Commission Directive 2005/78/EC of 14 November 2005 implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto (Text with EEA relevance)

of 14 November 2005

implementing Directive 2005/55/EC of the European Parliament and of the Council on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Annexes I, II, III, IV and VI thereto

(Text with EEA relevance)

Preamble

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Council Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers ¹ , and in particular second indent of Article 13(2) thereof,

Having regard to Directive 2005/55/EC of the European Parliament and of the Council of 28 September 2005 on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles ² , and in particular Article 7 thereof,

Whereas:

(1) Directive 2005/55/EC is one of the separate directives under the type-approval procedure laid down by Directive 70/156/EEC.

(2) Directive 2005/55/EC requires new heavy-duty engines and engines of new heavy-duty vehicles to comply with new technical requirements covering on-board diagnostic systems, durability and conformity of in-service vehicles which are properly maintained and used, from 1 October 2005. The technical provisions necessary to implement Articles 3 and 4 of that Directive should be adopted.

(3) In order to ensure compliance with Article 5 of Directive 2005/55/EC, it is appropriate to introduce requirements encouraging the proper use, as intended by the manufacturer, of new heavy-duty vehicles equipped with engines having an exhaust after-treatment system requiring the use of a consumable reagent to achieve the intended reduction of regulated pollutants. Measures should be introduced to ensure that the driver of such a vehicle is informed in good time if any on-vehicle supply of a consumable reagent is about to run out or if the reagent dosing activity does not take place. If the driver ignores such warnings, the engine performance should be modified until the driver replenishes the supply of the consumable reagent required for the efficient operation of the exhaust after-treatment system.

(4) Where engines within the scope of Directive 2005/55/EC require the use of a consumable reagent in order to achieve the emission limits for which those engines were granted type-approval, the Member States should take appropriate steps to ensure that such reagents are available on a geographically balanced basis. Member States should be able to take appropriate steps to encourage the use of such reagents.

(5) It is appropriate to introduce requirements that will enable the Member States to monitor and ensure, at the time of the periodic technical inspection, that heavy-duty vehicles equipped with exhaust after-treatment systems requiring the use of a consumable reagent have been properly operated during the period preceding the inspection.

(6) Member States should be able to prohibit the use of any heavy-duty vehicle equipped with an exhaust after-treatment system that requires the use of a consumable reagent in order to achieve the emission limits for which such vehicles were granted a type-approval if the exhaust after-treatment system does not actually consume the required reagent or if the vehicle does not carry the required reagent.

(7) Manufacturers of heavy-duty vehicles equipped with exhaust after-treatment systems requiring the use of a consumable reagent should inform their customers how such vehicles should properly be operated.

(8) The requirements of Directive 2005/55/EC relating to the use of defeat strategies should be adapted to take account of technical progress. Requirements for multi-setting engines and for devices that can limit engine torque under certain operating conditions should also be specified.

(9) Annexes III and IV to Directive 98/70/EC of the European Parliament and of the Council of 13 October 1998 relating to the quality of petrol and diesel fuel and amending Council Directive 93/12/EEC ³ require petrol and diesel motor fuels for sale throughout the Community to have a maximum sulphur content of 50 mg/kg (parts per million, ppm), from 1 January 2005. Motor fuels with a sulphur content of 10 mg/kg or less are increasingly available throughout the Community and Directive 98/70/EC requires such fuels to be available from 1 January 2009. The reference fuels used for the type-approval testing of engines against the emission limits specified in row B1, row B2 and row C of the tables in Annex I to Directive 2005/55/EC should therefore be redefined in order to better reflect, where applicable, the sulphur content of the diesel fuels that are available on the market from 1 January 2005 and that are used by engines with advanced emission control systems. It is also appropriate to redefine the liquefied petroleum gas (LPG) reference fuel to reflect progress in the market since 1 January 2005.

(10) Technical adaptations to the sampling and measurement procedures are necessary to enable the reliable and repeatable measurement of particulate mass emissions for compression-ignition engines that are granted a type-approval according to the particulate limits specified either in row B1, row B2 or row C of the tables in section 6.2.1 of Annex I to Directive 2005/55/EC and for gas engines that are granted a type-approval according to the emission limits specified in row C of table 2 in section 6.2.1 of that Annex.

(11) Since the provisions concerning the implementation of Articles 3 and 4 of Directive 2005/55/EC are adopted at the same time as those adapting that Directive to technical progress, both types of measures have been included in the same act.

(12) In view of the rapid technological progress in this area, this Directive will be reviewed by 31 December 2006, if necessary.

(13) Directive 2005/55/EC should therefore be amended accordingly.

(14) The measures provided for in this Directive are in accordance with the opinion of the Committee for Adaptation to Technical Progress established by Article 13(1) of Directive 70/156/EEC,

HAS ADOPTED THIS DIRECTIVE:

Article 1

Annexes I, II, III, IV and VI to Directive 2005/55/EC are amended in accordance with Annex I to this Directive.

Article 2

Measures for the implementation of Articles 3 and 4 of Directive 2005/55/EC are laid down in Annexes II to V to this Directive.

Article 3

1. Member States shall adopt and publish, by 8 November 2006 at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive. They shall apply those provisions from 9 November 2006. When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2. Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

Article 4

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

Article 5

This Directive is addressed to the Member States.

Final provisions

Done at Brussels, 14 November 2005. For the Commission Günter VERHEUGEN Vice-President

¹ OJ L 42, 23.2.1970, p. 1 . Directive as last amended by Commission Directive 2005/49/EC ( OJ L 194, 26.7.2005, p. 12 ).

² OJ L 275, 20.10.2005, p. 1 .

³ OJ L 350, 28.12.1998, p. 58 . Directive as last amended by Regulation (EC) No 1882/2003 of the European Parliament and of the Council ( OJ L 284, 31.10.2003, p. 1 ).

Directive 2005/55/EC is amended as follows:

(1) Annex I is amended as follows:

(a) Section 1 is replaced by the following: ‘1. SCOPE This Directive applies to the control of gaseous and particulate pollutants, useful life of emission control devices, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants, useful life, conformity of in-service vehicles/engines and on-board diagnostic (OBD) systems of all motor vehicles equipped with positive-ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive-ignition engines as specified in Article 1 with the exception of compression-ignition engines of those vehicles of category N 1 , N 2 and M 2 and of positive-ignition engines fuelled with natural gas or LPG of those vehicles of category N 1 for which type-approval has been granted under Council Directive 70/220/EEC . OJ L 76, 6.4.1970, p. 1 . Directive as last amended by Commission Directive 2003/76/EC ( OJ L 206, 15.8.2003, p. 29 ).’ "

(c) Former sections 2.32.2 and 2.32.3 become sections 2.2.2 and 2.2.3 respectively.

(e) Section 3.1.1 is replaced by the following: 3.1.1. The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the engine manufacturer or by a duly accredited representative. Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’

(f) Section 3.2.1 is replaced by the following: 3.2.1. The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative. Should the application concern an engine equipped with an on-board diagnostic (OBD) system, the requirements of section 3.4 must be fulfilled.’

(g) The following section 3.2.3 is added: 3.2.3. The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle. The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’

(h) Section 3.3.1 is replaced by the following: 3.3.1. The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or diesel engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or gas engine family as well as the useful life and on-board diagnostic (OBD) system shall be submitted by the vehicle manufacturer or by a duly accredited representative.’

(i) The following section 3.3.3 is added: 3.3.3. The manufacturer shall provide a description of the malfunction indicator (MI) used by the OBD system to signal the presence of a fault to a driver of the vehicle. The manufacturer shall provide a description of the indicator and warning mode used to signal the lack of required reagent to a driver of the vehicle.’

(j) The following section 3.4 is added: ‘3.4. On-board diagnostic systems The application for approval of an engine equipped with an on-board diagnostic (OBD) system must be accompanied by the information required in section 9 of Appendix 1 to Annex II (description of the parent engine) and/or section 6 of Appendix 3 to Annex II (description of an engine type within the family) together with: 3.4.1.1. Detailed written information fully describing the functional operation characteristics of the OBD system, including a listing of all relevant parts of the engine's emission control system, i.e. sensors, actuators and components, that are monitored by the OBD system; Where applicable, a declaration by the manufacturer of the parameters that are used as a basis for major functional failure monitoring and, in addition: 3.4.1.2.1. The manufacturer shall provide the technical service with a description of potential failures within the emission control system that will have an effect on emissions. This information shall be subject to discussion and agreement between the technical service and the vehicle manufacturer. 3.4.1.3. Where applicable, a description of the communication interface (hardware and messages) between the engine electronic control unit (EECU) and any other powertrain or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control system. 3.4.1.4. Where appropriate, copies of other type-approvals with the relevant data to enable extensions of approvals. 3.4.1.5. If applicable, the particulars of the engine family as referred to in section 8 of this Annex. 3.4.1.6. The manufacturer must describe provisions taken to prevent tampering with and modification of the EECU or any interface parameter considered in section 3.4.1.3.’

(k) In section 5.1.3 the footnote is deleted.

(m) The introductory part of Section 6.2 is replaced by the following: ‘6.2. Specifications Concerning the Emission of Gaseous and Particulate Pollutants and Smoke For type approval to row A of the tables in section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including deNO x catalysts and/or particulate traps, shall additionally be tested on the ETC test. For type approval testing to either row B1 or B2 or row C of the tables in section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests. For gas engines, the gaseous emissions shall be determined on the ETC test. The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3. The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system. Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions, only the full flow dilution system or the partial flow dilution system meeting the requirements of ISO 16183 are recognised as equivalent reference systems. “Results” refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency of the sample pair averages shall be determined by F -test and t -test statistics as described in Appendix 4 to this Annex obtained under these laboratory, test cell and engine conditions. Outliers shall be determined in accordance with ISO 5725 and excluded from the database. For introduction of a new system into the Directive the determination of equivalency shall be based upon the calculation of repeatability and reproducibility, as described in ISO 5725.’

