replaced by the following:

‘This Appendix applies when the vehicle manufacturer requests EU type-approval of a vehicle with an approved engine with regard to emissions in accordance with Regulation (EC) No 595/2009 and this Regulation.’;

(19)

Annex XVII is deleted.

Article 2 U.K.

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

It shall apply from 1 January 2021.

Article 1(15) shall apply from the date of entry into force.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 7 November 2019.

For the Commission

The President

Jean-Claude Juncker

ANNEX I U.K.

Annex I to Regulation (EU) No 582/2011 is amended as follows:

(1)

in point 3.1., the introductory wording is replaced by the following:

‘In the case of an engine type-approved as a separate technical unit or a vehicle type-approved with regard to emissions, the engine shall bear:’;

(2)

point 3.4. is replaced by the following:

‘3.4. In the case of an application for EU type-approval of a vehicle with an approved engine with regard to emissions or for EU type-approval of a vehicle with regard to emissions, the label specified in Section 3.3 shall also be placed close to the fuel filling aperture.’;

(3)

Section 8 is replaced by the following:

‘8. DOCUMENTATION

8.1. The documentation package required by Articles 5, 7 and 9 enabling the approval authority to evaluate the emission control strategies and the systems on-board the vehicle and engine to ensure the correct operation of NOx control measures, as well as the documentation packages required by Annex VI (off-cycle emissions), Annex X (OBD) and Annex XVIII (dual-fuel engines) shall include the following information:

(a)

a full description of the inducement system required by Annex XIII, including the associated monitoring strategies;

(b)

the description of the anti-tampering measures considered in point (b) of Article 5(4) and in point (a) of Article 7(4).’;

(4)

Appendix 4 is amended as follows:

(a)

the first paragraph is replaced by the following:

• ‘relating to:

  • EU type-approval of an engine or engine family as a separate technical unit,

  • EU type-approval of a vehicle with an approved engine with regard to emissions,

  • EU type-approval of a vehicle with regard to emissions.’;

(b)

under the heading ‘Explanatory notes (regarding filling in the table)’, the fourth, fifth and sixth paragraphs are replaced by the following:

‘In the case of application for EU type-approval of an engine or engine family as a separate technical unit the general part and Part 1 shall be filled in.

In the case of application for EU type-approval of a vehicle with an approved engine with regard to emissions the general part and Part 2 shall be filled in.

In the case of application for EU type-approval of a vehicle with regard to emissions the general part and Parts 1 and 2 shall be filled in.’;

(c)

in the ‘general part’ of the table, the fifth row is replaced by the following:

‘0.2.0.3.

Engine type as separate technical unit/engine family as separate technical unit/vehicle with an approved engine with regard to emissions/vehicle with regard to emissions (1)’

(d)

below the ‘general part’ of the table, the words ‘Part 3: ACCESS TO VEHICLE REPAIR AND MAINTENANCE INFORMATION’ are deleted;

(e)

Part 3 of the table is deleted;

(5)

in Appendix 5, in Table 6a (PEMS demonstration test) under point 1.4.4. of the Addendum to an EU type-approval certificate, the rows concerning ‘Pass-fail results’ for the ‘Work window conformity factor’ and the ‘CO₂ mass window conformity factor’ are replaced by the following:

‘Pass-fail results (7)	CO	THC	NMHC	CH4	NOx	PM number
Work window conformity factor(11)
CO2 mass window conformity factor(11)’

(6)

in Appendix 7, in Table 6a (PEMS demonstration test) under point 1.4.4. of the Addendum to an EU type-approval certificate, the rows concerning ‘Pass-fail results’ for the ‘Work window conformity factor’ and the ‘CO₂ mass window conformity factor’ are replaced by the following:

‘Pass-fail results(7)	CO	THC	NMHC	CH4	NOx	PM number
Work window conformity factor(11)
CO2 mass window conformity factor(11)’

(7)

in Appendix 9, Table 1 and the accompanying Key are replaced by the following:

