Annex I

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

1. (1)

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

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

2. (2)

   point 3.4. is replaced by the following:

   ‘3.4.

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

3. (3)

   Section 8 is replaced by the following:

   ‘8.

   DOCUMENTATION

   8.1.

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

   1. (a)

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

   2. (b)

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

4. (4)

   Appendix 4 is amended as follows:

   1. (a)

      the first paragraph is replaced by the following:

      • ‘relating to:

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

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

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

   2. (b)

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

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

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

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

   3. (c)

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

      ‘

      0.2.0.3.

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

      ’

   4. (d)

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

   5. (e)

      Part 3 of the table is deleted;

5. (5)

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

   ‘

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

   ’

6. (6)

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

   ‘

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

   ’

7. (7)

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

   ‘

   Table 1

   “NOx OTL” monitoring requirements as set out in Table 1 of Annex X for compression ignition and dual-fuel engines and vehicles and Table 2 of Annex X for positive ignition engines and vehicles.
   “PM OTL” monitoring requirements as set out in Table 1 of Annex X for compression ignition and dual-fuel engines and vehicles.
   “CO OTL” monitoring requirements as set out in Table 2 of Annex X for positive ignition engines and vehicles.
   IUPR specifications are set out in Annex X. Positive Ignition engines and vehicles equipped with such engines are not subjected to IUPR.
   Additional provisions concerning monitoring requirements as set out in paragraph 2.3.1.2 of Annex 9A to UNECE Regulation No 49.
   ISC requirement set out in Appendix 1 to Annex II.
   For positive-ignition engines and vehicles equipped with such engines.
   For compression-ignition and dual-fuel engines and vehicles equipped with such engines.
   “Performance monitoring” requirements as set out in point 2.1.1 of Annex X.
   IUPR “Phase-in” requirements as set out in Section 6 of Annex X
   Reagent quality “phase-in” requirements as set out in point 7.1 of Annex XIII.
   Only applicable to positive-ignition engines and vehicles equipped with such engines.
   IUPR “General” requirements as set out in Section 6 of Annex X.
   Reagent quality “general” requirements as set out in point 7.1.1 of Annex XIII.
   Subject to transitional measures laid down in Article 17a.
   Not applicable.
   Key:
   Character	NOx OTLf1	PM OTLf2	CO OTLf3	IUPRf4	Reagent quality	Additional OBD monitorsf5	Power threshold requirementsf6	Cold start and PM number	Implementation dates: new types	Implementation dates: all vehicles	Last date of registration
   Af7 f8 B	Row “phase-in period” of Table 1 or Table 2	Performance Monitoringf9	f10	Phase-inf11	Phase-inf12		20 %		31.12.2012	31.12.2013	31.8.2015 30.12.2016
   Bf13	Row “phase-in period” of Tables 1 and 2		Row “phase-in period” of Table 2		Phase-in		20 %		1.9.2014	1.9.2015	30.12.2016
   C	Row “general requirements” of Table 1 or Table 2	Row “general requirements” of Table 1	Row “general requirements” of Table 2	Generalf14	Generalf15	Yes	20 %		31.12.2015	31.12.2016	31.8.2019
   D	Row “general requirements” of Table 1 or Table 2	Row “general requirements” of Table 1	Row “general requirements” of Table 2	General	General	Yes	10 %		1.9.2018	1.9.2019	31.12.2021
   E	Row “general requirements” of Table 1 or Table 2	Row “general requirements” of Table 1	Row “general requirements” of Table 2	General	General	Yes	10 %	Yes	1.1.2021f16	1.1.2022

   ’;

8. (8)

   in Appendix 10, the following explanatory note is inserted:

   ‘(¹¹)

   CF_final needs to be stated, if applicable’;

9. (9)

   the following Appendix is added:

   ‘Appendix 11

   AES Documentation Package

   The AES documentation package shall include the following:

   (A) information on all AES:

   1. (a)

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

   2. (b)

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

   3. (c)

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

   4. (d)

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

      1. (i)

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

      2. (ii)

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

      3. (iii)

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

   5. (e)

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

   6. (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;

   7. (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;

   8. (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;

   9. (i)

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

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

   The AES documentation package shall be structured as follows:

   AES Documentation Package No YYY/OEM

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

   ’