Prilog
Schedules of Administrative and Procedural Provisions
The following Schedules of Administrative and Procedural Provisions (SAPP) are annexed to the 1958 Agreement2 and specify the administrative and procedural provisions applicable to all UN Regulations annexed to the 1958 Agreement:
Schedule 1 Conformity of production procedures
Schedule 2 Part one: Assessment, designation and notification of technical services
Part two: Standards which the technical services, referred to in Part one of this Schedule, shall comply with
Part three: Procedure for the assessment of technical services
Schedule 3 Procedures for UN type approvals
Schedule 4 Numbering of UN type approvals
Schedule 5 Circulation of approval documentation
Schedule 6 Procedures for resolving interpretation issues in relation to the application of UN Regulations and granting approvals pursuant to these UN Regulations
Schedule 7 Procedure for exemption approvals concerning new technologies
Schedule 8 General conditions for virtual testing methods
2 Agreement concerning the Adoption of Harmonized Technical United Nations Regulations for Wheeled Vehicles, Equipment and Parts which can be Fitted and/or be Used on Wheeled Vehicles and the Conditions for Reciprocal Recognition of Approvals Granted on the Basis of these United Nations Regulations.
Schedule 1
Conformity of production procedures
Objectives
The conformity of production procedure aims to ensure that each produced wheeled vehicle, equipment or part is in conformity with the approved type.
Procedures include inseparably the assessment of quality management systems, referred to below as "initial assessment" and verification of the approval subject and product-related controls, referred to as "product conformity arrangements".
1. Initial assessment
1.1. The approval authority of a Contracting Party shall verify - before granting UN type approval - the existence of satisfactory arrangements and procedures for ensuring effective control so that wheeled vehicles, equipment or parts when in production conform to the approved type.
1.2. Guidance for conducting assessments may be found in the international standard ISO 19011:2011 - Guidelines for auditing management systems.
1.3. The requirement in paragraph 1.1 shall be verified to the satisfaction of the authority granting UN type approval.
The approval authority granting UN type approval shall be satisfied with the initial assessment and the product conformity arrangements in section 2 below, taking into account as necessary one of the arrangements described in paragraphs 1.3.1 to 1.3.3, or a combination of those arrangements in full or in part as appropriate.
1.3.1. The actual initial assessment and/or verification of product conformity arrangements shall be carried out by the approval authority granting UN type approval or by a technical service designated to act on behalf of that approval authority.
1.3.1.1. When considering the extent of the initial assessment to be carried out, the approval authority may take account of available information relating to:
(a)
The manufacturer's certification described in paragraph 1.3.3 below, which has not been qualified or recognized under that paragraph;
(b)
In the case of UN type approval of equipment or parts, quality system assessments performed by vehicle manufacturer(s), in the premises of the manufacturer(s) of the equipment or parts, according to one or more of the industry sector specifications satisfying the requirements in the international standard ISO 9001:2008.
1.3.2. The actual initial assessment and/or verification of product conformity arrangements may also be carried out by the approval authority of another Contracting Party, or the technical service designated for this purpose by the latter approval authority, provided this Contracting Party applies at least the same UN Regulations upon which the UN type approval has been based.
1.3.2.1. In such a case, the approval authority of the other Contracting Party shall prepare a statement of compliance outlining the areas and production facilities it has covered as relevant to the product(s) to be type approved and to the UN Regulations according to which these products are to be type approved.
1.3.2.2. On receiving an application for a compliance statement from the approval authority of a Contracting Party granting UN type approval, the approval authority of another Contracting Party shall send forthwith the statement of compliance or advise that it is not in a position to provide such a statement.
1.3.2.3. The statement of compliance shall include at least the following:
(a)
Group or company (e.g. XYZ Automotive);
(b)
Particular organization (e.g. Regional division);
(c)
Plants/sites (e.g. Engine plant 1 (in country A) - Vehicle plant 2 (in country B));
(d)
Vehicle/Component range (e.g. all category M 1 models);
(e)
Areas assessed (e.g. Engine assembly, body pressing and assembly, vehicle assembly);
(f)
Documents examined (e.g. Company and site quality manual and procedures);
(g)
Date of the assessment (e.g. Audit conducted from dd/mm/yyyy to dd/mm/yyyy);
(h)
Planned monitoring visit (e.g. mm/yyyy).
1.3.3. The approval authority may also accept the manufacturer's certification to the international standard ISO 9001:2008 (the scope of this certification shall cover the product(s) to be approved) or an equivalent accreditation standard as satisfying the initial assessment requirements of paragraph 1.1. The manufacturer shall provide details of the certification and undertake to inform the approval authority of any revisions to its validity or scope of that certification.
