ACT:

(1) Article 9 is amended as follows:

Point 1 …..

Points 3 to 6 are amended as follows:

"3. In-service conformity shall be checked on properly maintained and used vehicles between 15 000 km or 6 months whichever is the later and 100 000 km or 5 years whichever is the sooner. The requirements for ISC testing according to … continue till 5 years after the last registration of vehicles of that typeISC family…

4. The manufacturer and type approval authority shall not be obliged to carry out in-service conformity testing if the number of vehicles sold makes it difficult to obtain sufficient samples to test. Therefore, in-service conformity testing shall not be required if the annual sales of that ISC family, as defined in point 3 of Annex II to this Regulation, are less than 5 000 across the Community.

However, the manufacturer of such small series vehicles, as defined in the paragraph above, shall provide the approval authority with a report of any emissions related warranty, and repair claims, and OBD faults as set out in point 4.1 of Annex II to this Regulation. In addition, the type-approval authority and/or third parties may select such vehicle types to be tested in accordance to Annex II to this Regulation.

5. With regard to vehicles type-approved under this Regulation, where the approval authority has reached the conclusion that the vehicle ISC family has failed the provisions of in service conformity as described in Annex II of this Regulation, the investigations remedial measuresand/or remedial measures referred to in Article 30(1) and in Annex X to Directive 2007/46/EC shall may be extended to vehicles in service belonging to similar other vehicle ISC families which are likely to be affected with the same defects.

The plan of remedial measures presented by the manufacturer according to section xxx of Annex II to this Regulation shall be approved by the approval authority. The manufacturer shall be responsible for the execution of the approved remedial plan.

The approval authority shall notify its decision to all Member States within 30 days. Member States shall require that the same plan of remedial measures be applied to all vehicles of the same type ISC family registered in their territory.";

6. Third parties are required to inform either their national approval authority or the Member Statetype approval authority which granted the emissions original type- approval of the results of any ISC testing done according to the requirements of Annex II to this Regulation, providing all information required under Annex II, point xxxx.n.

If an approval authority has established that a vehicle ISC type family does not conform to the applicable requirements of in-service conformity, it shall notify without delay the Member Statetype approval authority which granted the emissions original type- approval in accordance with the requirements of Article 30(3) of Directive 2007/46/EC.

Following that notification and subject to the provision of Article 30(6) of Directive 2007/46/EC, the approval authority which granted the original type-approval shall inform the manufacturer that a vehicle type ISC family fails to satisfy the requirements of these provisions and that the procedures described in point xxx of Annex II to this regulation shall be followed.

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If the approval authority which granted the original type-approval establishes that no agreement can be reached, the procedure pursuant to Article 30(3) and (4) of Directive 2007/46/EC shall be initiated.".

Points 7 and 8 are added:

"7. Vehicles submitted to multi-stage type approval, as defined in Article 3(7) of Directive 2007/46/EC shall be checked for in service conformity under the rules described in Appendix 2 of Annex II to this Regulation.

8. Wheelchair accessible vehicles, as defined in Appendix 3, of Annex XI, of Directive 2007/46/EC are exempt from the provisions of checking their in service conformity. All other special purpose vehicles as defined in the same Annex XI, of Directive 2007/46/EC, shall be checked for in service conformity under the rules for multistage approvals described in Appendix 2 of Annex II to this Regulation ";

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ANNEX II

ANNEX II of Regulation (EU) 2017/1151 is replaced by the following:

"ANNEX II:

IN-SERVICE CONFORMITY

1. Introduction

This Annex sets out the in-service conformity (ISC) requirements for checking compliance against the emission limits for tailpipe, evaporative and cold start emissions and OBD (including IUPRM) throughout the normal life of the vehicle, as defined in Article 4.2 of Regulation (EC) 715/2007, i.e. up to five years or 100 000 km, whichever is sooner.

2. Process description and Responsibilities

2.1. Process Description

The process for ISC is illustrated in Figure II.1. It contains a series of elements. It starts with gathering information on possible non-compliance from a variety of sources and assessing the risk of a family to not comply, based on the initial information (Part A). A decision is then taken on which families to test under the ISC provisions. The ISC testing proceeds and a conclusion is taken whether a family fails the ISC testing or not (Part B). For families that fail, a detailed investigation commences (Part C) then, which may lead to the need to take remedial measures (Part D) in order to bring the family in conformity. A yearly reporting (Part E) ends the procedure.

Figure II.1: ISC process

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E. Reporting

D. Remedial Measures

C. Detailed Investigations

B. ISC Testing

A. Information Gathering& Risk Assessment

2.2. Actors and responsibilities

The actors in the in-service conformity are of two types:

Type A: The manufacturer (OEM), the Granting Type Approval Authority (i.e. the Authority of the Member State that granted the emissions type approval, GTAA). These actors are formally recognised in Directive 2007/46/EC. Any consequences for the type approval, or remedial measures are agreed between the OEM and the GTAA.

Type B: Third parties (TP) with an interest in assuring that vehicles perform according to the ISC requirements include but are not limited to other Type Approvalnational aAuthorities (TAAs, or other authorities), environmental or consumer associations (NGOs), cities, regions (REGs) or the Commission (EC). Type B actors may provide information and testing in support to the in-service conformity but they cannot take any actions against a type approval or suggest/agree on remedial measures. Some of these actors (TAAs and EC) have a specific role defined in Article 30 of Directive 2007/46/EC in cases of disagreement.

The main responsibilities are illustrated in Table II.1. below and explained briefly below. Full explanations of each element is provided in point 5 below.