‘Table 1

a “NOx OTL” monitoring requirements as set out in Table 1 of Annex X for compression ignition and dual-fuel engines and vehicles and Table 2 of Annex X for positive ignition engines and vehicles.
b “PM OTL” monitoring requirements as set out in Table 1 of Annex X for compression ignition and dual-fuel engines and vehicles.
c “CO OTL” monitoring requirements as set out in Table 2 of Annex X for positive ignition engines and vehicles.
d IUPR specifications are set out in Annex X. Positive Ignition engines and vehicles equipped with such engines are not subjected to IUPR.
e Additional provisions concerning monitoring requirements as set out in paragraph 2.3.1.2 of Annex 9A to UNECE Regulation No 49.
f ISC requirement set out in Appendix 1 to Annex II.
g For positive-ignition engines and vehicles equipped with such engines.
h For compression-ignition and dual-fuel engines and vehicles equipped with such engines.
i “Performance monitoring” requirements as set out in point 2.1.1 of Annex X.
j IUPR “Phase-in” requirements as set out in Section 6 of Annex X
l Reagent quality “phase-in” requirements as set out in point 7.1 of Annex XIII.
k Only applicable to positive-ignition engines and vehicles equipped with such engines.
m IUPR “General” requirements as set out in Section 6 of Annex X.
n Reagent quality “general” requirements as set out in point 7.1.1 of Annex XIII.
o Subject to transitional measures laid down in Article 17a.
p Not applicable.
Key:’;
Character	NOx OTLa	PM OTLb	CO OTLc	IUPRd	Reagent quality	Additional OBD monitorse	Power threshold requirementsf	Cold start and PM number	Implementation dates: new types	Implementation dates: all vehicles	Last date of registration
Ag h Bh	Row “phase-in period” of Table 1 or Table 2	Performance Monitoringi	p	Phase-inj	Phase-inl	p	20 %	p	31.12.2012	31.12.2013	31.8.2015g 30.12.2016h
Bk	Row “phase-in period” of Tables 1 and 2	p	Row “phase-in period” of Table 2	p	Phase-inl	p	20 %	p	1.9.2014	1.9.2015	30.12.2016
C	Row “general requirements” of Table 1 or Table 2	Row “general requirements” of Table 1	Row “general requirements” of Table 2	Generalm	Generaln	Yes	20 %	p	31.12.2015	31.12.2016	31.8.2019
D	Row “general requirements” of Table 1 or Table 2	Row “general requirements” of Table 1	Row “general requirements” of Table 2	Generalm	Generaln	Yes	10 %	p	1.9.2018	1.9.2019	31.12.2021
E	Row “general requirements” of Table 1 or Table 2	Row “general requirements” of Table 1	Row “general requirements” of Table 2	Generalm	Generaln	Yes	10 %	Yes	1.1.2021o	1.1.2022o

(8)

in Appendix 10, the following explanatory note is inserted:

‘(¹¹) CF_final needs to be stated, if applicable’;

(9)

the following Appendix is added:

‘Appendix 11 AES Documentation Package

The AES documentation package shall include the following:

(A) information on all AES:

(a)

a declaration of the manufacturer that the engine system or engine family type approved as a separate technical unit, or the vehicle with an approved engine system with regard to emissions, or an vehicle type approved with regard to emissions, does not contain any defeat strategy;

(b)

a description of the engine and the emission control strategies and devices employed, whether software or hardware, and any condition(s) under which the strategies and devices will not operate as they do during testing for Type Approval;

(c)

a declaration of the software versions used to control the AES/BES, including the appropriate checksums of these software versions and instructions to the authority on how to read the checksums; the declaration shall be updated and sent to the approval authority that holds this documentation package each time there is a new software version that has an impact to the AES/BES;

(d)

detailed technical reasoning of any AES including a risk assessment estimating the risk with and without the AES, and including the following:

(i)

information on the hardware element(s) that need to be protected by the AES, where applicable;

(ii)

proof of sudden and irreparable engine damage that cannot be prevented by regular maintenance and would occur in the absence of the AES, where applicable;

(iii)

a reasoned explanation on why there is a need to use an AES upon engine starting or warm up, where applicable;

(e)

a description of the fuel system control logic, timing strategies and switch points during all modes of operation;

(f)

a description of the hierarchical relations among the AES (i.e., when more than one AES can be active concurrently, an indication of which AES is primary in responding, the method by which strategies interact, including data flow diagrams and decision logic and how does the hierarchy assure emissions from all AES are controlled to the lowest practical level;

(g)

a list of parameters which are measured and/or calculated by the AES, along with the purpose of every parameter measured and/or calculated and how each of those parameters relates to engine damage; including the method of calculation and how well these calculated parameters correlate with the true state of the parameter being controlled and any resulting tolerance or factor of safety incorporated into the analysis;

(h)

a list of engine/emission control parameters which are modulated as a function of the measured or calculated parameter(s) and the range of modulation for each engine/emission control parameter; along with the relationship between engine/emission control parameters and measured or calculated parameters;

(i)

an evaluation of how the AES will control real-driving emissions to the lowest practical level, including a detailed analysis of the expected increase of total regulated pollutants and CO₂ emissions by using the AES, compared to the BES;

The AES documentation package shall be limited to 100 pages and shall include all the main elements to allow the approval authority to assess the AES (according to the requirements of Annex VI, appendix 2), the effectiveness of the inducement system and the anti-tampering measures. The package may be complemented with annexes and other attached documents, containing additional and complementary elements, if necessary. The manufacturer shall send a new version of the AES documentation package to the approval authority every time changes are introduced to the AES. The new version shall be limited to the changes and their effect. The new version of the AES shall be evaluated and approved by the approval authority.

