{
  "url": "https://openlegislation.uk/eu-regulation-2017-1151/annex-I/appendix-3a",
  "json_url": "https://openlegislation.uk/eu-regulation-2017-1151/annex-I/appendix-3a.json",
  "legislation": "eur/2017/1151",
  "legislation_title": "Commission Regulation (EU) 2017/1151 of 1 June 2017 supplementing Regulation (EC) No 715/2007 of the European Parliament and of the Council on type-approval of motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on access to vehicle repair and maintenance information, amending Directive 2007/46/EC of the European Parliament and of the Council, Commission Regulation (EC) No 692/2008 and Commission Regulation (EU) No 1230/2012 and repealing Commission Regulation (EC) No 692/2008 (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2017-1151",
  "path": "annex/I/appendix/3a",
  "kind": "appendix",
  "number": "3a",
  "heading": "Extended Documentation Package",
  "text": "The extended documentation package shall include the following information on all AES:\n(a)a declaration of the manufacturer that the vehicle does not contain any defeat device not covered by one of the exceptions in Article 5(2) of Regulation (EC) No 715/2007;\n(b)a description of the engine and the emission control strategies and devices employed, whether software or hardware, and any condition(s) under which the strategies and devices will not operate as they do during testing for TA;\n(c)a declaration of the software versions used to control these AES/BES, including the appropriate checksums of these software versions and instructions to the authority on how to read the checksums; the declaration shall be updated and sent to the Type Approval Authority that holds this extended documentation package each time there is a new software version that has an impact to the AES/BES;\n(d)detailed technical reasoning of any AES including a risk assessment estimating the risk with the AES and without it, and information on the following:\n(i)why any of the exception clauses from the defeat device prohibition in Article 5(2) of Regulation (EC) No 715/2007 apply;\n(ii)hardware element(s) that need to be protected by the AES, where applicable;\n(iii)proof of sudden and irreparable engine damage that cannot be prevented by regular maintenance and would occur in the absence of the AES, where applicable;\n(iv)a reasoned explanation on why there is a need to use an AES upon engine start, where applicable;\n(e)a description of the fuel system control logic, timing strategies and switch points during all modes of operation;\n(f)a description of the hierarchical relations among the AES (i.e., when more than one AES can be active concurrently, an indication of which AES is primary in responding, the method by which strategies interact, including data flow diagrams and decision logic and how does the hierarchy assure emissions from all AES are controlled to the lowest practical level;\n(g)a list of parameters which are measured and/or calculated by the AES, along with the purpose of every parameter measured and/or calculated and how each of those parameters relates to engine damage; including the method of calculation and how well these calculated parameters correlate with the true state of the parameter being controlled and any resulting tolerance or factor of safety incorporated into the analysis;\n(h)a list of engine/emission control parameters which are modulated as a function of the measured or calculated parameter(s) and the range of modulation for each engine/emission control parameter; along with the relationship between engine/emission control parameters and measured or calculated parameters;\n(i)an evaluation of how the AES will control real-driving emissions to the lowest practical level, including a detailed analysis of the expected increase of total regulated pollutants and CO 2 emissions by using the AES, compared to the BES.\nThe extended documentation package shall be limited to 100 pages and shall include all the main elements to allow the type approval authority to assess the AES. The package may be complemented with annexes and other attached documents, containing additional and complementary elements, if necessary. The manufacturer shall send a new version of the extended documentation package to the type approval authority every time changes are introduced to the AES. The new version shall be limited to the changes and their effect. The new version of the AES shall be evaluated and approved by the type approval authority.\nThe extended documentation package shall be structured as follows:\nExtended Documentation Package for AES Application No. YYY/OEM in accordance with Regulation (EU) 2017/1151\nParts\nParagraph\nPoint\nExplanation\nIntroduction documents\nIntroduction letter to TAA\nReference of the document with the version, the date of issuing the document, signature by the relevant person in the manufacturer organisation\nVersioning table\nContent of each version modifications: and with part is modified\nDescription of the (emission) types concerned\nAttached documents table\nList of all attached documents\nCross references\nlink to paragraph (a) to (i) of Appendix 3a (where to find each requirement of the regulation)\nAbsence of defeat device declaration\n+ signature\nCore document\n0\nAcronyms/abbreviations\n1\nGENERAL DESCRIPTION\n1.1\nEngine general presentation\nDescription of main characteristics: displacement, after treatment,…\n1.2\nGeneral system architecture\nSystem bloc diagram: list of sensors and actuators, explanation of engine general functions\n1.3\nReading of software and calibration version\nE.g. scan-tool explanation\n2\nBase Emission Strategies\n2.x\nBES x\nDescription of strategy x\n2.y\nBES y\nDescription of strategy y\n3\nAuxiliary Emission Strategies\n3.0\nPresentation of the AESs\nHierarchical relations among AES: description and justification (e.g. safety, reliability, etc.)\n3.x\nAES x\n3.x.1\nAES justification\n3.x.2\nmeasured and/or modelled parameters for AES characterization\n3.x.3\nAction mode of AES - Parameters used\n3.x.4\nEffect of AES on pollutants and CO 2\n3.y\nAES y\n3.y.1\n3.y.2\netc.\n100 page limit ends here\nAnnex\nList of types covered by this BES-AES: including TA reference, software reference, calibration number, checksums of each version and of each CU (engine and/or after-treatment if any)\nAttached documents\nTechnical note for AES justification n ° xxx\nRisk assessment or justification by testing or example of sudden damage, if any\nTechnical note for AES justification n ° yyy\nTest report for specific AES impact quantification\ntest report of all specific tests done for AES justification, test conditions details, description of the vehicle / date of the tests emission/CO 2 impact with/without AES activation",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "F",
      "label": "F1",
      "text": "Inserted by Commission Regulation (EU) 2017/1154 of 7 June 2017 amending Regulation (EU) 2017/1151 supplementing Regulation (EC) No 715/2007 of the European Parliament and of the Council on type-approval of motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on access to vehicle repair and maintenance information, amending Directive 2007/46/EC of the European Parliament and of the Council, Commission Regulation (EC) No 692/2008 and Commission Regulation (EU) No 1230/2012 and repealing Regulation (EC) No 692/2008 and Directive 2007/46/EC of the European Parliament and of the Council as regards real-driving emissions from light passenger and commercial vehicles (Euro 6) (Text with EEA relevance)."
    },
    {
      "type": "F",
      "label": "F2",
      "text": "Substituted by Commission Regulation (EU) 2018/1832 of 5 November 2018 amending Directive 2007/46/EC of the European Parliament and of the Council, Commission Regulation (EC) No 692/2008 and Commission Regulation (EU) 2017/1151 for the purpose of improving the emission type approval tests and procedures for light passenger and commercial vehicles, including those for in-service conformity and real-driving emissions and introducing devices for monitoring the consumption of fuel and electric energy (Text with EEA relevance)."
    },
    {
      "type": "F",
      "label": "F3",
      "text": "Inserted by Commission Regulation (EU) 2018/1832 of 5 November 2018 amending Directive 2007/46/EC of the European Parliament and of the Council, Commission Regulation (EC) No 692/2008 and Commission Regulation (EU) 2017/1151 for the purpose of improving the emission type approval tests and procedures for light passenger and commercial vehicles, including those for in-service conformity and real-driving emissions and introducing devices for monitoring the consumption of fuel and electric energy (Text with EEA relevance)."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2017/1151/annex/I/appendix/3a",
    "retrieved_at": "2026-11-01T14:44:48.753743+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}