1.4. For the purpose of the International Whole Vehicle Type Approval, the initial assessments carried out for granting UN approvals for equipment and parts of the vehicle need not be repeated but shall be completed by an assessment covering the areas not covered by the former assessments, in particular, in relation to the assembly of the whole vehicle.
2. Product conformity arrangements
2.1. Every vehicle, equipment or part approved pursuant to a UN Regulation annexed to the 1958 Agreement shall be so manufactured as to conform to the type approved by meeting the requirements of this Schedule and of the said UN Regulation.
2.2. The approval authority of a Contracting Party granting a type approval pursuant to a UN Regulation annexed to the 1958 Agreement shall verify the existence of adequate arrangements and documented control plans, to be agreed with the manufacturer for each approval, to carry out at specified intervals those tests or associated checks necessary to verify continued conformity with the approved type, including, specifically, where applicable, tests specified in the said UN Regulation.
2.3. The holder of the UN type approval shall, in particular:
2.3.1. Ensure the existence and application of procedures for effective control of the conformity of products (wheeled vehicles, equipment or parts) to the approved type;
2.3.2. Have access to the testing or other appropriate equipment necessary for checking the conformity to each approved type;
2.3.3. Ensure that test or check results' data are recorded and that annexed documents remain available for a period to be determined in agreement with the approval authority. This period shall not exceed 10 years;
2.3.4. Analyse the results of each type of test or check, in order to verify and ensure the stability of the product characteristics, making allowance for variation of an industrial production;
2.3.5. Ensure that for each type of product, at least the checks prescribed in this Schedule and the tests prescribed in the applicable UN Regulations are carried out;
2.3.6. Ensure that any set of samples or test pieces giving evidence of non-conformity in the type of test in question gives rise to a further sampling and test. All the necessary steps shall be taken to restore conformity of the corresponding production.
3. Continued verification arrangements
3.1. The authority which has granted UN type approval may at any time verify the conformity control methods applied in each production facility.
3.1.1. The normal arrangements shall be to monitor the continued effectiveness of the procedures laid down in paragraphs 1 and 2 (initial assessment and product conformity arrangements) of this Schedule.
3.1.1.1. Surveillance activities carried out by the technical services (qualified or recognized as required in paragraphs 1.3.1 and 1.3.2) shall be accepted as satisfying the requirements of paragraph 3.1.1 concerning the procedures established at the initial assessment.
3.1.1.2. The normal frequency of these verifications by the approval authority (other than those referred to in paragraph 3.1.1.1) shall be such as to ensure that the relevant controls applied in accordance with paragraphs 1 and 2 of this Schedule are reviewed at intervals based on a risk assessment methodology consistent with the international standard ISO 31000:2009 — Risk Management — Principles and guidelines and, in all cases, with a minimum frequency of once every three years. This methodology should take particular account of any non- conformity raised by Contracting Parties under Article 4 of the 1958 Agreement.
3.2. At every review, the records of tests and checks and production records shall be available to the inspector; in particular, records of those tests or checks documented as required in paragraph 2.2.
3.3. The inspector may select samples at random to be tested in the manufacturer's laboratory or in the facilities of the technical service. In such a case only physical tests shall be carried out. The minimum number of samples may be determined according to the results of the manufacturer's own verification.
3.4. Where the level of control appears unsatisfactory, or when it seems necessary to verify the validity of the tests carried out in application of paragraph 3.3, the inspector shall select samples to be sent to the technical service to perform physical tests.
3.5. Where unsatisfactory results are found during an inspection or a monitoring review, the approval authority shall ensure that all necessary steps are taken to restore conformity of production as rapidly as possible.
Schedule 2
Part one: Assessment, designation and notification of technical
services
1. Designation of technical services
1.1. When an approval authority designates a technical service, the latter shall comply with the provisions of this Schedule.
1.2. The technical services shall carry out themselves, or supervise, the tests required for approval or inspections specified in UN Regulations, except where alternative procedures are specifically permitted. They may not conduct tests or inspections for which they have not been duly designated.
The performance of technical services and the quality of the tests and inspections they are carrying out shall ensure that the products for which UN type approval is requested are adequately verified for their compliance with the requirements of the applicable UN Regulations for which the technical services are designated.
1.3. The technical services shall be designated according to one or more of the four following categories of activities, depending on their field of competence:
(a)
Category A: Technical services which carry out the tests referred to in UN Regulations in their own facilities;
(b)
Category B: Technical services which supervise the tests referred to in the UN Regulations, performed in the manufacturer's facilities or in the facilities of a third party;
(c)
Category C: Technical services which assess and monitor on a regular basis the manufacturer's procedures for controlling conformity of production;
(d)
Category D: Technical services which supervise or perform tests or inspections in the framework of the surveillance of conformity of production.