The AES documentation package shall be structured as follows:

AES Documentation Package No YYY/OEM

Parts	paragraph	point	Explanation
Introduction documents		Introduction letter to TAA	Reference of the document with the version, the date of issuing the document, signature by the relevant person in the manufacturer organisation
		Versioning table	Content of each version modifications: and with part is modified
		Description of the (emission) types concerned
		Attached documents table	List of all attached documents
		Cross references	Link to paragraph (a) to (i) of Appendix 11 (where to find each requirement of the regulation)
		Absence of defeat device declaration	+ Signature
Core document	0	Acronyms/abbreviations
	1	GENERAL DESCRIPTION
	1.1	Engine general presentation	Description of main characteristics: displacement, after treatment,…
	1.2	General system architecture	System bloc diagram: list of sensors and actuators, explanation of engine general functions
	1.3	Reading of software and calibration version	E.g. scan-tool explanation
	2	Base Emission Strategies
	2.x	BES x	Description of strategy x
	2.y	BES y	Description of strategy y
	3	Auxiliary Emission Strategies
	3.0	Presentation of the AESs	Hierarchical relations among AES: description and justification (e.g. safety, reliability, etc.)
	3.x	AES x	3.x.1 AES justification 3.x.2 measured and/or modelled parameters for AES characterization 3.x.3 Action mode of AES — Parameters used 3.x.4 Effect of AES on pollutants and CO2
	3.y	AES y	3.y.1 3.y.2 etc.
	4.	Description of the inducement system, including the associated monitoring strategies
	5.	Description of the anti-tampering measures
	100 page limit ends here
	Annex		List of types covered by this BES-AES: including Type Approval reference, software reference, calibration number, checksums of each version and of each electronic control unit (engine and/or after-treatment if any)
Attached documents		Technical note for AES justification n°xxx	Risk assessment or justification by testing or example of sudden damage, if any
		Technical note for AES justification n°yyy
		Test report for specific AES impact quantification	Test report of all specific tests done for AES justification, test conditions details, description of the vehicle/date of the tests emission/CO2 impact with/without AES activation’

ANNEX II U.K.

Annex II to Regulation (EU) No 582/2011 is amended as follows:

(1)

in point 4.1. the following is inserted between the second and third paragraph:

‘In case the legally permissible maximum vehicle weight is lower than the technically permissible laden mass of the vehicle, it is permitted to use the legally permissible maximum vehicle weight to determine the vehicle payload for the test run.’;

(2)

point 4.6.2. is replaced by the following:

‘4.6.2. Emissions and other data sampling shall start prior to starting the engine. Cold start emissions shall be included in the emissions evaluation, in accordance with point 2.6.1. of Appendix 1.’;

(3)

point 6.3., including Table 2, is replaced by the following:

‘6.3. The final conformity factor for the test (CF_final) for each pollutant calculated in accordance with Appendix 1 shall not exceed the maximum allowed conformity factor for that pollutant set out in Table 2.

Table 2

Maximum allowed conformity factors for in-service conformity emission testing

a For compression-ignition engines.
b For positive-ignition engines.
c Subject to transitional measures laid down in Article 17a’;
Pollutant	Maximum allowed conformity factor
CO	1,50
THCa	1,50
NMHCb	1,50
CH4 b	1,50
NOx	1,50
PM number	1,63c

(4)

the following point is inserted after point 10.1.8.5.:

‘10.1.8.5a PM number concentration [#/cm³]’;

(5)

the following point is inserted after point 10.1.9.5.:

‘10.1.9.5a PM number flux [#/s]’;

(6)

the following point is inserted after point 10.1.9.10.:

‘10.1.9.10a PM number [#]’;

(7)

the following point is inserted after point 10.1.9.19.:

‘10.1.9.19a Work window PM number conformity factor [-]’;

(8)

the following point is inserted after point 10.1.9.24.:

‘10.1.9.24a CO₂ mass window PM number conformity factor [-]’;

(9)

the following point is inserted after point 10.1.10.12.:

‘10.1.10.12a. PM number [#].’;

(10)

the following point is inserted after point 10.1.11.5.:

‘10.1.11.5a. Work window PM number conformity factor [-].’;

(11)

the following point is inserted after point 10.1.11.9.:

‘10.1.11.9a CO₂ mass window PM number conformity factor [-].’;

(12)

the following point is inserted after point 10.1.12.4.:

‘10.1.12.4a PM number analyser zero, pre and post test.’;

(13)

Appendix 1 is amended as follows:

(a)

in point 1, the first paragraph is replaced by the following:

‘This Appendix describes the procedure to determine pollutant emissions from on-vehicle on-road measurements using Portable Emissions Measurement Systems (hereinafter “PEMS”). The pollutant emissions to be measured from the exhaust of the engine include the following components: carbon monoxide, total hydrocarbons, nitrogen oxides and PM number for compression ignition engines and carbon monoxide, non-methane hydrocarbons, methane, nitrogen oxides and PM number for positive ignition engines. Additionally, carbon dioxide shall be measured to enable the calculation procedures described in Section 4.’;