(o) Section 8.1 is replaced by the following: ‘8.1. Parameters defining the engine family The engine family, as determined by the engine manufacturer must comply with the provisions of ISO 16185.’

(q) Section 9.1 is replaced by the following: 9.1. Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. In applying Appendices 1, 2 or 3, the measured emission of the gaseous and particulate pollutants from engines subject to checking for conformity of production shall be adjusted by application of the appropriate deterioration factors (DF’s) for that engine as recorded in section 1.5 of the Appendix to Annex VI. Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer.’

(r) The following section 9.1.2 is added: ‘9.1.2. On-Board Diagnostics (OBD) 9.1.2.1. If a verification of the conformity of production of the OBD system is to be carried out, it must be conducted in accordance with the following: 9.1.2.2. When the approval authority determines that the quality of production seems unsatisfactory an engine is randomly taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on an engine that has been run-in up to a maximum of 100 hours. 9.1.2.3. The production is deemed to conform if this engine meets the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. 9.1.2.4 If the engine taken from the series does not satisfy the requirements of section 9.1.2.2, a further random sample of four engines must be taken from the series and subjected to the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC. The tests may be carried out on engines that have been run-in up to a maximum of 100 hours. 9.1.2.5. The production is deemed to conform if at least three engines out of the further random sample of four engines meet the requirements of the tests described in Appendix 1 to Annex IV to Directive 2005/78/EC.’

(s) The following section 10 is added: ‘10. CONFORMITY OF IN-SERVICE VEHICLES/ENGINES 10.1. For the purpose of this Directive, the conformity of in-service vehicles/engines must be checked periodically over the useful life period of an engine installed in a vehicle. 10.2. With reference to type-approvals granted for emissions, additional 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. 10.3. The procedures to be followed regarding the conformity of in-service vehicles/engines are given in Annex III to Directive 2005/78/EC.’

(u) In Appendix 2, section 3 and the introductory phrase of section 4 are replaced by the following: 3. The values of the pollutants given in section 6.2.1 of Annex I, after having applied the relevant DF, are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m 0 and m denote the minimum and maximum sample size respectively (m 0 = 3 and m = 32) and let n denote the current sample number. 4. If the natural logarithms of the measured values (after having applied the relevant DF) in the series are x 1 , x 2 , … x i and L is the natural logarithm of the limit value for the pollutant, then, define:’

(2) Annex II is amended as follows:

(a) The following section 0.7 is inserted: 0.7. Name and address of the manufacturer’s representative:’

(b) Former section 0.7 and sections 0.8 and 0.9 become sections 0.8, 0.9 and 0.10 respectively.

(c) The following section 0.11 is added: 0.11 In the case of a vehicle equipped with an on-board diagnostic (OBD) system, written description and/or drawing of the MI:’

(e) In Appendix 2, the fourth line of the first column of the table in section 2.1.1 is replaced by the following: ‘Fuel flow per stroke (mm 3 )’

(3) Annex III is amended as follows:

(a) Section 1.3.1 is replaced by the following: ‘1.3.1. ESC Test During a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw or diluted exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. For particulate measurement, the exhaust gas shall be diluted with conditioned ambient air using either a partial flow or full flow dilution system. The particulates shall be collected on a single suitable filter in proportion to the weighting factors of each mode. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NO x shall be measured at three test points within the control area selected by the Technical Service and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NO x control check ensures the effectiveness of the emission control of the engine within the typical engine operating range.’

(b) Section 1.3.3 is replaced by the following: ‘1.3.3. ETC Test During a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined either after diluting the total exhaust gas with conditioned ambient air (CVS system with double dilution for particulates) or by determining the gaseous components in the raw exhaust gas and the particulates with a partial flow dilution system. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. For a CVS system, the concentration of NO x and HC shall be determined over the cycle by integration of the analyser signal, whereas the concentration of CO, CO 2 , and NMHC may be determined by integration of the analyser signal or by bag sampling. If measured in the raw exhaust gas, all gaseous components shall be determined over the cycle by integration of the analyser signal. For particulates, a proportional sample shall be collected on a suitable filter. The raw or diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex.’

(d) Section 2.8 is replaced by the following: If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle shall be representative of the emissions in the field. In the case of an engine equipped with a exhaust aftertreatment system that requires the consumption of a reagent, the reagent used for all tests shall comply with section 2.2.1.13 of Appendix 1 to Annex II. 2.8.1. For an exhaust aftertreatment system based on a continuous regeneration process the emissions shall be measured on a stabilised aftertreatment system. The regeneration process shall occur at least once during the ETC test and the manufacturer shall declare the normal conditions under which regeneration occurs (soot load, temperature, exhaust back-pressure, etc). In order to verify the regeneration process at least 5 ETC tests shall be conducted. During the tests the exhaust temperature and pressure shall be recorded (temperature before and after the aftertreatment system, exhaust back pressure, etc). The aftertreatment system is considered to be satisfactory if the conditions declared by the manufacturer occur during the test during a sufficient time. The final test result shall be the arithmetic mean of the different ETC test results. If the exhaust aftertreatment has a security mode that shifts to a periodic regeneration mode it should be checked following section 2.8.2. For that specific case the emission limits in table 2 of Annex I could be exceeded and would not be weighted. 2.8.2. For an exhaust aftertreatment based on a periodic regeneration process, the emissions shall be measured on at least two ETC tests, one during and one outside a regeneration event on a stabilised aftertreatment system, and the results be weighted. The regeneration process shall occur at least once during the ETC test. The engine may be equipped with a switch capable of preventing or permitting the regeneration process provided this operation has no effect on the original engine calibration. The manufacturer shall declare the normal parameter conditions under which the regeneration process occurs (soot load, temperature, exhaust back-pressure etc) and its duration time (n2). The manufacturer shall also provide all the data to determine the time between two regenerations (n1). The exact procedure to determine this time shall be agreed by the Technical Service based upon good engineering judgement. The manufacturer shall provide an aftertreatment system that has been loaded in order to achieve regeneration during an ETC test. Regeneration shall not occur during this engine conditioning phase. Average emissions between regeneration phases shall be determined from the arithmetic mean of several approximately equidistant ETC tests. It is recommended to run at least one ETC as close as possible prior to a regeneration test and one ETC immediately after a regeneration test. As an alternative, the manufacturer may provide data to show that the emissions remain constant (± 15 %) between regeneration phases. In this case, the emissions of only one ETC test may be used. During the regeneration test, all the data needed to detect regeneration shall be recorded (CO or NO x emissions, temperature before and after the aftertreatment system, exhaust back pressure etc). During the regeneration process, the emission limits in table 2 of Annex I can be exceeded. The measured emissions shall be weighted according to section 5.5 and 6.3 of Appendix 2 to this Annex and the final result shall not exceed the limits in table 2 of Annex I.’

(4) Annex IV is amended as follows:

(a) The title of section 1.1 is replaced by the following: 1.1. Diesel reference fuel for testing engines to the emission limits given in row a of the Tables in Section 6.2.1 of Annex I ( 1 )’

(c) Former Section 1.2 becomes section 1.3.

(5) Annex VI is amended as follows:

(a) The Appendix becomes ‘Appendix 1’.

OJ L 76, 6.4.1970, p. 1 . Directive as last amended by Commission Directive 2003/76/EC ( OJ L 206, 15.8.2003, p. 29 ).’

OJ L 313, 29.11.2005, p. 1 .

Article 4(1) of this Directive provides for the monitoring for major functional failure instead of monitoring for the degradation or the loss of catalytic/filtering efficiency of an exhaust aftertreatment system. Examples of major functional failure are given in sections 3.2.3.2 and 3.2.3.3 of Annex IV to Directive 2005/78/EC.

OJ L 375, 31.12.1980, p. 46 . Directive as last amended by Directive 1999/99/EC ( OJ L 334, 28.12.1999, p. 32 ).’

The Commission will determine whether specific measures regarding multi-setting engines need to be laid down in this Directive at the same time as a proposal addressing the requirements of Article 10 of this Directive.

Up to 1 October 2008, the following applies: “an ambient temperature within the range 279 K to 303 K (6 °C to 30 °C)”.

This temperature range will be reconsidered as part of the review of this Directive with special emphasis on the appropriateness of the lower temperature boundary.’

The Commission intends to review this section by 31 December 2006.

The Commission intends to review those values by 31 December 2005.’

Delete where inapplicable.’

Delete where inapplicable.’

Delete where inapplicable.’

Delete where inapplicable.’

The value is only valid for the reference fuel specified in Annex IV.’

The Commission shall review the temperature upstream of the filter holder, 325 K (52 °C), and, if necessary propose an alternative temperature to be applicable for type-approval of new types from 1 October 2008.’

Delete what is not applicable.’ ’

Until 1 October 2005, the figures shown in brackets may be used for the type-approval testing of gas engines. (The Commission shall report on the development of gas engine technology to confirm or modify the regression line tolerances applicable to gas engines given in this table.)