1.4. Technical services shall demonstrate appropriate skills, specific technical knowledge and proven experience in the specific fields covered by the UN Regulations for which they are designated.
In addition, technical services shall comply with, but not necessarily be approved/accredited in accordance with, the standards listed in Part two of this Schedule which are relevant for the categories of activities for which they are designated.
The technical services shall ensure that they are free from any control and influence of interested parties which may adversely affect the impartiality and quality of the tests and inspections.
The technical services shall have access to the test facilities and measurement devices necessary to supervise or perform tests or inspections referred to in the UN Regulations for which the technical services are designated.
1.5. An approval authority may act as a technical service for one or more of the activities referred to in paragraph 1.3. Where an approval authority acting as a technical service has been appointed by national law of a Contracting Party and is financed by the latter, the provisions of this Schedule or equivalent rules to the provisions in paragraphs 1, 2 and 3.4 of this Schedule shall be complied with. The same applies for technical services that have been appointed by national law of a Contracting Party and are subject to financial and managerial control by the Government of that Contracting Party. The equivalent rules shall guarantee the same level of performance and independence.
1.6. Regardless of paragraph 3.3, a manufacturer or its representative acting on its behalf may be designated as a technical service for category A activities for only those UN Regulations which make provision for such a designation. In this case, and regardless of paragraph 1.4, such technical service shall be accredited in accordance with the standards referred to in paragraph 1 of Part two of this Schedule.
1.7. The entities referred to in paragraphs 1.5 and 1.6 shall comply with the provisions of paragraph 1.
2. Assessment of the skills of the technical services
2.1. The skills referred to in paragraph 1 shall be demonstrated in an assessment report established by a competent authority3. This may include a certificate of accreditation issued by an accreditation body.
2.2. The assessment referred to in paragraph 2.1 shall be conducted in accordance with the provisions of Part three of this Schedule.
The assessment report shall be reviewed after a maximum period of three years.
2.3. The assessment report shall be communicated to the UNECE secretariat and to the Contracting Parties upon request. 2.4. The approval authority which acts as a technical service shall demonstrate compliance with documentary evidence.
This includes an assessment which shall be conducted by auditors independent of the activity being assessed. Such
3 "Competent authority" means either the approval or designated authority, or an appropriate accreditation body acting on their behalf respectively. auditors may be from within the same organization provided that they are independent of the personnel undertaking the assessed activity.
2.5. A manufacturer or its representative acting on their behalf, designated as the technical service, shall comply with the relevant provisions of paragraph 2.
3. Procedures for notification
3.1 . Contracting Parties shall notify the UNECE secretariat of the name, the address including electronic address and the category of activities of each designated technical service. They shall also notify the UNECE secretariat any subsequent modifications thereof.
The notification act shall state for which UN Regulations the technical services have been designated.
3.2. A technical service may conduct the activities described in paragraph 1 for the purposes of UN type approval only if it has been notified to the UNECE secretariat.
3.3. The same technical service may be designated and notified by several Contracting Parties, irrespective of the category of activities which they conduct.
3.4. The UNECE secretariat shall publish the list and contact details of the approval authorities and technical services on its website.
Part two: Standards which the technical services, referred to in
Part one of this Schedule, shall comply with
1. Activities in testing for UN type approval, to be carried
out in accordance with UN Regulations
1.1. Category A (tests performed in own facilities):
ISO/IEC 17025:2005 on the general requirements for the competence of testing and calibration laboratories.
A technical service designated for category A activities may carry out or supervise the tests according to UN Regulations for which it has been designated, in the facilities of the manufacturer or of its representative.
1.2. Category B (supervising tests performed in the manufacturer's facilities or in the facilities of its representative):
ISO/IEC 17020:2012 on the general criteria for the operation of various types of bodies performing inspection.
Before performing or supervising any test in the facilities of a manufacturer or of its representative, the technical service shall verify that the test facilities and measurement devices comply with the appropriate requirements of paragraph 1.1.
2. Activities related to Conformity of Production
2.1. Category C (procedure for the initial assessment and surveillance audits of the manufacturer's quality management system):
ISO/IEC 17021:2015 on the requirements for bodies providing audit and certification of management systems.
2.2. Category D (inspection or testing of production samples or supervision thereof):
ISO/IEC 17020:2012 on the general criteria for the operation of various types of bodies performing inspection.