(b)

point 2.1.1. is replaced by the following:

‘2.1.1. Gas analysers and PM number analysers to measure the concentrations of regulated pollutants in the exhaust gas.’;

(c)

in point 2.2., Table 1 is replaced by the following:

‘Table 1

Test parameters

a Measured or corrected to a wet basis.
b Gas engines only.
c Use the ambient temperature sensor or an intake air temperature sensor.
d The recorded value shall be either (a) the net brake engine torque in accordance with point 2.4.4 of this Appendix or (b) the net brake engine torque calculated from the torque values in accordance with point 2.4.4 of this Appendix.’;
Parameter	Unit	Source
THC concentrationa	ppm	Gas analyser
CO concentrationa	ppm	Gas analyser
NOx concentrationa	ppm	Gas analyser
CO2 concentrationa	ppm	Gas analyser
CH4 concentrationa b	ppm	Gas analyser
PM number concentration	#/cm3	PM number analyser
Dilution setting (if applicable)	-	PM number analyser
Exhaust gas flow	kg/h	Exhaust Flow Meter (hereinafter “EFM”)
Exhaust temperature	K	EFM
Ambient temperaturec	K	Sensor
Ambient pressure	kPa	Sensor
Engine torquec	Nm	ECU or Sensor
Engine speed	rpm	ECU or Sensor
Engine fuel flow	g/s	ECU or Sensor
Engine coolant temperature	K	ECU or Sensor
Engine intake air temperatureb	K	Sensor
Vehicle ground speed	km/h	ECU and GPS
Vehicle latitude	degree	GPS
Vehicle longitude	degree	GPS

(d)

in Section 2.4, the following points are added:

‘2.4.6. Installation of PM number analyser

The installation and operation of the PEMS shall be leak-tight and minimise heat loss. To avoid the generation of particles, connectors shall be thermally stable at the exhaust gas temperatures expected during the test. Where elastomer connectors are used to connect the vehicle exhaust outlet and the connecting tube, those connectors shall have no contact with the exhaust gas to avoid artefacts at high engine load.

2.4.7. Sampling of PM number emissions

Emissions sampling shall be representative and conducted at locations of well-mixed exhaust gas where the influence of ambient air downstream of the sampling point is minimal. Where applicable, emissions shall be sampled downstream of the exhaust mass flow meter, respecting a distance of at least 150 mm to the flow sensing element. The sampling probe shall be fitted at least 3 times the inner diameter of the exhaust pipe upstream of the point at which the exhaust exits into the environment. The exhaust shall be sampled from the centre of the exhaust stream. Where several probes are used for emissions sampling, the particle sampling probe shall be placed upstream of the other sampling probes. The particle sampling probe shall not interfere with the sampling of gaseous pollutants. The type and specifications of the probe and its mounting shall be documented in detail, either in the test report of the Technical Service (in the case of testing at type approval) or in the vehicle manufacturer’s own documentation (in case of in-service conformity testing).

Where particles are sampled and not diluted at the tailpipe, the sampling line from the raw exhaust sample point to the point of dilution or particle detector shall be heated to a minimum of 373 K (100 °C).

All parts of the sampling system, from the exhaust pipe to the particle detector, which are in contact with raw or diluted exhaust gas, shall be designed to minimise the deposition of particles. All parts shall be made from anti-static material to prevent electrostatic effects.’;

(e)

in Section 2.5, the following point is added:

‘2.5.5. Checking the PM number analyser

The PEMS shall function free of errors and critical warnings. The zero level of the PM number analyser shall be recorded by sampling high efficiency particulate filtered ambient air (HEPA) at the inlet of the sampling line in the 12 hour-period before test start. The signal shall be recorded at a constant frequency of at least 1,0 Hz averaged over a period of 2 minutes. The final absolute concentration shall be within the manufacturer’s specifications and, in addition, shall not exceed 5 000 particles per cubic centimetre.’;

(f)

point 2.6.1. is replaced by the following:

‘2.6.1. Test start

For the purposes of the test procedure, “test start” shall mean the first ignition of the internal combustion engine.

Emissions sampling, measurement of the exhaust parameters and recording of the engine and ambient data shall commence prior to the test start. Artificial warming up of the emission control systems of the vehicle prior to the test start shall be prohibited.

At test start, the temperature of the coolant shall not exceed the ambient temperature by more than 5 °C, and shall not exceed 303 K (30 °C). The data evaluation shall start once the coolant temperature has reached 303 K (30 °C) for the first time or once the coolant temperature is stabilised within +/– 2 K over a period of 5 minutes, whichever occurs first, but in any event no later than 10 minutes after test start.’;

(g)

point 2.6.3 is replaced by the following:

‘2.6.3 Test end

Test end is reached when the vehicle has completed the trip and the internal combustion engine is switched off.