¹ The values quoted in the specifications are “true values”. In establishment of their limit values the terms of ISO 4259 “Petroleum products – Determination and application of precision data in relation to methods of test” have been applied and in fixing a minimum value, a minimum difference of 2R above zero has been taken into account; in fixing a maximum and minimum value, the minimum difference is 4R (R = reproducibility).

Notwithstanding this measure, which is necessary for technical reasons, the manufacturer of fuels should nevertheless aim at a zero value where the stipulated maximum value is 2R and at the mean value in the case of quotations of maximum and minimum limits. Should it be necessary to clarify the questions as to whether a fuel meets the requirements of the specifications, the terms of ISO 4259 should be applied.

² The range for cetane number is not in accordance with the requirements of a minimum range of 4R. However, in the case of a dispute between fuel supplier and fuel user, the terms of ISO 4259 may be used to resolve such disputes provided replicate measurements, of sufficient number to archive the necessary precision, are made in preference to single determinations.

³ The actual sulphur content of the fuel used for the Type I test shall be reported.

⁴ Even though oxidation stability is controlled, it is likely that shelf life will be limited. Advice should be sought from the supplier as to storage conditions and life.’

⁵ This method may not accurately determine the presence of corrosive materials if the sample contains corrosion inhibitors or other chemicals which diminish the corrosivity of the sample to the copper strip. Therefore, the addition of such compounds for the sole purpose of biasing the test method is prohibited.

⁶ This method may not accurately determine the presence of corrosive materials if the sample contains corrosion inhibitors or other chemicals which diminish the corrosivity of the sample to the copper strip. Therefore, the addition of such compounds for the sole purpose of biasing the test method is prohibited.’

⁷ Delete what is not applicable.

1. INTRODUCTION

This Annex details the procedures for selecting a family of engines to be tested over a service accumulation schedule for the purpose of determining deterioration factors. Such deterioration factors will be applied to the measured emissions from engines undergoing a periodical audit to ensure that in-service engine emissions remain in conformity with the applicable emission limits, as given in the tables in section 6.2.1 of Annex I to Directive 2005/55/EC, over the durability period applicable to the vehicle in which the engine is installed.

This Annex also details the emission and non-emission-related maintenance that will be carried out on engines undergoing a service accumulation schedule. Such maintenance will be performed on in-service engines and communicated to owners of new heavy-duty engines.

2. SELECTION OF ENGINES FOR ESTABLISHING USEFUL LIFE DETERIORATION FACTORS

2.1. Engines will be selected from the engine family defined in section 8.1 of Annex I to Directive 2005/55/EC for emission testing to establish useful life deterioration factors.

2.2. Engines from different engine families may be further combined into families based on the type of exhaust aftertreatment system utilised. In order to place engines with different numbers of cylinders and different cylinder configuration but having the same technical specifications and installation for the exhaust aftertreatment systems into the same engine-aftertreatment system family, the manufacturer shall provide data to the approval authority that demonstrates that the emissions of such engines are similar.

One engine representing the engine-aftertreatment system family shall be selected by the engine manufacturer for testing over the service accumulation schedule defined in section 3.2 of this Annex, according to the criteria for selecting engines given in section 8.2 of Annex I to Directive 2005/55/EC and shall be reported to the type-approval authority before any testing commences.

2.3.1. If the type-approval authority decides that the worst case emission rate of the engine-aftertreatment system family can be characterised better by another engine then the test engine shall be selected jointly by the type-approval authority and the engine manufacturer.

3. ESTABLISHING USEFUL LIFE DETERIORATION FACTORS

3.1. General

Deterioration factors applicable to an engine-aftertreatment system family are developed from the selected engines based on a distance and service accumulation procedure that includes periodic testing for gaseous and particulate emissions over the ESC and ETC tests.

3.2. Service accumulation schedule

Service accumulation schedules may be carried out at the choice of the manufacturer by running a vehicle equipped with the selected parent engine over an “in-service accumulation” schedule or by running the selected parent engine over a “dynamometer service accumulation” schedule.

3.2.1. In-service and dynamometer service accumulation

3.2.1.1. The manufacturer shall determine the form and extent of the distance and service accumulation for engines, consistent with good engineering practice.

3.2.1.2. The manufacturer will determine when the engine will be tested for gaseous and particulate emissions over the ESC and ETC tests.

3.2.1.3. A single engine-operating schedule shall be used for all engines in an engine-aftertreatment system family.

3.2.1.4. At the request of the manufacturer and with the agreement of the type-approval authority, only one test cycle (either the ESC or ETC test) need be run at each test point with the other test cycle run only at the beginning and at the end of the service accumulation schedule.

3.2.1.5. Operating schedules may be different for different engine-aftertreatment system families.

3.2.1.6. Operating schedules may be shorter than the useful life period provided that the number of test points allows for a proper extrapolation of the test results, according to section 3.5.2. In any case, the service accumulation shall not be shorter than shown in the table in section 3.2.1.8.

3.2.1.7 The manufacturer has to provide the applicable correlation between minimum service accumulation period (driving distance) and engine dynamometer hours, for example, fuel consumption correlation, vehicle speed versus engine revolutions correlation etc.

3.2.1.8. Minimum service accumulation

3.2.1.9. The in-service accumulation schedule shall be fully described in the application for type-approval and reported to the type-approval authority before the start of any testing.

3.2.2. If the type-approval authority decides that additional measurements need to be carried out on the ESC and ETC tests between the points selected by the manufacturer it shall notify the manufacturer. The revised in-service accumulation schedule or dynamometer service accumulation schedule shall be prepared by the manufacturer and agreed by the type-approval authority.

3.3. Engine testing

3.3.1. Start of the service accumulation schedule

3.3.1.1. For each engine-aftertreatment system family, the manufacturer shall determine the number of hours of engine running after which the operation of the engine-after-treatment system has stabilised. If requested by the approval authority the manufacturer shall make available the data and analysis used to make this determination. As an alternative, the manufacturer may elect to run the engine for 125 hours to stabilise the engine-aftertreatment system.

3.3.1.2. The stabilisation period determined in section 3.3.1.1 will be deemed to be the start of the service accumulation schedule.

3.3.2. Service accumulation testing

3.3.2.1. After stabilisation, the engine will be run over the service accumulation schedule selected by the manufacturer, as described in section 3.2 above. At the periodic intervals in the service accumulation schedule determined by the manufacturer, and, where appropriate, also stipulated by the type-approval authority according to section 3.2.2, the engine shall be tested for gaseous and particulate emissions over the ESC and ETC tests. In accordance with section 3.2, if it has been agreed that only one test cycle (ESC or ETC) be run at each test point, the other test cycle (ESC or ETC) must be run at the beginning and end of the service accumulation schedule.

3.3.2.2. During the service accumulation schedule, maintenance will be carried out on the engine according to section 4.

3.3.2.3. During the service accumulation schedule, unscheduled maintenance on the engine or vehicle may be performed, for example if the OBD system has specifically detected a problem that has resulted in the malfunction indicator (MI) being activated.

3.4. Reporting

3.4.1. The results of all emission tests (ESC and ETC) conducted during the service accumulation schedule shall be made available to the type-approval authority. If any emission test is declared to be void, the manufacturer shall provide an explanation of why the test has been declared void. In such a case, another series of emission tests over the ESC and ETC tests shall be carried out within a further 100 hours of service accumulation.

3.4.2. Whenever a manufacturer tests an engine over a service accumulation schedule for the establishment of deterioration factors, the manufacturer shall retain in its records all information concerning all the emission tests and maintenance carried out on the engine during the service accumulation schedule. This information shall be submitted to the approval authority along with the results of the emission tests conducted over the service accumulation schedule.

3.5. Determination of deterioration factors

3.5.1. For each pollutant measured on the ESC and ETC tests and at each test point during the service accumulation schedule, a “best fit” regression analysis shall be made on the basis of all test results. The results of each test for each pollutant 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. In accordance with section 3.2, if it has been agreed that only one test cycle (ESC or ETC) be run at each test point and the other test cycle (ESC or ETC) run only at the beginning and end of the service accumulation schedule, the regression analysis shall be made only on the basis of the test results from the test cycle run at each test point.

3.5.2. On the basis of the regression analysis, the manufacturer shall calculate the projected emission values for each pollutant at the start of the service accumulation schedule and at the useful life that is applicable for the engine under test by extrapolation of the regression equation as determined in section 3.5.1.

3.5.3. For engines not equipped with an exhaust aftertreatment system, the deterioration factor for each pollutant is the difference between the projected emission values at the useful life period and at the start of the service accumulation schedule.

For engines equipped with an exhaust aftertreatment system, the deterioration factor for each pollutant is the ratio of the projected emission values at the useful life period and at the start of the service accumulation schedule.

In accordance with section 3.2, if it has been agreed that only one test cycle (ESC or ETC) be run at each test point and the other test cycle (ESC or ETC) run only at the beginning and end of the service accumulation schedule, the deterioration factor calculated for the test cycle that has been run at each test point shall be applicable also for the other test cycle, provided that for both test cycles, the relationship between the measured values run at the beginning and at the end of the service accumulation schedule are similar.

3.5.4. The deterioration factors for each pollutant on the appropriate test cycles shall be recorded in section 1.5 of Appendix 1 to Annex VI to Directive 2005/55/EC.

As an alternative to using a service accumulation schedule to determine deterioration factors, engine manufacturers may choose to use the following deterioration factors:

3.6.1. The manufacturer may select to carry across the DF’s determined for an engine or engine/aftertreatment combination to engines or engine/aftertreatment combinations that do not fall into the same engine family category as determined according to section 2.1. In such cases, the manufacturer must demonstrate to the approval authority that the base engine or engine/aftertreatment combination and the engine or engine/aftertreatment combination for which the DF’s are being carried over have the same technical specifications and installation requirements on the vehicle and that the emissions of such engine or engine/aftertreatment combinations are similar.