Table II.1

ISC Elements Main Responsibility Additional Input

A. Information Gathering& Risk Assessment

GTAA Manufacturer, 3rd parties (i.e. other MS, EC, NGOs )Type B actors

B. ISC Testing GTAA through accredited labs and/or Manufacturer1

3rd partiesType B actors through accredited labs

C. Detailed Investigations GTAA+ Manufacturer

D. Remedial Measures GTAA+ Manufacturer

E. Reporting GTAA

PART A: Information Gathering and Risk Assessment: the GTAA is responsible for gathering information which can be useful in deciding which ISC families to test in a particular year. Similar information may be gathered by third parties and supplied to the GTAA. The OEM is required to provide information gathered during the previous year to the GTAA according to point 4.1 below.

PART B: ISC Testing: The OEM is required to perform ISC testing for tailpipe emissions comprising at least the Type 1 test for all ISC families, but may perform other types of tests , such as RDE, Type 6 and 4 tests for all or part of the ISC

1 The Manufacturer is only responsible for performing Type 1 tests for all ISC families,

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families. The GTAA shall select and test through an accredited lab an appropriate number of ISC families each year. Third parties may select and test through an accredited lab any number of ISC families each year.

All results of the ISC testing from the manufacturer, GTAA or third parties, shall be reported appropriately and will result in an ISC sample fail or pass.

PART C: Detailed Investigations and PART D: Remedial Measures: In case of an ISC sample fail, detailed investigations take place between the OEM and the GTAA in order to decide whether the ISC family (or part of it) is in need for remedial measures. In case remedial measures are needed, then an agreement is reached on the exact form of the remedial measures.

PART E: Reporting: The GTAA is responsible forshall makeing publicly available at latest by the 31st March of each year, a report with the results of all the finalised ISC of the previous year. The GTAA may publish the results of the finalised ISC procedures during any time in the year.

3. ISC family definition

The ISC family is defined according to the type of emissions tested: a) for tailpipe emissions (i.e. for Type 1, RDE and Type 6 testing) is the PEMS test family, as defined in Appendix 7 of Annex IIIa, b) for evaporative emissions contains the parent vehicle and includes vehicles approved according to the extensions described in paragraph 3.2 of Annex I. For OBD the ISC family is defined as the OBD family described in Appendix 2 of Annex XI.

[4.] F Frequency of required testing

Only tThe Type 1 in-service emissions conformity tests performed by the manufacturer shall be continuously carried out for all ISC familiesreflecting the production cycle of applicable vehicles types within a given in-service vehicle family. The maximum time period between commencing two in-service conformity checks for a certain ISC family shall not exceed 24 months. In the case of vehicle types covered by an extension to the type-approval that did not require an emissions test, this period may be extended up to 24 months.

The frequency of ISC testing performed by the GTAA shall be based on a risk assessment methodology consistent with the international standard ISO 31000:2009 — Risk Management — Principles and guidelines and for Type 1 and RDE testing shall have a minimum frequency of 5% of the relevant ISC families per manufacturer per year. The GTAA will aim for the widest possible coverage of ISC families, taking into account the results of the risk assessment. The GTAA shall complete the statistical procedure for each ISC family for which the statistical procedure was opened by the GTAA within 12 months.

All other types of tests relevant for ISC may be performed. Third parties may select to perform any number of ISC families and types of test. OEMs may select to perform any number of ISC families for other types of test, than Type 1. If they cannot finalise the statistics for a particular ISC family within 12 months then the statistics will close according to point xx.

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4.[5.] Main Elements of ISC

The main elements are briefly described in the Process description in paragraph 2.1 above, but are detailed in points xxx to xxx below.

4.1.[5.1.] Information gathering and risk assessment

The GTAA shall take into account all relevant information that would indicate families with high emissions in real life, in order to guide ISC testing. All type-approval authorities and market surveillance authorities of Member States shall contribute to the best of their abilities to creating and collecting such data through the use of appropriate methods, such as remote sensing, simplified on-board emissions monitoring systems (SEMS), testing with PEMS, etc. Information available from other sources, such as testing of third parties, shall also be taken into account where available.

As part of the information provided for the in-service conformity control, each manufacturer shall report yearly to the type-approval authority on warranty claims, warranty repair works and OBD faults recorded at servicing, according to a format agreed at type-approval. The information shall detail the frequency and substance of faults for emissions-related components and systems. The reports shall be filed at least once a year for each vehicle ISC model family for the duration of the period defined in Article 9(4) of this Regulation.

4.2.[5.2.] ISC testing

4.2.1.[5.2.1.] Quality of testing

In order to provide assurances for the quality of testing all laboratories, excluding the ones owned by manufacturers, which undertake testing for ISC shall be accredited for all relevant types of tests according to EN ISO/IEC 17025:2005. All relevant guidance documents, notes and replies to questions published by the Commission make shall be an integral part of the accreditation procedure.

All inspection bodies involved in the ISC process, apart from type approval authorities, shall be accredited according to EN ISO/IEC 17020:2012 for the ISC procedure as this is described in this Annex. This applies also to laboratories used for testing by GTAA or third parties, when they are the ones responsible for selecting the vehicles to be tested.

The GTAA may shall request proof of appropriate accreditation from each testing laboratory before they accept their testing as part of the ISC. In case such proof is not provided within 15 working days from the laboratory, the GTAA may shall remove the results of this laboratory from the ISC result pool.