The internal combustion engine shall be switched off as soon as practicable at the end of the trip. Data shall continue to be recorded until the response time of the sampling systems has elapsed.’;

(h)

in Section 2.7., point 2.7.4. paragraph (a) is replaced by the following:

‘(a) if the difference between the pre-test and post-test results is less than 2 % as specified in points 2.7.2 and 2.7.3, the measured concentrations may be used uncorrected or shall, at the request of the manufacturer, be corrected for drift according to point 2.7.5.’;

(i)

in Section 2.7, the following point is added:

‘2.7.6 Checking the PM number analyser

The zero level of the PM number analyser shall be checked before test start and after test end and recorded in accordance with the requirements of point 2.5.5.’;

(j)

points 3.1.1., 3.1.2. and 3.1.3. are replaced by the following:

‘3.1.1. Analysers data

The data from the gas analysers shall be properly aligned using the procedure laid down in paragraph 9.3.5 of Annex 4 to UNECE Regulation No 49. The data from the PM number analyser shall be time aligned with its own transformation time, according to the instrument manufacturer’s instructions.

3.1.2. Analysers and Exhaust Flow Meter (EFM) data

The data from the gas analysers and the PM number analysers shall be properly aligned with the data of the EFM using the procedure in point 3.1.4.

3.1.3. PEMS and engine data

The data from the PEMS (gas analysers, PM number analyser and EFM) shall be properly aligned with the data from the engine ECU using the procedure in point 3.1.4.’;

(k)

in point 3.1.4, ‘1: Gas analysers (THC, CO, CO₂, NO_x concentrations);’ is replaced by the following:

‘1

:

Gas analysers (THC, CO, CO₂, NO_x concentrations) and PM number analyser;’

(l)

in Section 3, the following point is added:

‘3.6.

Calculation of the instantaneous PM number emissions

The instantaneous PM number (PN_i) emissions [#/s] shall be determined by multiplying the instantaneous concentration of the PM number [#/cm³] with the instantaneous exhaust mass flow rate [kg/s], both corrected and aligned for the transformation time, according to paragraph 1.4.3. of Appendix 3. All negative instantaneous emissions values shall enter subsequent data evaluations as zero. All significant digits of intermediate results shall enter the calculation of the instantaneous emissions. The following formula shall apply for the purposes of determining the instantaneous PM number emissions:

where:

PN_i

is the instantaneous PM number emissions [#/s]

c_PNi

is the measured PM number concentration [#/m³] normalised at 273 K (0 °C) including internal dilution and particle losses

q_mewi

is the measured exhaust mass flow rate [kg/s]

ρ_e

is the density of the exhaust gas [kg/m³] at 273 K (0 °C).’;

(m)

points 4.2.1 and 4.2.1.1. are replaced by the following:

‘4.2.1. Calculation of the specific emissions

The specific emissions e ([mg/kWh] or [#/kWh]) shall be calculated for each window and each pollutant in the following way:

where:

m

is the mass emission of the pollutant [mg/window] or the PM number [#/window]

W(t_2,i) – W(t_1,i)

is the engine work during the i^th averaging window [kWh].

4.2.1.1. Calculation of the specific emissions for a declared market fuel

If a test pursuant to this Annex was performed with a market fuel declared in point 3.2.2.2.1 of Part 1 in Appendix 4 to Annex I, the specific emissions e ([mg/kWh] or [#/kWh]) shall be calculated for each window and each pollutant by multiplying the specific emissions determined in accordance with point 4.2.1. with the power correction factor determined pursuant to point 1.1.2 (a1) of Annex I.’;

(n)

point 4.2.3. is replaced by the following:

‘4.2.3.

Calculation of the conformity factors

The conformity factors shall be calculated for each individual valid window and each individual pollutant in the following way:

where:

e

is the brake-specific emission of the gaseous pollutant [mg/kWh] or [#/kWh];

L

is the applicable limit [mg/kWh] or [#/kWh].’;

(o)

point 4.3.2. is replaced by the following:

‘4.3.2.