3.7. Checking of conformity of production

3.7.1. Conformity of production for emissions compliance is checked on the basis of section 9 of Annex I to Directive 2005/55/EC.

3.7.2. At the time of type-approval, the manufacturer may choose to measure at the same time the pollutant emissions before any exhaust aftertreatment system. In so doing, the manufacturer may develop an informal deterioration factor separately for the engine and the aftertreatment system that may be used by the manufacturer as an aid to end of production line auditing.

3.7.3. For the purposes of type-approval, only the deterioration factors adopted by the manufacturer from section 3.6.1 or the deterioration factors developed according to section 3.5 shall be recorded in section 1.4 of Appendix 1 to Annex VI to Directive 2005/55/EC.

4. MAINTENANCE

During the service accumulation schedule, maintenance performed on engines and proper consumption of any required reagent used to determine deterioration factors are classified as either emission-related or non-emission-related and each of these can be classified as scheduled and unscheduled. Some emission-related maintenance is also classified as critical emission-related maintenance.

4.1. Emission-related scheduled maintenance

4.1.1. This section specifies emission-related scheduled maintenance for the purpose of conducting a service accumulation schedule and for inclusion in the maintenance instructions furnished to owners of new heavy-duty vehicles and heavy-duty engines.

4.1.2. All emission-related scheduled maintenance for purposes of conducting a service accumulation schedule must occur at the same or equivalent distance intervals that will be specified in the manufacturer’s maintenance instructions to the owner of the heavy-duty vehicle or heavy-duty engine. This maintenance schedule may be updated as necessary throughout the service accumulation schedule provided that no maintenance operation is deleted from the maintenance schedule after the operation has been performed on the test engine.

4.1.3. Any emission-related maintenance performed on engines must be necessary to assure in-use conformity with the relevant emission standards. The manufacturer shall submit data to the type-approval authority to demonstrate that all of the emission-related scheduled maintenance is technically necessary.

4.1.4. The engine manufacturer shall specify the adjustment, cleaning and maintenance (where necessary) of the following items:

— Filters and coolers in the exhaust gas re-circulation system

— Positive crankcase ventilation valve

— Fuel injector tips (cleaning only)

— Fuel injectors

— Turbocharger

— Electronic engine control unit and its associated sensors and actuators

— Particulate filter system (including related components)

— Exhaust gas re-circulation system, including all related control valves and tubing

— Any exhaust aftertreatment system.

4.1.5. For the purposes of maintenance, the following components are defined as critical emission-related items:

— Any exhaust aftertreatment system

— Electronic engine control unit and its associated sensors and actuators

— Exhaust gas re-circulation system including all related filters, coolers, control valves and tubing

— Positive crankcase ventilation valve.

4.1.6. All critical emission-related scheduled maintenance must have a reasonable likelihood of being performed in-use. The manufacturer shall demonstrate to the approval authority the reasonable likelihood of such maintenance being performed in-use and such demonstration shall be made prior to the performance of the maintenance during the service accumulation schedule.

Critical emission-related scheduled maintenance items that satisfy any of the conditions defined in sections 4.1.7.1 to 4.1.7.4 will be accepted as having a reasonable likelihood of the maintenance item being performed in-use.

4.1.7.1. Data is submitted which establishes a connection between emissions and vehicle performance such that as emissions increase due to lack of maintenance, vehicle performance will simultaneously deteriorate to a point unacceptable for typical driving.

4.1.7.2. Survey data is submitted which demonstrates that, at an 80 % confidence level, 80 % of such engines already have this critical maintenance item performed in-use at the recommended interval(s).

4.1.7.3. In association with the requirements of section 4.7 of Annex IV to this Directive, a clearly visible indicator shall be installed on the dashboard of the vehicle to alert the driver that maintenance is due. The indicator shall be actuated at the appropriate distance or by component failure. The indicator must remain activated while the engine is in operation and shall not be erased without the required maintenance being carried out. Re-setting of the signal shall be a required step in the maintenance schedule. The system must not be designed to deactivate upon the end of the appropriate useful life period of the engine or thereafter.

4.1.7.4. Any other method which the approval authority determines as establishing a reasonable likelihood that the critical maintenance will be performed in-use.

4.2. Changes to scheduled maintenance

4.2.1. The manufacturer must submit a request to the type-approval authority for approval of any new scheduled maintenance that it wishes to perform during the service accumulation schedule and thereby recommend to owners of heavy-duty vehicles and engines. The manufacturer shall also include its recommendation as to the category (i.e. emission-related, non-emission-related, critical or non-critical) of the new scheduled maintenance being proposed and, for emission-related maintenance, the maximum feasible maintenance interval. The request must be accompanied by data supporting the need for the new scheduled maintenance and the maintenance interval.

4.3. Non-emission-related scheduled maintenance

4.3.1. Non-emission-related scheduled maintenance which is reasonable and technically necessary (e.g. oil change, oil filter change, fuel filter change, air filter change, cooling system maintenance, idle speed adjustment, governor, engine bolt torque, valve lash, injector lash, timing, adjustment of the tension of any drive-belt, etc) may be performed on engines or vehicles selected for the service accumulation schedule at the least frequent intervals recommended by the manufacturer to the owner (e.g. not at the intervals recommended for severe service).

4.4. Maintenance on engines selected for testing over a service accumulation schedule

4.4.1. Repairs to the components of an engine selected for testing over a service accumulation schedule other than the engine, emission control system or fuel system shall be performed only as a result of part failure or engine system malfunction.

4.4.2. Equipment, instruments or tools may not be used to identify malfunctioning, maladjusted or defective engine components unless the same or equivalent equipment, instruments or tools will be available to dealerships and other service outlets and,

— Are used in conjunction with scheduled maintenance on such components, and

— Are used subsequent to the identification of an engine malfunction.

4.5. Critical emission-related unscheduled maintenance

4.5.1. The consumption of a required reagent is defined as critical emission-related unscheduled maintenance for the purpose of conducting a service accumulation schedule and for inclusion in the maintenance instructions furnished by manufacturers to owners of new heavy-duty vehicles or heavy-duty engines.

¹ Where appropriate and on the basis of information to be supplied by the Member States, the Commission may propose a revision of the DF’s shown in this table in accordance with the procedure laid down in Article 13 of Directive 70/156/EEC.

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

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.

Figure 1

In-service conformity checking – audit procedure START Vehicle or engine manufacturer and Type Approval Authority complete vehicle or engine approval for the new vehicle or engine type. Type Approval Authority (TAA) grants type-approval Manufacture and sales of approved vehicle or engine type Vehicle or engine manufacturer develops own in-service conformity procedure Vehicle or engine manufacturer carries out own in-service conformity procedure (vehicle or engine type or family) Vehicle manufacturer compiles report of the in-house procedure (including all data required by section 3 of Annex XII) In-house in-service conformity report for approved vehicle or engine type or family Does the TAA (a) decide to audit the manufacturer’s compliance data for this vehicle or engine type or family? NO Manufacturer files report for future reference Manufacturer provides or obtains additional information or test data. Manufacturer compiles new in-service conformity report YES Manufacturer submits in-service conformity report to TAA (a) for audit TAA (a) reviews manufacturer’s in-service conformity report fabricante YES Does TAA (a) decide that information is insufficient to reach a decision? NO Does the TAA (a) accept that manufacturer’s in-service conformity report confirms acceptability of a vehicle or engine type within the family? (section 3.4. of Annex XII) NO YES TAA (a) begins formal testing of suspect engine type or family (as described in section 5 of Annex XII) Process Completed. No further action required (a) In this case, TAA means the Type-Approval Authority that granted the type-approval.

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’).

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.

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.

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

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.

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.

1. INTRODUCTION

This Annex describes the provisions specific to the on-board diagnostic (OBD) system for the emission control systems of motor vehicles.

2. DEFINITIONS

For the purposes of this Annex, the following definitions, in addition to the definitions contained in section 2 of Annex I to Directive 2005/55/EC, apply:

‘arm-up cycle’ means sufficient engine operation such that the coolant temperature has risen by at least 22 K from engine starting and reaches a minimum temperature of 343 K (70 °C);

‘access’ means the availability of all emission-related OBD data including all fault codes required for the inspection, diagnosis, servicing or repair of emissions related parts of the vehicle, via the serial interface of the standard diagnostic connector;

‘deficiency’ means, in respect of engine OBD systems, that up to two separate components or systems that are monitored contain temporary or permanent operating characteristics that impair the otherwise efficient OBD monitoring of those components or systems or do not meet all the other detailed requirements for OBD. Engines or vehicles in respect of their engine may be type-approved, registered and sold with such deficiencies according to the requirements of section 4.3 of this Annex;

‘deteriorated component/system’ means an engine or exhaust aftertreatment component/system that has been intentionally deteriorated in a controlled manner by the manufacturer for the purpose of conducting a type-approval test on the OBD system;

‘OBD test cycle’ means a driving cycle which is a version of the ESC test cycle having the same running-order of the 13 individual modes as described in section 2.7.1 of Appendix 1 to Annex III to Directive 2005/55/EC but where the length of each mode is reduced to 60 seconds;

‘operating sequence’ means the sequence used for determining the conditions for extinguishing the MI. It consists of an engine start-up, an operating period, an engine shut-off, and the time until the next start-up, where the OBD monitoring is running and a malfunction would be detected if present;