All participants to the ISC shall sign a non-disclosure agreement in accordance with Appendix 5, in order to safeguard the results of the testing until the conclusion of all the steps (Parts B to E) in the procedure. The GTAA shall however communicate the results of Part C and D for a particular ISC family to those third parties which provided results for that family as soon as available, even before the yearly publication of the report (Part CE). After the publication of the report by the GTAA of the finalised ISC processes the non-disclosure agreement is no longer valid and the third parties may publish the results of their testing including the detailed data for all vehicles tested making reference to the GTAA report.

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At this point, the non-disclosure agreement is no longer valid and the third parties may publish the results of their testing.

4.2.2.[5.2.2.] Types of tests

ISC testing shall be performed only on vehicles selected in accordance with the requirements of Appendix 1. The following tests are relevant when testing ISC: Type 1 test according to Annex XXI, RDE tests performed according to Annex IIIA, Type 4 according to Annex VI, Type 6 performed according to Annex VIII and OBD (including IUPRM) according to Annex XI of this Regulation. Test results shall not be multiplied by deterioration factors.

For vehicles that have a value of RDEmax declared in the Certificate of Conformity lower than the NTE emission limits…EURO 6 emission limits, the conformity shall be checked both against the RDEmax and the EURO 6 emission limitsNTE value. If the sample is found to fail with the RDEmax check, but pass with the NTE valueEURO 6 emission limits, then the RDEmax values will need to be corrected in all Certificate of Conformities of affected vehicles, but no other remedial plan will be requested from the manufacturer. If the sample fails with the NTE valueEURO 6 emission limits then the next steps are taken as with any ISC failed families.

Emission tests in accordance with Annex III are performed on pre-conditioned vehicles selected in accordance with the requirements of Sections 2 and 3 of this Appendix. This test shall only include the measurement of particle number emissions for vehicles approved to the Euro 6 emission standards in categories W, X and Y as defined in Table 1 of Appendix 6 to Annex I. Pre-conditioning cycles additional to those specified in points 5.3 of Annex 4 to UN/ECE Regulation No 83 will only be allowed if they are representative of normal driving.

4.2. Vehicles equipped with an OBD system may be checked for proper in-service functionality, of the malfunction indication, etc., in relation to levels of emissions (e.g. the malfunction indication limits defined in Annex XI) for the type-approved specifications.

4.3. The OBD system may be checked, for example, for levels of emissions above the applicable limit values with no malfunction indication, systematic erroneous activation of the malfunction indication and identified faulty or deteriorated components in the OBD system.

4.2.3.[5.2.3.] Testing plan

The testing plan for RDE testing performed by the GTAA shall include testing performed in order to cover as wide as possible conditions in compliance with Annex IIIA (i.e. temperature, positive cumulative altitude gain, accelerations, loading, etc.).

4.2.4.[5.2.4.] SELECTION OF VEHICLES FOR IN-SERVICE CONFORMITY

The information gathered by the tester shall be sufficiently comprehensive to ensure that in-service performance can be assessed for vehicles that were used under normal conditions. The table in Appendix 1 shall be used to collect all relevant information and decide whether the vehicle is acceptable, non-acceptable or faulty for the purposes of ISC. Some of the information, such as the OBD values may be collected following testing on the understanding that if the OBD might still make the vehicle

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non-acceptable even after the testing. The same vehicle may be used to perform and report more than one type of tests, i.e. Type 1, RDE, Type 6, etc, but only the first valid test of each kind shall be taken into account for the statistical procedure. Faulty vehicles shall not be tested for ISC but may make part of the decision for going ahead with detailed investigations.

4.2.4.1. General requirements:

The vehicle shall belong to a vehicle type that is type-approved under this Regulation and covered by a certificate of conformity in accordance with Directive 2007/46/EC. For checking of IUPRM, the vehicle shall be approved to the OBD standards Euro 5+, Euro 6-2- or laterplus IUPR or later. It shall be registered and have been used in the Union. The emissions testing may be done at an accredited test facility which is located in a different region from where the vehicles have been selected.

3.2.2. The vehicle shall have been in service for at least 15 000 km or 6 months, whichever the later, and for no more than 100 000 km or 5 years, whichever the sooner.

[5.2.4.1.] For emission testing only vehicles fulfilling the criteria below and in compliance with the table in Appendix I shall be selected:

There shall be a maintenance record to show that the vehicle has been properly maintained (e.g. has been serviced in accordance with the manufacturer’s recommendations).

The vehicle shall exhibit no indications of abuse (e. g. racing, overloading, mis-fuelling, or other misuse), or other factors (e. g. tampering) that could affect its performance. The fault code and mileage information stored in the computer shall be taken into account.

A vehicle shall not be considered valid for testing if the information stored in the computer shows that the vehicle has operated after a fault code was stored and a relatively prompt repair was not carried out.

There shall have been no unauthorised major repair to the engine or major repair of the vehicle.

The lead content and sulphur content of a fuel sample from the vehicle tank shall meet the applicable standards laid down in Directive 98/70/EC of the European Parliament and of the Council and there shall be no evidence of mis-fuelling.

There shall be no indication of any problem that might jeopardise the safety of laboratory personnel.

All anti-pollution system components on the vehicle shall be in conformity with the applicable vehicle type-approval. If such components or other components affecting the emissions, including engine parts, wiring, etc. are found to be damaged , the vehicle is declared FAULTY for the purposes of the ISC and excluded from testing .

The emissions testing may be done at a test facility which is located in a different region from where the vehicles have been selected.

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4.2.4.2.[5.2.4.2.] For OBD IUPRM testing only vehicles fulfilling the criteria below shall be selected:

(a) have collected sufficient vehicle operation data for the monitor to be tested.