Part three: Procedure for the assessment of technical services
1. Purpose
1.1. This part of Schedule 2 establishes the conditions by which the assessment procedure of the technical services shall be conducted by the competent authority referred to in paragraph 2 of Part one of this Schedule.
1.2. These requirements shall apply, mutatis mutandis, to all technical services irrespective of their legal status (independent organization, manufacturer or approval authority acting as technical service).
2. Principles of assessing
Assessment shall be characterized by reliance on a number of principles:
(a)
Independence which is the basis for the impartiality and objectivity of the conclusions;
(b)
An evidence-based approach which guarantees reliable and reproducible conclusions.
Auditors shall show trust and integrity, and shall respect confidentiality and discretion. They shall report truthfully and accurately findings and conclusions.
3. Auditor skills
3.1. The assessments may only be conducted by auditors with the technical and administrative knowledge necessary for such purposes.
3.2. The auditors shall have been trained specifically for assessment activities. In addition, they shall have the specific knowledge of the technical area in which the technical service will exercise its activities.
3.3. Without prejudice to the provisions of paragraphs 3.1 and 3.2 above, the assessment referred to in paragraph 2.5 of Part one of this Schedule shall be conducted by auditors independent of the activities for which the assessment is conducted.
4. Application for designation
4.1. A duly authorized representative of the applicant technical service shall make a formal application to the competent authority. The application shall include as a minimum the following:
(a)
General features of the technical service, including corporate entity, name, addresses, legal status and human and technical resources;
(b)
A detailed description including curriculum vitae of the personnel in charge of testing and/or inspections and of the managerial staff as evidenced by the skills both educational and professional;
(c)
In addition to the above, technical services which use virtual testing methods shall provide evidence of their ability to work in a Computer-Aided-x environment;
(d)
General information concerning the technical service, such as its activities, its relationship in a larger corporate entity, if any, and addresses of all its physical location(s) to be covered by the scope of designation;
(e)
An agreement to fulfil the requirements for designation and the other obligations of the technical service as applicable in the relevant UN Regulations for which it is designated;
(f)
A description of the conformity assessment services that the technical service undertakes in the framework of the applicable UN Regulations and a list of the UN Regulations for which the technical service applies for designation, including its limits of capability where applicable;
(g)
A copy of the quality assurance manual or comparable operational rules of the technical service.
4.2. The competent authority shall review for adequacy the information supplied by the technical service.
4.3. The technical service shall notify the approval authority of any modifications to the information provided in accordance with paragraph 4.1.
5. Resource review
The competent authority shall review its ability to carry out the assessment of the technical service, in terms of its own policy, its competence and the availability of suitable auditors and experts.
6. Subcontracting the assessment
6.1. The competent authority may subcontract parts of the assessment to another designated authority or ask for support from technical experts provided by other competent authorities. The subcontractors and experts shall be accepted by the applicant technical service.
6.2. The competent authority shall take into account accreditation certificates with adequate scope, in order to complete its global assessment of the technical service.
7. Preparation for assessment
7.1. The competent authority shall formally appoint an assessment team. The former shall ensure that the expertise brought to each assignment is appropriate. In particular, the team as a whole:
(a)
Shall have appropriate knowledge of the specific scope for which designation is sought; and
(b)
Shall have sufficient understanding to reliably assess the competence of the technical service which operates within its scope of designation.
7.2. The competent authority shall clearly define the assignment given to the assessment team. The task of the assessment team is to review the documents collected from the applicant technical service and to conduct the on-site assessment.
7.3. The competent authority shall agree, together with the technical service and the assigned assessment team, on the date and timetable for the assessment. However, it remains the responsibility of the competent authority to pursue a date that is in accordance with the surveillance and reassessment plan.
7.4. The competent authority shall ensure that the assessment team is provided with the appropriate criteria documents, previous assessment records, and the relevant documents and records of the technical service.
8. On-site assessment
The assessment team shall conduct the assessment of the technical service on the premises of the technical service from which one or more key activities are performed and, where relevant, shall perform eyewitness assessment at other selected locations where the technical service operates.
9. Analysis of findings and assessment report
9.1. The assessment team shall analyse all relevant information and evidence from the document and record review and the on-site assessment. This analysis shall be sufficient to allow the team to determine the extent of competence and conformity of the technical service with the requirements for designation.
9.2. The competent authority's reporting procedures shall ensure that the following requirements are fulfilled.
9.2.1. A meeting shall take place between the assessment team and the technical service prior to leaving the site. At this meeting, the assessment team shall provide a written and/or oral report of its findings obtained from the analysis. The technical service shall have the opportunity to ask questions about the findings, including non-conformities, if any, and their basis.