‘preconditioning cycle’ means the running of at least three consecutive OBD test cycles or emission test cycles for the purpose of achieving stability of the engine operation, the emission control system and OBD monitoring readiness;

‘repair information’ means all information required for diagnosis, servicing, inspection, periodic monitoring or repair of the engine and which the manufacturers provide for their authorised dealers/repair shops. Where necessary, such information shall include service handbooks, technical manuals, diagnosis information (e.g. minimum and maximum theoretical values for measurements), wiring diagrams, the software calibration identification number applicable to an engine type, information enabling the update of the software of the electronic systems in accordance with the specifications of the vehicle manufacturer, instructions for individual and special cases, information provided concerning tools and equipment, data record information and two-directional monitoring and test data. The manufacturer shall not be obliged to make available that information which is covered by intellectual property rights or constitutes specific know-how of manufacturers and/or OEM suppliers; in this case the necessary technical information shall not be improperly withheld;

‘standardised’ means that all emission related OBD data (i.e. stream information in the case a scanning tool is used), including all fault codes used, shall be produced only in accordance with industry standards which, by virtue of the fact that their format and the permitted options are clearly defined, provide for a maximum level of harmonisation in the motor vehicle industry, and whose use is expressly permitted in this Directive;

‘unrestricted’ means:

— access not dependent on an access code obtainable only from the manufacturer, or a similar device, or

— access allowing evaluation of the data produced without the need for any unique decoding information, unless that information itself is standardised.

3. REQUIREMENTS AND TESTS

3.1. General requirements

3.1.1. OBD systems must be designed, constructed and installed in a vehicle so as to enable it to identify types of malfunction over the entire life of the engine. In achieving this objective the approval authority must accept that engines which have been used in excess of the appropriate durability period defined in Article 3 of this Directive may show some deterioration in OBD system performance such that the OBD thresholds given in the table in Article 4(3) of this Directive may be exceeded before the OBD system signals a failure to the driver of the vehicle.

A sequence of diagnostic checks must be initiated at each engine start and completed at least once provided that the correct test conditions are met. The test conditions must be selected in such a way that they all occur under the driving conditions as represented by the test defined in section 2 of Appendix 1 to this Annex.

3.1.2.1. Manufacturers are not required to activate a component/system exclusively for the purpose of OBD functional monitoring under vehicle operating conditions when it would not normally be active (e.g. activation of a reagent tank heater of a deNO x system or combined deNO x -particulate filter when such a system would not normally be active).

3.1.3. OBD may involve devices, which measure, senses or responds to operating variables (e.g. vehicle speed, engine speed, gear used, temperature, intake pressure or any other parameter) for the purpose of detecting malfunctions and of minimising the risk of indicating false malfunction. These devices are not defeat devices.

3.1.4. Access to the OBD system required for the inspection, diagnosis, servicing or repair of the engine must be unrestricted and standardised. All emission related fault codes must be consistent with those described in section 6.8.5 of this Annex.

3.2. OBD Stage 1 requirements

3.2.1. From the dates given in Article 4(1) of this Directive, the OBD system of all diesel engines and of vehicles equipped with a diesel engine must indicate the failure of an emission-related component or system when that failure results in an increase in emissions above the appropriate OBD thresholds given in the table in Article 4(3) of this Directive.

In satisfying the Stage 1 requirements, the OBD system must monitor for:

3.2.2.1. complete removal of a catalyst, where fitted in a separate housing, that may or may not be part of a deNO x system or particulate filter.

3.2.2.2. reduction in the efficiency of the deNO x system, where fitted, with respect to the emissions of NO x only.

3.2.2.3. reduction in the efficiency of the particulate filter, where fitted, with respect to the emissions of particulate only.

3.2.2.4. reduction in the efficiency of a combined deNO x -particulate filter system, where fitted, with respect to both the emissions of NO x and particulate.

3.2.3. Major functional failure

3.2.3.1. As an alternative to monitoring against the appropriate OBD threshold limits with respect to sections 3.2.2.1 to 3.2.2.4, OBD systems of diesel engines may in accordance with Article 4(1) of this Directive monitor for major functional failure of the following components:

— a catalyst, where fitted as a separate unit, that may or may not be part of a deNO x system or particulate filter

— a deNO x system, where fitted

— a particulate filter, where fitted

— a combined deNO x -particulate filter system.

3.2.3.2. In the case of an engine equipped with a deNO x system, examples of monitoring for major functional failure are for complete removal of the system or replacement of the system by a bogus system (both intentional major functional failure), lack of required reagent for a deNO x system, failure of any SCR electrical component, any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a deNO x system including, when applicable, the reagent heating system, failure of the reagent dosing system (e.g. missing air supply, clogged nozzle, dosing pump failure).

3.2.3.3. In the case of an engine equipped with a particulate filter, examples of monitoring for major functional failure are for major melting of the trap substrate or a clogged trap resulting in a differential pressure out of the range declared by the manufacturer, any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a particulate filter, any failure, when applicable, of a reagent dosing system (e.g. clogged nozzle, dosing pump failure).

3.2.4. Manufacturers may demonstrate to the approval authority that certain components or systems need not be monitored if, in the event of their total failure or removal, emissions do not exceed the applicable thresholds limits for OBD Stage 1 given in the table in Article 4(3) of this Directive when measured over the cycles shown in section 1.1 of Appendix 1 to this Annex. This provision shall not apply to an exhaust gas recirculation (EGR) device, a deNO x system, a particulate filter or a combined deNO x -particulate filter system nor shall it apply to a component or system that is monitored for major functional failure.

3.3. OBD Stage 2 requirements

3.3.1. From the dates given in Article 4(2) of this Directive the OBD system of all diesel or gas engines and of vehicles equipped with a diesel or a gas engine must indicate the failure of an emission-related component or system of the engine system when that failure results in an increase in emissions above the appropriate OBD thresholds given in the table in Article 4(3) of this Directive.

The OBD system must consider the communication interface (hardware and messages) between the engine system electronic control unit(s) (EECU) and any other power train or vehicle control unit when the exchanged information has an influence on the correct functioning of the emission control. The OBD system must diagnose the integrity of the connection between the EECU and the medium that provides the link with these other vehicle components (e.g. the communication bus).

In satisfying the Stage 2 requirements, the OBD system must monitor for:

3.3.2.1 reduction in the efficiency of the catalyst, where fitted in a separate housing, that may or may not be part of a deNO x system or particulate filter.

3.3.2.2 reduction in the efficiency of the deNO x system, where fitted, with respect to the emissions of NO x only.

3.3.2.3 reduction in the efficiency of the particulate filter, where fitted, with respect to the emissions of particulate only.

3.3.2.4 reduction in the efficiency of a combined deNO x -particulate filter system, where fitted, with respect to both the emissions of NO x and particulate.

3.3.2.5 the interface between the engine electronic control unit (EECU) and any other powertrain or vehicle electrical or electronic system (e.g. the transmission control unit (TECU)) for electrical disconnection.

3.3.3 Manufacturers may demonstrate to the approval authority that certain components or systems need not be monitored if, in the event of their total failure or removal, emissions do not exceed the applicable thresholds limits for OBD Stage 2 given in the table in Article 4(3) of this Directive when measured over the cycles shown in section 1.1 of Appendix 1 to this Annex. This provision shall not apply to an exhaust gas recirculation (EGR) device, a deNO x system, a particulate filter or a combined deNO x -particulate filter system.

3.4. Stage 1 and Stage 2 requirements

In satisfying both the Stage 1 or Stage 2 requirements the OBD system must monitor:

3.4.1.1. the fuel-injection system electronic, fuel quantity and timing actuator(s) for circuit continuity (i.e. open circuit or short circuit) and total functional failure.

3.4.1.2. all other engine or exhaust aftertreatment emission-related components or systems, which are connected to a computer, the failure of which would result in tailpipe emissions exceeding the OBD threshold limits given in the table in Article 4(3) of this Directive. At a minimum, examples include the exhaust gas recirculation (EGR) system, systems or components for monitoring and control of air mass-flow, air volumetric flow (and temperature), boost pressure and inlet manifold pressure (and relevant sensors to enable these functions to be carried out), sensors and actuators of a deNO x system, sensors and actuators of an electronically activated active particulate filter.

3.4.1.3. any other emission-related engine or exhaust aftertreatment component or system connected to an electronic control unit must be monitored for electrical disconnection unless otherwise monitored.

3.4.1.4. In the case of engines equipped with an aftertreatment system using a consumable reagent, the OBD system must monitor for:

— lack of any required reagent

— the quality of the required reagent being within the specifications declared by the manufacturer in Annex II to Directive 2005/55/EC

— reagent consumption and dosing activity

according to section 6.5.4 of Annex I to Directive 2005/55/EC.

3.5. OBD operation and temporary disablement of certain OBD monitoring capabilities

The OBD system must be so designed, constructed and installed in a vehicle as to enable it to comply with the requirements of this Annex during the conditions of use defined in section 6.1.5.4 of Annex I to Directive 2005/55/EC.

Outside these normal operating conditions the emission control system may show some degradation in OBD system performance such that the thresholds given in the table in Article 4(3) of this Directive may be exceeded before the OBD system signals a failure to the driver of the vehicle.

The OBD system must not be disabled unless one or more of the following conditions for disablement are met:

3.5.1.1. The affected OBD monitoring systems may be disabled if its ability to monitor is affected by low fuel levels. For this reason, disablement is permitted when the fuel tank level falls below 20 % of the nominal capacity of the fuel tank.