For monitors required to meet the in-use monitor performance ratio and to track and report ratio data pursuant to point 3.6.1 of Appendix 1 to Annex XI, sufficient vehicle operation data shall mean the denominator meets the criteria set forth below. The denominator, as defined in points 3.3 and 3.5 of Appendix 1 to Annex XI, for the monitor to be tested must have a value equal to or greater than one of the following values:

(i) 75 for evaporative system monitors, secondary air system monitors, and monitors utilising a denominator incremented in accordance with point 3.3.2 points (a), (b) or (c) of Appendix 1 to Annex XI (e.g. cold start monitors, air conditioning system monitors, etc.); or

(ii) 25 for particulate filter monitors and oxidation catalyst monitors utilising a denominator incremented in accordance with point 3.3.2(d) of Appendix 1 to Annex XI; or

(iii) 150 for catalyst, oxygen sensor, EGR, VVT, and all other component monitors;

(b) have not been tampered with or equipped with add-on or modified parts that would cause the OBD system not to comply with the requirements of Annex XI.

For IUPR, the number of sample lots to be taken is described in the table in point xxx and is based on the number of vehicles of an OBD family that are approved with IUPR (subject to sampling).

For the first sampling period of an OBD family, all of the vehicle types in the family that are approved with IUPR shall be considered to be subject to sampling. For subsequent sampling periods, only vehicle types which have not been previously tested or are covered by emissions approvals that have been extended since the previous sampling period shall be considered to be subject to sampling.

4.4. If a component or system operates in a manner not covered by the particulars in the type-approval certificate and/or information package for such vehicle types and such deviation has not been authorised under Article 13(1) or (2) of Directive 2007/46/EC, with no malfunction indication by the OBD, the component or system shall not be replaced prior to emission testing, unless it is determined that the component or system has been tampered with or abused in such a manner that the OBD does not detect the resulting malfunction.

3.2. In selecting the Member States for sampling vehicles, the manufacturer may select vehicles from a Member State that is considered to be particularly representative. In this case, the manufacturer shall demonstrate to the approval authority which granted the type approval that the selection is representative (e.g. by the market having the largest annual sales of a vehicle family within the Union).

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4.2.4.3. Vehicle Examination and Maintenance

Diagnosis and any normal maintenance necessary shall be performed on vehicles accepted for testing, prior to proceeding with ISC testing.

The following checks shall be carried out: checks on air filter, all drive belts, all fluid levels, radiator cap, all vacuum hoses and electrical wiring related to the antipollution system for integrity; checks on ignition, fuel metering and pollution control device components for maladjustments and/or tampering. All faults shall be recorded.

The OBD system shall be checked for proper functioning. Any malfunction indications in the OBD memory shall be recorded and the requisite repairs shall be carried out. If the OBD malfunction indicator registers a malfunction during a preconditioning cycle, the fault may be identified and repaired. The test may be rerun and the results of that repaired vehicle used.

The ignition system shall be checked and defective components replaced, for example spark plugs, cables, etc.

The compression shall be checked. If the result is unsatisfactory the vehicle shall be rejected.

The engine parameters shall be checked to the manufacturer’s specifications and adjusted if necessary.

If the vehicle is within 800 km of a scheduled maintenance service, that service shall be performed according to the manufacturer’s instructions. Regardless of odometer reading, the oil and air filter may be changed at the request of the manufacturer.

Upon acceptance of the vehicle, the fuel may be replaced with appropriate emission test reference fuel, unless the manufacturer accepts the use of market fuel.

3.3. The emissions testing may be done at a test facility which is located in a different region from where the vehicles have been selected.

4.2.5.[5.2.5.] Sample size

3.5.1. When applying the statistical procedure defined in Appendix 2point xx for tailpipe emissions or IUPR, the number of sample lots shall depend on the annual sales volume of an in-service family in the Union, as defined in the following table:

EU Registrations

– per calendar year (for tailpipe emission tests),

– of vehicles of an OBD family with IUPR in the sampling period

Number of sample lots

up to 100000 1

100001 to 200000 2

above 200000 3

Each sample lot shall adequately represent the sales pattern, i.e. at least high volume vehicle types (≥ 20 % of the family total) shall be represented. When a family

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requires more than one sample lot to be tested as defined in point 3.5, the vehicles in the second and third sample lots shall reflect different vehicle operating use conditions (such as fuel quality, ambient conditions, average road speeds, and urban/highway driving split) from those selected for the first sample.

3.5.2. For IUPR, the number of sample lots to be taken is described in the table in point xxx and is based on the number of vehicles of an OBD family that are approved with IUPR (subject to sampling).

4.3.[5.3.] Use of Electronic Exchange Platform for results sharing???

??? Access of OEMs to data of testing from GTAA or third parties?

4.4.[5.4.] Statistical Procedure

4.4.1.[5.4.1.] General

The verification of in-service conformity relies on a statistical method following the general principles of sequential sampling for inspection by attributes. The minimum sample size for a pass result is three vehicles, and the maximum cumulative sample size is ten vehicles for Type 1 and RDE tests.

Each actor, i.e. OEM, GTAA and third parties (or pools of parties) will have a separate ISC statistical procedure. Prior to the performance of the first test, the manufacturer or third party shall notify the intent of performing in-service conformity testing of a given vehicle family to the granting type approval authority using the appropriate information systems. Upon this notification, the granting type approval authority shall open a new instance of the statistical procedure for each relevant combination of vehicle family, emissions test type and pollutant for that particular actor/or pool of actors, i.e. one statistical instance for: "family X for the manufacturer, type 1, NOx" and another statistical instance for family X for a pool of third parties, type 1, NOx, a third one for family X for a pool of third parties, Type 1 and PN, etc.