Calculation of the conformity factors

The conformity factors shall be calculated for each individual valid window and each individual pollutant in the following way:

Where:

where:

m

is the mass emission of the gaseous pollutant [mg/window], or the PM number [#/window];

m_CO2(t_2,i) – m_CO2(t_1,i)

is the CO₂ mass during the i^th averaging window [kg];

m_CO2,ref

is the engine CO₂ mass determined for the WHTC [kg];

m_L

is the mass emission of the gaseous pollutant or the PM number corresponding to the applicable limit on the WHTC [mg] or [#] respectively].’;

(p)

in Section 4, the following points are added:

‘4.4. Calculation of the final conformity factor for the test

4.4.1. The final conformity factor for the test (CF_final) for each pollutant shall be calculated as follows:

where:

CF_cold

is the conformity factor of the period of cold operation of the test, which shall be equal to the highest conformity factor of the moving averaging windows starting below 343 K (70 °C) coolant temperature, determined for that pollutant in accordance with the calculation procedures specified in points 4.1. and either 4.2. or, as applicable, 4.3.;

CF_warm

is the conformity factor of the period of warm operation of the test, which shall be equal to the 90^th cumulative percentile of the conformity factors determined for that pollutant in accordance with the calculation procedures specified in points 4.1 and either 4.2. or, as applicable, 4.3., when the data evaluation is started after the coolant temperature has reached 343 K (70 °C) for the first time.’;

(14)

Appendix 2 is amended as follows:

(a)

point 1 is replaced by the following:

‘1. GENERAL

The gaseous emissions and the PM number shall be measured according to the procedure set out in Appendix 1. This Appendix describes the characteristics of the portable measurement equipment that shall be used to perform such measurement tests.’;

(b)

in Section 2, the following points are added:

‘2.5 PM number analysers

2.5.1 General

2.5.1.1. The PM number analyser shall consist of a pre-conditioning unit and a particle detector (see Figure 1). The particle detector may also pre-condition the aerosol. The analyser’s sensitivity to shocks, vibrations, aging, variations in temperature and air pressure, electromagnetic interferences and other things that could affect the operation of the vehicle or the analyser shall be kept to a minimum as far as possible and shall be clearly stated in the supporting documentation produced by the instrument manufacturer. The PM number analyser shall fulfil the requirements of this Regulation and the specifications of the instrument manufacturer.

Figure 1

Example of a PM number analyser setup

(dotted lines depict optional parts)

EFM: Exhaust mass Flow Meter

d: inner diameter

PND: PM Number Diluter

2.5.1.2. The PM number analyser shall be connected to the sampling point via a sampling probe which extracts a sample from the centreline of the tailpipe tube. If particles are not diluted at the tailpipe, the sampling line shall be heated to a minimum temperature of 373 K (100 °C) until the point of first dilution of the PM number analyser or the particle detector of the analyser. The residence time of the sample in the particle sampling line shall be less than 3 seconds to the point of first dilution or to the particle detector.

2.5.1.3. All parts in contact with the sampled exhaust gas shall be always kept at a temperature that avoids condensation of any compound in the device. That may be achieved e.g. by heating to a higher temperature and diluting the sample or oxidising the (semi)volatile species.

2.5.1.4. The PM number analyser shall include a heated section at wall temperature ≥ 573K (300 °C). The pre-conditioning unit shall control the heated stages to constant nominal operating temperatures, within a tolerance of ± 10 K and provide an indication of whether or not heated parts are at their correct operating temperatures. Lower temperatures are acceptable as long as the volatile particle removal efficiency meets the specifications set out in point 2.5.4.

2.5.1.5. Pressure, temperature and other sensors shall monitor the operation of the instrument during its operation and shall trigger a warning or message in case of malfunction.

2.5.1.6. The delay time inside the PM number analyser shall be < 5 s. Delay time means the time difference between a change of concentration at the reference point and a system response of 10 % of the final reading.

2.5.1.7. The PM number analyser (and/or particle detector) shall have a rise time of < 3,5 s.

2.5.1.8. Particle concentration measurements shall be reported normalised to 273 K (0 °C) and 101,3 kPa. If considered necessary using best engineering judgement, the pressure and/or temperature at the inlet of the detector shall be measured and reported for the purposes of normalising the particle concentration.

2.5.1.9. PM number analysers that comply with the calibration requirements of UNECE Regulation No 83 or 49 or GTR 15 shall be deemed to comply with the calibration requirements of this Annex.

2.5.2. Efficiency requirements

2.5.2.1. The complete PM number analyser system and the sampling line, shall meet the efficiency requirements of Table 1:

Table 1
PM number analyser system (and sampling line) efficiency requirements
a Will be defined at a later stage.
dp [nm]	sub-23	23	30	50	70	100	200
E(dp)	--a	0,2-0,6	0,3-1,2	0,6-1,3	0,7-1,3	0,7-1,3	0,5-2,0

2.5.2.2. Efficiency E(dp) is the ratio in the readings of the PM number analyser system to a reference Condensation Particle Counter (CPC)’s (d50 = 10 nm or lower, checked for linearity and calibrated with an electrometer) or an Electrometer’s number concentration measuring in parallel monodisperse aerosol of mobility diameter dp and normalised at the same temperature and pressure conditions. The material shall be thermally stable and soot-like (e.g. spark discharged graphite or diffusion flame soot with thermal pre-treatment). If the efficiency curve is measured with a different aerosol (e.g. NaCl), the correlation to the soot-like curve shall be provided in the form of a chart which compares the efficiencies obtained using both test aerosols. The differences in the counting efficiencies shall be taken into account by adjusting the measured efficiencies based on that comparison chart to give soot-like aerosol efficiencies. Any correction for multiple charged particles shall be applied and documented, but it shall not exceed 10 %. The final efficiencies (e.g. adjusted for the different material and multiple charged particles) shall cover the PM number analyser and sampling line. The PM number analyser may alternatively be calibrated in parts (i.e. the pre-conditioning unit separately from the particle detector) provided that the PM number analyser and the sampling line together meet the requirements of Table 1. The signal measured from the detector shall be > 2 times the limit of detection (here defined as the zero level plus 3 standard deviations).