3.5.1.2. The affected OBD monitoring systems may be temporarily disabled during the operation of an auxiliary emission control strategy as described in section 6.1.5.1 of Annex I to Directive 2005/55/EC.

3.5.1.3. The affected OBD monitoring systems may be temporarily disabled when operational safety or limp-home strategies are activated.

3.5.1.4. For vehicles designed to accommodate the installation of power take-off units, disablement of affected OBD monitoring systems is permitted provided disablement takes place only when the power take-off unit is active and the vehicle is not being driven.

3.5.1.5. The affected OBD monitoring systems may be disabled temporarily during the periodic regeneration of an emission control system downstream of the engine (i.e. a particulate filter, deNO x system or combined deNO x -particulate filter).

3.5.1.6. The affected OBD monitoring systems may be disabled temporarily outside the conditions of use defined in section 6.1.5.4 of Annex I to Directive 2005/55/EC when this disablement can be justified by a limitation of the OBD monitoring (including modelling) capability.

3.5.2. The OBD monitoring system is not required to evaluate components during malfunction if such evaluation would result in a risk to safety or component failure.

3.6. Activation of malfunction indicator (MI)

3.6.1. The OBD system must incorporate a malfunction indicator readily visible to the vehicle operator. Except in the case of section 3.6.2 of this Annex, the MI (e.g. symbol or lamp) must not be used for any purpose other than emission related malfunction except to indicate emergency start-up or limp-home routines to the driver. Safety related messages can be given the highest priority. The MI must be visible in all reasonable lighting conditions. When activated, it must display a symbol in conformity with ISO 2575 ¹ (as a dashboard telltale lamp or a symbol on a dashboard display). A vehicle must not be equipped with more than one general purpose MI for emission-related problems. Displaying separate specific information is permitted (e.g. such as information dealing with brake system, fasten seat belt, oil pressure, servicing requirements, or indicating the lack of necessary reagent for the deNO x system). The use of red for the MI is prohibited.

3.6.2. The MI may be used to indicate to the driver that an urgent service task needs to be carried out. Such an indication may also be accompanied by an appropriate message on a dashboard display that an urgent servicing requirement needs to be carried out.

3.6.3. For strategies requiring more than a preconditioning cycle for MI activation, the manufacturer must provide data and/or an engineering evaluation which adequately demonstrates that the monitoring system is equally effective and timely in detecting component deterioration. Strategies requiring on average more than ten OBD or emission test cycles for MI activation are not accepted.

3.6.4. The MI must also activate whenever the engine control enters a permanent emission default mode of operation. The MI must also activate if the OBD system is unable to fulfil the basic monitoring requirements specified in this Directive.

3.6.5. Where reference is made to this section, the MI must be activated and, in addition, a distinct warning mode should also be activated, e.g. flashing MI or activation of a symbol in conformity with ISO 2575 ² in addition to MI activation.

3.6.6. The MI must activate when the vehicle’s ignition is in the ‘key-on’ position before engine starting or cranking and de-activate within 10 seconds after engine starting if no malfunction has previously been detected.

3.7. Fault code storage

The OBD system must record fault code(s) indicating the status of the emission-control system. A fault code must be stored for any detected and verified malfunction causing MI activation and must identify the malfunctioning system or component as uniquely as possible. A separate code should be stored indicating the expected MI activation status (e.g. MI commanded ‘ON’, MI commanded ‘OFF’).

Separate status codes must be used to identify correctly functioning emission control systems and those emission control systems that need further engine operation to be fully evaluated. If the MI is activated due to malfunction or permanent emission default modes of operation, a fault code must be stored that identifies the likely area of malfunction. A fault code must also be stored in the cases referred to in sections 3.4.1.1 and 3.4.1.3 of this Annex.

3.7.1. If monitoring has been disabled for 10 driving cycles due to the continued operation of the vehicle under conditions conforming to those specified in section 3.5.1.2 of this Annex, readiness for the subject monitoring system may be set to ‘ready’ status without monitoring having been completed.

3.7.2. The hours run by the engine while the MI is activated must be available upon request at any instant through the serial port on the standard link connector, according to the specifications given in section 6.8 of this Annex.

3.8. Extinguishing the MI

3.8.1. The MI may be de-activated after three subsequent sequential operating sequences or 24 engine running hours during which the monitoring system responsible for activating the MI ceases to detect the malfunction and if no other malfunction has been identified that would independently activate the MI.

3.8.2. In the case of MI activation due to lack of reagent for the deNO x system, or combined deNO x -particulate after-treatment device or use of a reagent outside the specifications declared by the manufacturer, the MI may be switched back to the previous state of activation after filling or replacement of the storage medium with a reagent having the correct specifications.

3.8.3. In the case of MI activation due to incorrect reagent consumption and dosing activity, the MI may be switched back to the previous state of activation if the conditions given in section 6.5.4 of Annex I to Directive 2005/55/EC no longer apply.

3.9. Erasing a fault code

3.9.1. The OBD system may erase a fault code and the hours run by the engine and freeze-frame information if the same fault is not re-registered in at least 40 engine warm-up cycles or 100 engine running hours, whichever occurs first, with the exception of the cases referred to in section 3.9.2.

3.9.2. From 1 October 2006 for new type approvals and from 1 October 2007 for all registrations, in the case of a fault code being generated according to sections 6.5.3 or 6.5.4 of Annex I to Directive 2005/55/EC, the OBD system shall retain a record of the fault code and the hours run by the engine during the MI activation for at least 400 days or 9 600 hours of engine operation.

Any such fault code and the corresponding hours run by the engine during MI activation shall not be erased through use of any external diagnostic or other tool as referred to in section 6.8.3 of this Annex.

4. REQUIREMENTS RELATING TO THE TYPE-APPROVAL OF OBD SYSTEMS

For the purpose of type-approval, the OBD system shall be tested according to the procedures given in Appendix 1 to this Annex.

An engine representative of its engine family (see section 8 of Annex I to Directive 2005/55/EC) shall be used for the OBD demonstration tests or the test report of the parent OBD system of the OBD engine family will be provided to the type-approval authority as an alternative to carrying out the OBD demonstration test.

In the case of OBD stage 1 referred to in section 3.2, the OBD system must:

4.1.1.1. indicate the failure of an emission-related component or system when that failure results in an increase in emissions above the OBD thresholds given in the table in Article 4(3) of this Directive, or;

4.1.1.2. where appropriate, indicate any major functional failure of an exhaust aftertreatment system.

4.1.2. In the case of OBD stage 2 referred to in section 3.3, the OBD system must indicate the failure of an emission-related component or system when that failure results in an increase in emissions above the OBD thresholds given in the table in Article 4(3) of this Directive.

4.1.3. In the case of both OBD 1 and OBD 2, the OBD system must indicate the lack of any required reagent necessary for the operation of an exhaust aftertreatment system.

4.2. Installation requirements

4.2.1. The installation on the vehicle of an engine equipped with an OBD system shall comply with the following provisions of this Annex with respect to the vehicle equipment:

— the provisions of sections 3.6.1, 3.6.2 and 3.6.5 concerning the MI and, where appropriate, additional warning modes;

— when applicable, the provisions of section 6.8.3.1 concerning the use of an on-board diagnostic facility;

— the provisions of section 6.8.6 concerning the connection interface.

4.3. Type-approval of an OBD system containing deficiencies

4.3.1. A manufacturer may request to the authority that an OBD system be accepted for type-approval even though the system contains one or more deficiencies such that the specific requirements of this Annex are not fully met.

4.3.2. In considering the request, the authority shall determine whether compliance with the requirements of this Annex is feasible or unreasonable.

The authority shall take into consideration data from the manufacturer that details such factors as, but not limited to, technical feasibility, lead time and production cycles including phase-in or phase-out of engines designs and programmed upgrades of computers, the extend to which the resultant OBD system will be effective in complying with the requirements of this directive and that the manufacturer has demonstrated an acceptable level of effort toward the requirements of the Directive.

4.3.3. The authority will not accept any deficiency request that includes the complete lack of a required diagnostic monitor.

4.3.4. The authority shall not accept any deficiency request that does not respect the OBD threshold limits given in the table in Article 4(3) of this Directive.

4.3.5. In determining the identified order of deficiencies, deficiencies relating to OBD Stage 1 in respect of sections 3.2.2.1, 3.2.2.2, 3.2.2.3, 3.2.2.4 and 3.4.1.1 and OBD Stage 2 in respect of sections 3.3.2.1, 3.3.2.2, 3.3.2.3, 3.3.2.4 and 3.4.1.1 of this Annex shall be identified first.

4.3.6. Prior to or at the time of type-approval, no deficiency shall be granted in respect of the requirements of section 3.2.3 and section 6, except sub-section 6.8.5 of this Annex.

4.3.7. Deficiency period

4.3.7.1. A deficiency may be carried-over for a period of two years after the date of type-approval of the engine type or vehicle in respect of its engine type, unless it can be adequately demonstrated that substantial engine modifications and additional lead-time beyond two years would be necessary to correct the deficiency. In such a case, the deficiency may be carried-out for a period not exceeding three years.

4.3.7.2. A manufacturer may request that the original type-approval authority grant a deficiency retrospectively when such a deficiency is discovered after the original type-approval. In this case, the deficiency may be carried-over for a period of two years after the date of notification to the type-approval authority unless it can be adequately demonstrated that substantial engine modifications and additional lead-time beyond two years would be necessary to correct the deficiency. In such a case, the deficiency may be carried-out for a period not exceeding three years.