Following the opening of each statistical procedure, the granting type approval authority shall only incorporate the results of the relevant actor in it, keep a record of the number of tests performed, the number of failed and passed tests and other necessary data to support the statistical procedure. Each instance of the statistical procedure shall remain open until an outcome is reached according to point xxx.

If an outcome is not reached within twelve months after the opening of an instance of the statistical procedure, the GTAA may decide to finish those statistics within 6 months. Otherwise it that statistical instance shall be closed. with a ‘pass’ outcome according to point xx.

4.4.2.[5.4.2.] Pooling of ISC results

Pooling of test results from more than a single party is allowed under the following rules.

A: Pools of parties will be created byThe pooling of test results shall require the written consent from all the parties providing test results to a pool. The creation of a

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pool shall be communicated to the type approval authorities and the manufacturers before any ISC testing takes place. Each party shall only adhere to only one pool at any point of time and shall rescind participation to one pool before entering another. Each party may report its own results to the GTAA declaring its adherence to a particular pool to the granting type approval authority. Each test shall be reported only once and all tests (valid, not valid, fail or pass, etc.) shall be reported.

B: Pools of parties will be created by written consent from all parties before any ISC testing takes place. The creation of a pool shall be communicated to GTAA. Each party may report its own results to the GTAA declaring its adherence to a particular pool to the granting type approval authority. Each test shall be reported only once and all tests (valid, not valid, fail or pass, etc.) shall be reported.

4.4.3.[5.4.3.] Pass/Fail/Invalid decision for a single test

For a given combination of vehicle family, emissions test type and pollutant, three possible outcomes are defined for each emissions test performed.

An emissions test shall be considered as 'passed' for one or more pollutants when the emissions result is equal or below the appropriate emissions level for this type of test. Each passed test result shall increase the ‘passed results count’ p by one for that statistical instance.

An emissions test shall be considered as 'failed' for one or more pollutants when the emissions result is greater than the appropriate emissions level for this type of test. Each failed test result shall increase the ‘failed results count’ f by one for that statistical instance.

An emissions test shall be considered as 'invalid' for a particular pollutant/test type if it does not meet all the validity criteria laid out for its performance (e.g., if the test is performed outside the permissible boundary conditions, or if the measurement instruments malfunction during the test). Invalid test results are automatically excluded from the statistical procedure. However, the emissions results of invalid tests shall be recorded and reported separately to the granting type approval authority, including a description of the cause(s) leading to the invalidity of the test.

Upon submission by the interested party, the granting type approval authority shall incorporate valid emission test results to the relevant open instances of the statistical procedure until a ‘fail’ or a ‘pass’ outcome is reached according to point 13.

The submission of results to the granting type approval authority shall be accompanied by a comprehensive test report and be finalised within five ten working days from the execution of the test.

The results shall be incorporated in the sample in chronological order of execution.

4.4.4.[5.4.4.] Treatment of Outliers

The presence of outlying results in the sample statistical procedure may lead to a ‘fail’ outcome according to the procedures described below:

Outlying results are categorised as ‘intermediate’ or ‘extreme’.

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An ‘intermediate outlier’ is an emissions test result equal or greater than 1.3 times the relevant emissions level. The presence of two such outliers in a sample leads to a fail of the sample.

An ‘extreme outlier’ is an emissions result is equal or greater than 2.5 times the emissions level subject to in-service conformity testing. The presence of one such outlier in a sample leads to a fail of the sample2.

4.4.5.[5.4.5.] Pass/Fail decision for a sample

Upon the incorporation of a valid emission test results to an open instance of the statistical procedure, the granting type approval authority shall:

update the cumulative sample size n for that instance to reflect the total number of valid emissions tests incorporated to the statistical procedure;

following an evaluation of the results, update the passed result count p and the failed result count f according to point 9;

Compute the number of extreme and intermediate outliers check whether an outcome is reached upon application of the criteria laid out in

point 13.

The outcome of the verification of in-service conformity of vehicle emissions depends on the cumulative sample size n, the passed and failed result counts p and f, as well as the number of intermediate and/or extreme outliers. Two possible outcomes are defined for an instance of the statistical procedure for a given combination of vehicle family, emissions test type and pollutant:

‘Sample pass’ outcome shall be reached when, for a given cumulative sample size n, the passed result count p is greater or equal than the number given in the corresponding row of the second column of Table App1.

‘Sample fail’ outcome shall be reached when, for a given cumulative sample size n, when at least one of the following conditions is fulfilled:

the failed result count f is greater or equal than the number given in the corresponding row of the third column of Table App1

there exist two intermediate outliers

one extreme outlier count.

If no outcome is reached, i.e. the statistical procedure cannot arrive to a pass or fail for the sample, the instance of the statistical procedure shall remain open, and further results should be incorporated to it until an outcome is reached or the procedure is closed according to point 4.3.1.