2.5.3. Linearity requirements

2.5.3.1. The linearity requirements shall be verified whenever damage is observed, as required by internal audit procedures or by the instrument manufacturer, at least once within the 12-month period leading up to a test.

2.5.3.2. The PM number analyser, and the sampling line, shall meet the linearity requirements set out in Table 2.

Table 2
Linearity requirements of PM number analyser (and the sampling line)
Measurement parameter/instrument	|χmin× (a1 - 1)+ a0|	Slope a1	Standard error SEE	Coefficient of determination r2
PM number analyser	≤ 5 % max	0,85-1,15	≤ 10 % max	≥ 0,950

2.5.3.3. The PM number analyser system and the sampling line, shall meet the linearity requirements of Table 2 using monodisperse or polydisperse soot-like particles. The particle size (mobility diameter or count median diameter) shall be larger than 45 nm. The reference instrument shall be an Electrometer or a Condensation Particle Counter (CPC) with d50 = 10 nm or lower, verified for linearity. Alternatively, the reference instrument may be a particle number system that complies with the requirements of UNECE Regulation No 49.

2.5.3.4. In addition, the differences between the PM number analyser and the reference instrument at each of the points that are checked (except the zero point) shall be within 15 % of their mean value. At least 5 points equally distributed (plus the zero point) shall be checked. The maximum checked concentration shall be the maximum allowed concentration of the PM number analyser.

If the PM number analyser is calibrated in parts, the linearity may be checked only for the detector, but the efficiencies of the other parts and the sampling line shall be taken into account in the slope calculation.

2.5.4. Volatile removal efficiency

2.5.4.1. The PM number analyser system shall achieve > 99 % removal of ≥ 30 nm tetracontane (CH₃(CH₂)₃₈CH₃) particles with an inlet concentration of ≥ 10 000 particles per cubic centimetre at the minimum dilution.

2.5.4.2. Additionally, the PM number analyser system shall also achieve a > 99 % removal efficiency of polydisperse alcane (decane or higher) or emery oil with count median diameter > 50 nm and an inlet concentration of ≥ 5 × 10⁶ particles per cubic centimetre at the minimum dilution (equivalent mass > 1 mg/m³).

2.5.4.3. The volatile removal efficiency with tetracontane and/or polydisperse alcane or oil need to be proven only once for the PEMS family. A PEMS family is considered to be a group of instruments with the same analysers, sample and thermal conditioning and software compensation algorithms. The instrument manufacturer shall provide the maintenance or replacement interval that ensures that the removal efficiency does not drop below the technical requirements. If such information is not provided by the instrument manufacturer, the volatile removal efficiency shall be checked yearly for each instrument.’;

(15)

in Appendix 3, the following points are added:

‘1.4. PM number analyser calibration and verification

1.4.1. The PEMS leakage test shall be conducted either in accordance with the requirements set out in paragraph 9.3.4 of Annex 4 to UNECE Regulation No 49 or in accordance with the instrument manufacturer’s instructions.

1.4.2. The response time check of the PM number analyser shall be conducted in accordance with the requirements set out in paragraph 9.3.5 of Annex 4 to UNECE Regulation No 49 using particles if gases cannot be used.

1.4.3. The transformation time of the PM number analyser system and its sampling line, shall be determined in accordance with paragraph A.8.1.3.7. of Appendix 8 to Annex 4 to UNECE Regulation No 49. “Transformation time” means the time difference between a change of concentration at the reference point and a system response of 50 % of the final reading.’

ANNEX III U.K.

Annex VI to Regulation (EU) No 582/2011 is amended as follows:

(1)

in Section 8, the following paragraph is added:

‘The methodology for the assessment of AES is described in Appendix 2 to this Annex.’;

(2)

in Appendix 1, the second paragraph of point 3.1. is replaced by the following:

‘The vehicle payload shall be 50-60 % of the maximum vehicle payload. A deviation from that range may be agreed with the approval authority. The reason for such a deviation shall be indicated in the test report. The additional requirements set out in Annex II shall apply.’;

(3)

the following Appendix is added:

‘Appendix 2 Methodology for the assessment of AES

For the purposes of assessing the AES, the approval authority shall verify at least whether the requirement laid down in this Appendix are fulfilled.