4.3.7.3. The authority shall notify its decision in granting a deficiency request to all authorities in other Member States according to the requirements of Article 4 to Directive 70/156/EEC.

5. ACCESS TO OBD INFORMATION

5.1. Replacement parts, diagnostic tools and test equipment

5.1.1. Applications for type-approval or amendment of a type-approval according to either Article 3 or Article 5 of Directive 70/156/EEC shall be accompanied by the relevant information concerning the OBD system. This relevant information shall enable manufacturers of replacement or retrofit components to make the parts they manufacture compatible with the OBD system with a view to fault-free operation assuring the vehicle user against malfunctions. Similarly, such relevant information shall enable the manufacturers of diagnostic tools and test equipment to make tools and equipment that provide for effective and accurate diagnosis of emission control systems.

Upon request, the type-approval authorities shall make Appendix 2 to the EC type approval certificate containing the relevant information on the OBD system available to any interested components, diagnostic tools or test equipment manufacturer on a non-discriminatory basis.

5.1.2.1. In the case of replacement or service components, information can only be requested for such components that are subject to EC type-approval, or for components that form part of a system that is subject to EC type-approval.

5.1.2.2. The request for information must identify the exact specification of the engine model type/engine model type within an engine family for which the information is required. It must confirm that the information is required for the development of replacement or retrofit parts or components or diagnostic tools or test equipment.

5.2. Repair information

5.2.1. No later than three months after the manufacturer has provided any authorised dealer or repair shop within the Community with repair information, the manufacturer shall make that information (including all subsequent amendments and supplements) available upon reasonable and non-discriminatory payment.

5.2.2. The manufacturer must also make accessible, where appropriate upon payment the technical information required for the repair or maintenance of motor vehicles unless that information is covered by an intellectual property right or constitutes essential, secret know-how which is identified in an appropriate form; in such case, the necessary technical information must not be withheld improperly.

Entitled to such information is any person engaged in commercially servicing or repairing, road-side rescuing, inspecting or testing of vehicles or in manufacturing or selling replacement or retro-fit components, diagnostic tools and test equipment.

5.2.3. In the event of failure to comply with these provisions the approval authority shall take appropriate measures to ensure that repair information is available, in accordance with the procedures laid down for type-approval and in-service surveys.

6. DIAGNOSTIC SIGNALS

6.1. Upon determination of the first malfunction of any component or system, ‘freeze-frame’ engine conditions present at the time must be stored in computer memory. Stored engine conditions must include, but are not limited to calculated load value, engine speed, coolant temperature, intake manifold pressure (if available), and the fault code which caused the data to be stored. For freeze-frame storage, the manufacturer must choose the most appropriate set of conditions facilitating effective repairs.

6.2. Only one frame of data is required. Manufacturers may choose to store additional frames provided that at least the required frame can be read by a generic scan tool meeting the specifications of sections 6.8.3 and 6.8.4. If the fault code causing the conditions to be stored is erased in accordance with section 3.9 of this Annex, the stored engine conditions may also be erased.

6.3. If available, the following signals in addition to the required freeze-frame information must be made available on demand through the serial port on the standardised data link connector, if the information is available to the on-board computer or can be determined using information available to the on-board computer: diagnostic trouble codes, engine coolant temperature, injection timing, intake air temperature, manifold air pressure, air flow rate, engine speed, pedal position sensor output value, calculated load value, vehicle speed and fuel pressure.

The signals must be provided in standard units based on the specifications given in section 6.8. Actual signals must be clearly identified separately from default value or limp-home signals.

6.4. For all emission control systems for which specific on-board evaluation tests are conducted, separate status codes, or readiness codes, must be stored in computer memory to identify correctly functioning emission control systems and those emission control systems which require further vehicle operation to complete a proper diagnostic evaluation. A readiness code need not be stored for those monitors that can be considered continuously operating monitors. Readiness codes should never be set to ‘not ready’ status upon ‘key-on’ or ‘key-off’. The intentional setting of readiness codes to ‘not ready’ status via service procedures must apply to all such codes, rather than applying to individual codes.

6.5. The OBD requirements to which the vehicle is certified (i.e. stage 1 OBD or stage 2 OBD) and the major emission control systems monitored by the OBD system consistent with section 6.8.4 must be available through the serial data port on the standardised data link connector according to the specifications given in section 6.8.

6.6. The software calibration identification number as declared in Annexes II and VI to Directive 2005/55/EC shall be made available through the serial port of the standardised diagnostic connector. The software calibration identification number shall be provided in a standardised format.

6.7. The vehicle identification number (VIN) number shall be made available through the serial port of the standardised diagnostic connector. The VIN number shall be provided in a standardised format.

The emission control diagnostic system must provide for standardised or unrestricted access and conform to either ISO 15765 or SAE J1939, as specified in the following sections ³ .

6.8.1. The use of either ISO 15765 or SAE J1939 shall be consistent throughout sections 6.8.2 to 6.8.5.

6.8.2. The on-board to off-board communications link must conform to ISO 15765-4 or to the similar clauses within the SAE J1939 series of standards.

Test equipment and diagnostic tools needed to communicate with OBD systems must meet or exceed the functional specification given in ISO 15031-4 or SAE J1939-73 section 5.2.2.1.

6.8.3.1. The use of an on-board diagnostic facility such as a dashboard mounted video display device for enabling access to OBD information is permitted but this is in addition to enabling access to OBD information by means of the standard diagnostic connector.

6.8.4. Diagnostic data, (as specified in this section) and bi-directional control information must be provided using the format and units described in ISO 15031-5 or SAE J1939-73 section 5.2.2.1 and must be available using a diagnostic tool meeting the requirements of ISO 15031-4 or SAE J1939-73 section 5.2.2.1.

The manufacturer shall provide a national standardisation body with emission-related diagnostic data, e.g. PID’s, OBD monitor Id’s, Test Id’s not specified in ISO 15031-5 but related to this Directive.

6.8.5. When a fault is registered, the manufacturer must identify the fault using the most appropriate fault code consistent with those given in Section 6.3 of ISO 15031-6 relating to emission-related system diagnostic trouble codes. If such identification is not possible, the manufacturer may use diagnostic trouble codes according to Sections 5.3 and 5.6 of ISO 15031-6. The fault codes must be fully accessible by standardised diagnostic equipment complying with the provisions of section 6.8.3 of this Annex.

The manufacturer shall provide a national standardisation body with emission-related diagnostic data, e.g. PID’s, OBD monitor Id’s, Test Id’s not specified in ISO 15031-5 but related to this Directive.

As an alternative, the manufacturer may identify the fault using the most appropriate fault code consistent with those given in SAE J2012 or in SAE J1939-73.

6.8.6. The connection interface between the vehicle and the diagnostic tester must be standardised and must meet all the requirements of ISO 15031-3 or SAE J1939-13.

In the case of category N2, N3, M2, and M3 vehicles, as an alternative to the connector location described in the above standards and provided all other requirements of ISO 15031-3 are met, the connector may be located in a suitable position by the side of the driver’s seat, including on the floor of the cabin. In this case the connector should be accessible by a person standing outside the vehicle and not restrict access to the driver’s seat.

The installation position must be subject to agreement of the approval authority such that it is readily accessible by service personnel but protected from accidental damage during normal conditions of use.

¹ Symbol numbers F01 or F22.

² Symbol number F24.

³ The use of the future ISO single protocol standard developed in the framework of the UN/ECE for a world-wide global technical regulation on heavy-duty OBD will be considered by the Commission in a proposal to replace the use of the SAE J1939 and ISO 15765 series of standards to satisfy the appropriate requirements of section 6 as soon as the ISO single protocol standard has reached the DIS stage.

1. INTRODUCTION

This Appendix describes the procedure for checking the function of the on board diagnostic (OBD) system installed on the engine by failure simulation of relevant emission-related systems in the engine management or emission control system. It also sets procedures for determining the durability of OBD systems.

1.1. Deteriorated components/systems

In order to demonstrate the efficient monitoring of an emission control system or component, the failure of which may result in tailpipe emissions exceeding the appropriate OBD threshold limits, the manufacturer must make available the deteriorated components and/or electrical devices which would be used to simulate failures.

Such deteriorated components or devices must not cause emissions to exceed the OBD threshold limits referred to in the table in Article 4(3) of this Directive by more than 20 %.

In the case of type-approval of an OBD system according to Article 4(1) of this Directive, the emissions shall be measured over the ESC test cycle (see Appendix 1 to Annex III to Directive 2005/55/EC). In the case of type-approval of an OBD system according to Article 4(2) of this Directive, the emissions shall be measured over the ETC test cycle (see Appendix 2 to Annex III to Directive 2005/55/EC).

1.1.1. If it is determined that the installation of a deteriorated component or device on an engine means that a comparison with the OBD threshold limits is not possible (e.g. because the statistical conditions for validating the ETC test cycle are not met), the failure of that component or device may be considered as qualified upon the agreement of the type-approval authority based on technical argumentation provided by the manufacturer.

1.1.2. In the case that the installation of a deteriorated component or device on an engine means that the full load curve (as determined with a correctly operating engine) cannot (even partially) be attained during the test, the deteriorated component or device is considered as qualified upon the agreement of the type-approval authority based on technical argumentation provided by the manufacturer.