Table App1

Decision table for statistical procedure

2 In case of fail because of extreme outlier the plate number shall be communicated to the OEM and GTAA.

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Cumulative sample size (n)

Passed result count(p)

Failed result count (f)

1 - -2 - -3 3 34 3 35 4 46 5 57 5 58 6 69 6 6

10 5 6

Add pass fail graph…

4.5.[5.5.] Detailed Investigations

[5.5.1.] On the basis of the results of the testing and application of the statistical procedure described in point 4.4, combined with the information on provided by the OEM on warranties, faults etc, or Failed FAULTY vehicles according to the vehicle selection procedure described in Appendix 1, the approval authority shall adopt one of the following decisions and actions within 10 days from the end:

(a) decide that the in-service conformity of that vehicle in-service family is satisfactory and not take any further action;

(b) decide that the data indicate a possible issue for the in-service conformity of that vehicle ISC family and proceed with detailed investigations with the manufacturer.

[5.5.2.] The detailed investigation shall start at the moment of the decision by the GTAA and not take more than 45 60 working days and shall include, where appropriate, further testing designed to verify why vehicles have failed during the original testing under similar conditions as the original failed tests, especially in the case of RDE. The manufacturer might provide additional information to the type approval authority, showing in particular the possible cause of the failures, which part of the family might be affected, whether other similar families might be affected or otherwise prove why there is no problem with the in-service conformity.

4.5.1.[5.5.3.] If the manufacturer claims that there is no problem with the in-service conformity, the type approval authority shall evaluate and approve the claim. If the type approval authority does not approve the claim of the manufacturer that there is no problem to be fixed, then the type approval authority may take appropriate measures according to Article 30 of Directive 2007/46/EC.

[5.5.4.] At maximum at the end of the 45 60 working days, the notification of a failed or not ISC for that particular family is shall be given to the manufacturer.

4.6.[5.6.] Remedial Measures

4.6.1.[5.6.1.] When the manufacturer and type approval authority agree that there should be remedial action, the manufacturer shall develop a plan for remedial measures and submit it to the type approval authority within 45 working days from the notification of a failed ISC, according to point 5.5.4 above.

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[5.6.2.] The GTAA shall within 30 15 working days declare its approval or disapproval of the plan of remedial measures. However, where the manufacturer can demonstrate, to the satisfaction of the GTAA that further time is required to investigate the non-compliance in order to submit a plan of remedial measures, an extension of up to another 30 days shall be granted.

4.6.2.[5.6.3.] The remedial measures shall apply to all vehicles in the ISC family that are likely to be affected by the same defect. The need to amend the type-approval documents shall be assessed.

4.6.3. The manufacturer shall provide a report to the GTAA assessing if there are other ISC families that are likely to be affected by the same defect. The GTAA shall approve the report, and decide if further investigations are needed or the remedial measures shall apply also to the other ISC families.

4.6.4.[5.6.4.] The manufacturer shall provide a copy of all communications with the customers of affected vehicles related to the plan of remedial measures, and shall also maintain a record of the recall campaign, and supply status reports every two months to the GTAA and the TAAs of each Member State.

4.6.5.[5.6.5.] The plan of remedial measures shall include the requirements specified below. The manufacturer shall assign a unique identifying name or number to the plan of remedial measures.

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

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

A description of the method by which the manufacturer informs the vehicle owners.

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

A description of the procedure to be followed by vehicle owners to obtain correction of the non-conformity. This description shall include a date after which the remedial measures shall be taken, the estimated time for the workshop to perform the repairs and where they can be done. The repair shall be done expediently, within a reasonable time after delivery of the vehicle.

A copy of the information transmitted to the vehicle owner.

A brief description of the system which the manufacturer uses to assure an adequate supply of component or systems for fulfilling the remedial action. It shall be indicated when there will be an adequate supply of components or systems to initiate the campaign.

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

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

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

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

4.6.6.[5.6.6.] The manufacturer may be required to conduct reasonably designed and necessary tests on components and vehicles incorporating a proposed change, repair, or modification to demonstrate the effectiveness and durability of the change, repair, or modification.

4.6.7.[5.6.7.] The manufacturer is responsible for keeping a record of every vehicle recalled and repaired and the workshop which performed the repair. The type-approval authorities shall have access to the record on request for a period of 5 years from the implementation of the plan of remedial measures.

4.6.8.[5.6.8.] The repair and modification or addition of new equipment shall be recorded in a certificate supplied by the manufacturer to the vehicle owner.

4.7.[5.7.] Reporting

According to point 2.2 each GTAA shall making publicly available in its website at the latest by the 31st March of each year, a report with the results of the ISC of the previous year. The GTAA may publish results of some ISC procedures earlier. The report shall contain at least the items described in Appendix 4.

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Appendix 1

Vehicle Selection Criteria

Selection of Vehicles for In Service Conformity Emissions Testing

ConfidentialDate: xName of investigator: xLocation of test: xCountry of registration (in EU only): x

x Exclusio

n Criteria /F

Faulty Vehicle

Info needed

Vehicle Characteristics

Registration plate number: x xMileage: The vehicle must have between 15,000 km and 100,000 km, otherwise it cannot be selected.

x

Date of first registration:The vehicle must be between 6 months and 5 years old, otherwise it cannot be selected.

x

VIN: xEmission class and character: x

Country of registration: x if not in the EU x

Model: xEngine code: xEngine volume (L): xEngine power (kW): xGearbox type (auto/manual): xDrive axle (FWD/AWD/RWD): xTire size (front and rear if different): x

Is the vehicle involved in a recall or service campaign?If yes: Which one? Has the campaing already been done?

x if the repair

was not done

x

Vehicle Owner Interview

Name of the owner (only available to the accredited lab) x

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Contact (address / telephone) (only available to the accredited lab) x

Are you the first owner of the vehicle? x

Did the odometer not work for a long time?If yes, the vehicle cannot be selected.

x because not sure

of the mileage

Was your vehicle used for one of the following?