(1)

The increase of emissions induced by the AES shall be kept at the lowest possible level:

(a)

The increase of total emissions when using an AES shall be kept at the lowest possible level throughout the normal use and life of the vehicles;

(b)

Whenever a technology or design that would allow for improved emission control is available on the market at the time of the AES preliminary assessment it shall be used with no unjustified modulation.

(2)

When used to justify an AES, the risk of sudden and irreparable damage to the engine, shall be appropriately demonstrated and documented, including the following information:

(a)

Proof of catastrophic (i.e. sudden and irreparable) engine damage shall be provided by the manufacturer, along with a risk assessment which includes an evaluation of the likelihood of the risk occurring and severity of the possible consequences, including results of tests carried out to this effect;

(b)

When a technology or design is available on the market at the time of the AES application that eliminates or reduces that risk, it shall be used to the largest extent technically possible (i.e. with no unjustified modulation);

(c)

Durability and the long-term protection of the engine or components of the emission control system from wear and malfunctioning shall not be considered an acceptable reason to accept an AES.

(3)

An adequate technical description shall document why it is necessary to use an AES for the safe operation of the vehicle:

(a)

Proof of an increased risk to the safe operation of the vehicle should be provided by the manufacturer along with a risk assessment which includes an evaluation of the likelihood of the risk occurring and severity of the possible consequences, including results of tests carried out to this effect;

(b)

When a different technology or design is available on the market at the time of the AES application that would allow for lowering the safety risk, it shall be used to the largest extent technically possible (i.e. with no unjustified modulation).

(4)

An adequate technical description shall document why it is necessary to use an AES during engine start or warm up:

(a)

Proof of the need to use an AES during engine start shall be provided by the manufacturer along with a risk assessment which includes an evaluation of the likelihood of the risk occurring and severity of the possible consequences, including results of tests carried out to this effect;

(b)

Where a different technology or design is available on the market at the time of the AES application that would allow for improved emission control upon engine start, it shall be used to the largest extent technically possible.’

(1)

OJ L 188, 18.7.2009, p. 1.

(2)

Commission Regulation (EU) 2017/1151 of 1 June 2017 supplementing Regulation (EC) No 715/2007 of the European Parliament and of the Council on type-approval of motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on access to vehicle repair and maintenance information, amending Directive 2007/46/EC of the European Parliament and of the Council, Commission Regulation (EC) No 692/2008 and Commission Regulation (EU) No 1230/2012 and repealing Commission Regulation (EC) No 692/2008 (OJ L 175, 7.7.2017, p. 1).

(3)

Commission Regulation (EU) No 582/2011 of 25 May 2011 implementing and amending Regulation (EC) No 595/2009 of the European Parliament and of the Council with respect to emissions from heavy duty vehicles (Euro VI) and amending Annexes I and III to Directive 2007/46/EC of the European Parliament and of the Council (OJ L 167, 25.6.2011, p. 1).

(4)

Commission Regulation (EC) No 692/2008 of 18 July 2008 implementing and amending Regulation (EC) No 715/2007 of the European Parliament and of the Council on type-approval of motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on access to vehicle repair and maintenance information (OJ L 199, 28.7.2008, p. 1).

(5)

Regulation (EU) 2018/858 of the European Parliament and of the Council of 30 May 2018 on the approval and market surveillance of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles, amending Regulations (EC) No 715/2007 and (EC) No 595/2009 and repealing Directive 2007/46/EC (OJ L 151, 14.6.2018, p. 1).

(6)

Regulation No 49 of the Economic Commission for Europe of the United Nations (UN/ECE) - Uniform provisions concerning the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines and positive ignition engines for use in vehicles (OJ L 171, 24.6.2013, p. 1).’;

(7)

Commission Regulation (EU) 2017/2400 of 12 December 2017 implementing Regulation (EC) No 595/2009 of the European Parliament and of the Council as regards the determination of the CO₂ emissions and fuel consumption of heavy-duty vehicles and amending Directive 2007/46/EC of the European Parliament and of the Council and Commission Regulation (EU) No 582/2011 (OJ L 349, 29.12.2017, p. 1).’;

(8)

Regulation (EU) 2018/858 of the European Parliament and of the Council of 30 May 2018 on the approval and market surveillance of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles, amending Regulations (EC) No 715/2007 and (EC) No 595/2009 and repealing Directive 2007/46/EC (OJ L 151, 14.6.2018, p. 1)’;

(9)

Commission Regulation (EU) 2019/1939 of 7 November 2019 amending Regulation (EU) No 582/2011 as regards Auxiliary Emission Strategies (AES), access to vehicle OBD information and vehicle repair and maintenance information, measurement of emissions during cold engine start periods and use of portable emissions measurement systems (PEMS) to measure particle numbers, with respect to heavy duty vehicles (OJ L 303, 25.11.2019, p. 1)’;