1.1.3. The use of deteriorated components or devices that cause engine emissions to exceed the OBD threshold limits referred to in the table in Article 4(3) of this Directive by no more than 20 % may not be required in some very specific cases (for example, if a limp home strategy is activated, if the engine cannot run any test, or in case of EGR sticking valves, etc). This exception shall be documented by the manufacturer. It is subject to the agreement of the technical service.

1.2. Test principle

When the engine is tested with the deteriorated component or device fitted, the OBD system is approved if the MI is activated. The OBD system is also approved if the MI is activated below the OBD threshold limits.

The use of deteriorated components or devices that cause the engine emissions to exceed the OBD threshold limits referred to in the table in Article 4(3) of this Directive by no more than 20 % are not required in the specific case of the failure modes described in sections 6.3.1.6 and 6.3.1.7 of this Appendix and also with respect to monitoring for major functional failure.

1.2.1. The use of deteriorated components or devices that cause engine emissions to exceed the OBD threshold limits referred to in the table in Article 4(3) of this Directive by no more than 20 % may not be required in some very specific cases (for example, if a limp home strategy is activated, if the engine cannot run any test, or in case of EGR sticking valves, etc). This exception shall be documented by the manufacturer. It is subject to the agreement of the technical service.

2. DESCRIPTION OF TEST

The testing of OBD systems consists of the following phases:

— simulating the malfunction of a component of the engine management or emission control system as described in section 1.1 of this Appendix

— preconditioning of the OBD system with a simulated malfunction over the preconditioning cycle specified in section 6.2

— operating the engine with a simulated malfunction over the OBD test cycle referred to in section 6.1

— determining whether the OBD system reacts to the simulated malfunction and indicates malfunction in an appropriate manner.

2.1.1. Should the performance (e.g. power curve) of the engine be affected by the malfunction, the OBD test-cycle remains the shortened version of the ESC test-cycle used for the assessing the exhaust emissions of the engine without that malfunction.

2.2. Alternatively, at the request of the manufacturer, malfunction of one or more components may be electronically simulated according to the requirements of section 6.

2.3. Manufacturers may request that monitoring take place outside the OBD test cycle referred to in section 6.1 if it can be demonstrated to the authority that monitoring during conditions encountered during this OBD test cycle would impose restrictive monitoring conditions when the vehicle is used in service.

3. TEST ENGINE AND FUEL

3.1. Engine

The test engine shall comply with the specifications laid down in Appendix 1 of Annex II to Directive 2005/55/EC.

3.2. Fuel

The appropriate reference fuel as described in Annex IV to Directive 2005/55/EC must be used for testing.

4. TEST CONDITIONS

The test conditions must satisfy the requirements of the emission test described in the present directive.

5. TEST EQUIPMENT

The engine dynamometer must meet the requirements of Annex III to Directive 2005/55/EC.

6. OBD TEST CYCLE

6.1. The OBD test cycle is a single shortened ESC test cycle. The individual modes shall be performed in the same order as the ESC test cycle, as defined in section 2.7.1 of Appendix 1 to Annex III to Directive 2005/55/EC.

The engine must be operated for a maximum of 60 seconds in each mode, completing engine speed and load changes in the first 20 seconds. The specified speed shall be held to within ± 50 rpm and the specified torque shall be held to within ± 2 % of the maximum torque at each speed.

Exhaust emissions are not required to be measured during the OBD test cycle.

6.2. Preconditioning cycle

6.2.1. After introduction of one of the failure modes given in section 6.3, the engine and its OBD system shall be preconditioned by performing a preconditioning cycle.

6.2.2. At the request of the manufacturer and with the agreement of the type-approval authority, an alternative number of a maximum of nine consecutive OBD test cycles may be used.

6.3. OBD system test

6.3.1. Diesel engines and vehicles equipped with a diesel engine

6.3.1.1. After preconditioning according to section 6.2, the test engine is operated over the OBD test cycle described in section 6.1 of this Appendix. The MI must activate before the end of this test under any of the conditions given in 6.3.1.2 to 6.3.1.7. The technical service may substitute those conditions by others in accordance with section 6.3.1.7. For the purposes of type-approval, the total number of failures subject to testing, in the case of different systems or components, must not exceed four.

If the test is being carried out to type-approve an OBD-engine family consisting of engines that do not belong to the same engine family, the type approval authority will increase the number of failures subject to testing up to a maximum of four times the number of engine families present in the OBD-engine family. The type-approval authority may decide to curtail the test at any time before this maximum number of failure tests has been reached.

6.3.1.2. Where fitted in a separate housing that may or may not be part of a deNO x system or diesel particulate filter, replacement of any catalyst with a deteriorated or defective catalyst or electronic simulation of such a failure.

6.3.1.3. Where fitted, replacement of a deNO x system (including any sensors that are an integral part of the system) with a deteriorated or defective deNO x system or electronic simulation of a deteriorated or defective deNO x system that results in emissions exceeding the OBD NO x threshold limit referred to in the table given in Article 4(3) of this Directive.

In the case that the engine is being type-approved according to Article 4(1) of this Directive in relation to monitoring for major functional failure, the test of the deNO x system shall determine that the MI illuminates under any of the following conditions:

— complete removal of the system or replacement of the system by a bogus system

— lack of any required reagent for a deNO x system

— any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a deNO x system, including, when applicable, the reagent heating system

— failure of a reagent dosing system (e.g. missing air supply, clogged nozzle, dosing pump failure) of a deNO x system

— major breakdown of the system.

6.3.1.4. Where fitted, total removal of the particulate filter or replacement of the particulate filter with a defective particulate filter that results in emissions exceeding the OBD particulate threshold limit given in the table in Article 4(3) of this Directive.

In the case that the engine is being type-approved according to Article 4(1) of this Directive in relation to monitoring for major functional failure, the test of the particulate filter shall determine that the MI illuminates under any of the following conditions:

— complete removal of the particulate filter or replacement of the system by a bogus system

— major melting of the particulate filter substrate

— major cracking of the particulate filter substrate

— any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a particulate filter

— failure, when applicable, of the reagent dosing system (e.g. clogged nozzle, dosing pump failure) of a particulate filter

— a clogged particulate filter resulting in a differential pressure out of the range declared by the manufacturer.

6.3.1.5. Where fitted, replacement of a combined deNO x -particulate filter system (including any sensors that are an integral part of the device) with a deteriorated or defective system or electronic simulation of a deteriorated or defective system that results in emissions exceeding the OBD NO x and particulate threshold limits given in the table in Article 4(3) of this Directive.

In the case that the engine is being type-approved according to Article 4(1) of this Directive in relation to monitoring for major functional failure, the test of the combined deNO x -particulate filter system shall determine that the MI illuminates under any of the following conditions:

— complete removal of the system or replacement of the system by a bogus system

— lack of any required reagent for a combined deNO x -particulate filter system

— any electrical failure of a component (e.g. sensors and actuators, dosing control unit) of a combined deNO x -particulate filter system, including, when applicable, the reagent heating system

— failure of a reagent dosing system (e.g. missing air supply, clogged nozzle, dosing pump failure) of a combined deNO x -particulate filter system

— major breakdown of a NO x trap system

— major melting of the particulate filter substrate

— major cracking of the particulate filter substrate

— a clogged particulate filter resulting in a differential pressure out of the range declared by the manufacturer.

6.3.1.6. Disconnection of any fuelling system electronic fuel quantity and timing actuator that results in emissions exceeding any of the OBD thresholds referred to in the table given in Article 4(3) of this Directive.

6.3.1.7. Disconnection of any other emission-related engine component connected to a computer that results in emissions exceeding any of the thresholds referred to in the table given in Article 4(3) of this Directive.

6.3.1.8. In demonstrating compliance with the requirements of 6.3.1.6 and 6.3.1.7 and with the agreement of the approval authority, the manufacturer may take appropriate steps to demonstrate that the OBD system will indicate a fault when disconnection occurs.

2. Example for the third approval (with, as yet, no extension) corresponding to application date B1 with OBD stage I, issued by the United Kingdom: e112004/…2005/…B000300

According to table I, section 6 of Annex I to Directive 2005/55/EC.

According to Art. 4, gas engines are excluded from OBD stage I.

According to Art. 6.5 of Annex I to Directive 2005/55/EC.

Footnotes

1. Symbol numbers F01 or F22. ↩ ↩² ↩³ ↩⁴ ↩⁵ ↩⁶ ↩⁷ ↩⁸

2. Symbol number F24. ↩ ↩² ↩³ ↩⁴ ↩⁵ ↩⁶

3. The use of the future ISO single protocol standard developed in the framework of the UN/ECE for a world-wide global technical regulation on heavy-duty OBD will be considered by the Commission in a proposal to replace the use of the SAE J1939 and ISO 15765 series of standards to satisfy the appropriate requirements of section 6 as soon as the ISO single protocol standard has reached the DIS stage. ↩ ↩² ↩³ ↩⁴ ↩⁵ ↩⁶

4. Even though oxidation stability is controlled, it is likely that shelf life will be limited. Advice should be sought from the supplier as to storage conditions and life.’ ↩ ↩²

5. This method may not accurately determine the presence of corrosive materials if the sample contains corrosion inhibitors or other chemicals which diminish the corrosivity of the sample to the copper strip. Therefore, the addition of such compounds for the sole purpose of biasing the test method is prohibited. ↩ ↩²

6. This method may not accurately determine the presence of corrosive materials if the sample contains corrosion inhibitors or other chemicals which diminish the corrosivity of the sample to the copper strip. Therefore, the addition of such compounds for the sole purpose of biasing the test method is prohibited.’ ↩

7. Delete what is not applicable. ↩