As presentation car? x

As a taxi? x

As delivery vehicle? x

For racing / motor sports? x

As a rental car? xHas the vehicle carried heavy loads over the specifications of the manufacturer?If yes, the vehicle cannot be selected.

xx

Have there been major engine or vehicle repairs? xHave there been unauthorised major engine or vehicle repairs? x

Has there been a power increase/tuning?If yes, the vehicle cannot be selected. x

Was any part of the emissions after-treatment system replaced? Were original parts used? If not exclude.

x (if not original

parts were used x

Was any part of the emissions after-treatment system removed? x

Have you installed any unauthorised devices (Urea killer, emulator, etc) x

Was the vehicle involved in a serious accident? Provide a list of damage and repairs done afterwards xHave you used the car with a wrong fuel type (i.e. gasoline instead of diesel) in the past? Have you used non-commercially available EU-quality fuel (black market, specifically blended fuel?)If yes, the vehicle cannot be selected.

x

Where do you use your vehicle more often?

% motorway x% rural x

% urban xDid you use the vehicle in a non EU country? xHas the vehicle been maintained according to the manufacturer's recommendations?If no, the vehicle cannot be selected.

x

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Full service and repair history including any re-worksIf the full documentation cannot be provided, the vehicle cannot be selected.

x

Vehicle Examination and Maintenance

1 Fuel tank level (full / empty)Is the fuel reserve light ON? If yes, refuel before test. x

2 Are there any warning light activated on the instrument panel? (Malfunction Indication Light, AdBlue, etc.). x

2 Are the SCR and MIL lights on after key-on?  F x

3

Visual inspection exhaust systemCheck leaks between exhaust manifold and catalytic converter. Check and document (pictures)If there is damage or leaks, the vehicle is declared faulty.

F

4

Exhaust gas relevant componentsCheck and document (pictures) all emissions relevant components for damage.If there is damage, the vehicle is declared faulty.

F

5 Fuel sample Collect fuel sample from the fuel tank. x

6Air filter and oil filterCheck for contamination and damage and change if damaged or heavily contaminated or less than 800 km before the next reccomended change.

x

8Wheels (front & rear)Check whether the wheels are freely moveable or blocked by the brake. If not, the vehicle cannot be selected.

x

9 Drive belts & cooler coverIn case of damage, the vehicle is declared faulty. Document with photos F

10

Check fluid levelsCheck the max. and min. levels (engine oil, cooling liquid) / top up if below minimum

x

11

Vacuum hoses and electrical wiringCheck all for integrity. In case of damage, the vehicle is declared faulty. Document with photos

F

12

Injection valves / cablingCheck all cables and fuel lines. In case of damage, the vehicle is declared faulty. Document with photos

F

13

Ignition cable (gasoline)Check spark plugs, cables, etc. In case of damage, replace them. x

14

EGR & Catalyst, Particle FilterCheck all cables, wires and sensors. In case of tampering, the vehicle cannot be selected. In case of damage the vehicle is declared Faulty, Document with photos

x/F

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15

Safety conditionCheck tires, vehicle’s body, electrical and braking system status are in safe conditions for the test and respect road traffic rules. If not, the vehicle cannot be selected.

x

16

Semi-trailerAre there electric cables for semi-trailer connection, where required? x

17

Aerodynamic modifications Verify no aftermarket aerodynamics modification was made (roof boxes, load racking, spoilers, etc.) and no standard aerodynamics components are missing (front deflectors, diffusers, splitters, etc.). Removable parts maybe removed prior to testing. If yes, the vehicle cannot be selected. Document with photos.

x

18

Check if less than 800 km away from next scheduled service, if yes, then perform the service. x

All checks requiring OBD connections to ber performed before and/or after the end of testing to avoid detection

19 Powertrain Control Module calibration part number and checksum x

21

OBD diagnosis (after the emissions test)Read Diagnostic Trouble Codes & Print error log x

22

OBD Service Mode 09 QueryRead Service Mode 09. Print the information. x

OBD mode 7 ???

Remarks for: Repair / replacement of components / part numbers

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Appendix 2

ISC for vehicles with multi-stage approvals (MSV) and special purpose vehicles (SPV)

The OEM shall define the allowed values for the parameters listed in Table 2.b. If the final vehicle remains within these values for all parameters, then a second-stage manufacturer may be allowed to use the original emission type approval.

Table 2.b: Allowed Parameter Values for multistage and special purpose vehicles to use the original type approval.

Parameter Values for: Allowed values from - to:

Final Vehicle mass (in kg)

Frontal area for final vehicle (in cm2)

Rolling resistance

Cross-sectional area of air entrance of the front grille (in cm2)

Furthermore, the second stage manufacturer shall not change the exhaust after-treatment system of the base vehicle. Under these conditions any MSV and SPV would be able to be in the same ISC family as the OEM ones.

If a multi-stage vehicle is tested in an RDE test and the result of the RDE test is below the not-to-exceed (NTE) limits then the vehicle passes. The test would then be a valid part of the ISC for that ISC family.

If the result of the RDE test on a MSV exceeds the NTE limits but not higher than 1.3 times the NTE limits then it has to be examined whether the multi-stage vehicle is compliant with the list of OEM or not. If it is not, then the emission type approval is void for the MSV and the type approval authority needs then to take action against the body builder. If it is compliant with the list of OEM the test is still considered as a FLAG for the in-service conformity family, because the Table 2.a is not exhaustive and it cannot be guaranteed that other modifications did not cause an unforeseen change.

This clause will be kept under regular review in order to make sure that the sales of MSV remain at current levels and do not increase disproportionately.

If the result of the RDE test exceeds 1.3 times the NTE limits then it has to be examined whether the multi-stage vehicle is compliant with the list of OEM or not. If it is not, then the emission type approval is void for the MSV and the type approval authority needs then to take action against the body builder. If it is compliant with the Table 2.a, then it is counted as a fail for the entire PEMS family, but not as an outlier. It shall be considered however as an outlier for that particular MSV production, i.e. if it is above 2.5 or twice about 1.3, it leads to an investigation of that MSV production line.

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Appendix 3: Reporting Requirements

An audit of in-service conformity may be conducted by the GTAA on the basis of information supplied by the tester. Such information shall include in particular, the following:

2.5.1. the name and address of the manufacturer;

2.5.2. the name, address, telephone and fax numbers and e-mail address of his authorised representative within the areas covered by the manufacturer’s informationthe responsible of the testing laboratory;

2.5.3. the model name(s) of the vehicles included in the manufacturer’s informationtest plan;

2.5.4. where appropriate, the list of vehicle types covered within the manufacturer’s information, i.e. for tailpipe emissions, the in-service family group in accordance with point 2.4, and for OBD and IUPRM, the OBD family in accordance with Appendix 2 to Annex XI;

2.5.5. the vehicle identification number (VIN) codes applicable to these vehicle types within the family (VIN prefix);

2.5.6. the numbers of the type-approvals applicable to these vehicle types within the family, including, where applicable, the numbers of all extensions and field fixes/recalls (re-works);

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

2.5.8. the period of time over which the manufacturer’s information was collected;

2.5.9. the vehicle build period covered within the manufacturer’s information (e.g. vehicles manufactured during the 20107 calendar year);

2.5.10. the manufacturer’s in-service conformity checking procedure, including:

(i) vehicle location method;

(ii) vehicle selection and rejection criteria;

(iii) test types and procedures used for the programme;

(iv) the manufacturer’s acceptance/rejection criteria for the family group;

(v) geographical area(s) within which the manufacturer has collected information;

(vi) sample size and sampling plan used;

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

(i) identification of the vehicles included in the programme (whether tested or not). The identification shall include the Table in Appendix 1.

following:

– model name,

[*] vehicle identification number (VIN),

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[*] vehicle registration number,

[*] date of manufacture,

[*] region of use (where known),

[*] tyres fitted (tailpipe emissions only);

(ii) the reason(s) for rejecting a vehicle from the sample;

(iii) service history for each vehicle in the sample (including any re-works);

(iv) repair history for each vehicle in the sample (where known);

(v) test data, including the following:

[*] date of test/download,

[*] location of test/download,

[*] distance indicated on vehicle odometer;

(vi) test data for tailpipe emissions only:

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

* test conditions (temperature, humidity, dynamometer inertia weight),

* dynamometer settings (e.g. power setting),

[*] test results (from at least three different vehicles per family);

(vii) test data for IUPRM only:

* all required data downloaded from the vehicle,

* For each monitor to be reported the in-use-performance ratio IUPRM;

2.5.12. records of indication from the OBD system;

2.5.13. for IUPRM sampling, the following:

* The average of in-use-performance ratios IUPRM of all selected vehicles for each monitor according to points 3.1.4 and 3.1.5 of Appendix 1 to Annex XI,

* The percentage of selected vehicles, which have an IUPRM greater or equal to the minimum value applicable to the monitor according to points 3.1.4 and 3.1.5 of Appendix 1 to Annex XI.

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Appendix 4: Format of Annual ISC Report by the GTAA

TITLE:

Quick overview and main conclusions

ISC Activities performed by the manufacturer in the previous year:

B. ISC testing

ISC Activities performed by third in the previous year:

B. ISC testing

ISC Activities performed by the GTAA in the previous year:

A. Information gathering and risk assessment

B. ISC Testing

C. Detailed Investigations

D. Remedial Measures

E. Reporting

ISC Activities performed by the manufacturer in the previous year:

B. ISC testing

Quick assessment of emissions decrease due to any ISC remedial measures for a period of 5 years

Lessons Learned, Instrument Failures and report of other invalid tests and Plans for next year

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Appendix 5: Model Non Disclosure Agreement

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To be added under the statistical part or in the detailed investigation?

6.1.2. For IUPRM of a particular monitor M the following statistical conditions are met in a test sample, the size of which is determined according to point 3.5 of this Annex:

(a) For vehicles certified to a ratio of 0,1 in accordance with point 3.1.5 of Appendix 1 to Annex XI, the data collected from the vehicles indicate for at least one monitor M in the test sample either that the test sample average in-use-performance ratio is less than 0,1 or that 66 % or more of the vehicles in the test sample have an in-use monitor performance ratio of less than 0,1.

(b) For vehicles certified to the full ratios in accordance with point 3.1.4 of Appendix 1 to Annex XI, the data collected from the vehicles indicate for at least one monitor M in the test sample either that the test sample average in-use performance ratio in the test sample is less than the value Testmin(M) or that 66 % or more of the vehicles in the test sample have an in-use performance ratio of less than Testmin(M).

The value of Testmin(M) shall be:

(i) 0,230 if the monitor M is required to have an in-use ratio of 0,26;

(ii) 0,460 if the monitor M is required to have an in-use ratio of 0,52;

(iii) 0,297 if the monitor M is required to have an in-use ratio of 0,336;

according to point 3.1.4 of Appendix 1 to Annex XI.

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