9.2.2. A written report on the outcome of the assessment shall be promptly brought to the attention of the technical service. This assessment report shall contain comments on competence and conformity, and shall identify non-conformities, if any, that need to be resolved in order to conform to all of the requirements for designation.
9.2.3. The technical service shall be invited to respond to the assessment report and to describe the specific actions taken or planned to be taken, within a defined time, to resolve any identified non-conformities.
9.3. The competent authority shall ensure that the responses of the technical service are sufficient and effective to resolve non-conformities. If the technical service responses are found to be insufficient, further information shall be requested. Additionally, evidence of effective implementation of actions taken may be requested, or a follow-up assessment may be carried out to verify effective implementation of corrective actions.
9.4. The assessment report shall include, as a minimum:
(a)
The unique identification of the technical service;
(b)
The date(s) of the on-site assessment;
(c)
The name(s) of the auditor(s) and/or experts involved in the assessment;
(d)
The unique identification of all premises assessed;
(e)
The proposed scope of designation that was assessed;
(f)
A statement on the adequacy of the internal organization and procedures adopted by the technical service supporting its competence, as determined through its fulfilment of the requirements for designation;
(g)
The information on resolving all non- conformities;
(h)
A recommendation on whether the applicant should be designated or confirmed as technical service and, if so, the scope of designation.
10. Granting/confirming a designation
10.1. The approval authority shall, without undue delay, make the decision on whether to grant, confirm or extend designation on the basis of the report(s) and any other relevant information.
10.2. The approval authority shall provide a certificate to the technical service. This certificate shall identify the following:
(a)
The identity and logo of the approval authority;
(b)
The unique identity of the designated technical service;
(c)
The effective date of granting of designation and the expiry date;
(d)
A brief indication of, or a reference to, the scope of designation (applicable UN Regulations or parts thereof);
(e)
A statement of conformity and a reference to this Schedule.
11. Reassessment and surveillance
11.1. Reassessment is similar to an initial assessment except that experience gained during previous assessments shall be taken into account. Surveillance on-site assessments are less extensive than reassessments.
11.2. The competent authority shall design its plan for reassessment and surveillance of each designated technical service, so that representative samples of the scope of designation are assessed on a regular basis.
The interval between on-site assessments, whether reassessment or surveillance, depends on the proven stability of the technical service.
11.3. When, during surveillance or reassessments, non- conformities are identified, the competent authority shall define strict time limits for the implementation of corrective actions.
11.4. When the corrective or improvement actions have not been taken within the agreed timeframe, or are not deemed to be sufficient, the competent authority shall adopt appropriate measures such as, conducting further assessment, suspending/withdrawing the designation for one or more of the activities for which the technical service has been designated.
11.5. When the competent authority decides to suspend or withdraw the designation of a technical service, it shall inform the latter by registered mail, and shall inform the UNECE secretariat thereof accordingly. In any case, the competent authority shall adopt all the necessary measures to ensure the continuity of the activities already undertaken by the technical service.
12. Records on designated technical services
12.1. The competent authority shall maintain records on technical services to demonstrate that requirements for designation, including competence, have been effectively fulfilled.
12.2. The competent authority shall keep the records on technical services secure to ensure confidentiality.
12.3. Records on technical services shall include at least:
(a)
Relevant correspondence;
(b)
Assessment records and reports;
(c)
Copies of designation certificates.
Schedule 3
Procedures for UN type approvals
1. Application for and conduct of UN type approval
1.1. An application for UN type approval shall be submitted to the approval authority of a Contracting Party by the manufacturer or their authorized representative (hereinafter referred to as the "applicant").
1.2. Only one application may be submitted for a particular type of vehicle, equipment or part and it may be submitted in only one Contracting Party applying the UN Regulations pursuant to which UN type approval is sought. A separate application shall be submitted for each type to be approved.
1.3. The application shall be accompanied by the information as specified in the UN Regulations pursuant to which approval is sought. This information shall contain a detailed description of the particulars of the type to be approved, including drawings, diagrams and pictures as necessary.
1.4. The approval authority may, by reasoned request, call upon the applicant to supply any additional information necessary to enable decision on the approval tests required or facilitating the execution of those tests.
1.5. The applicant shall make available to the approval authority as many wheeled vehicles, equipment or parts as are required for the performance of the tests required by the UN Regulations pursuant to which approval is sought.
1.6. Compliance with the requirements laid down in the UN Regulations shall be demonstrated by means of appropriate tests performed on wheeled vehicles, equipment and parts which are representative of the type to be approved.
The approval authority shall apply the principle of "worst- casing", by selecting the variant or version from the specified type that for the purpose of testing will represent the type to be approved under the worst conditions. The decisions taken along with their justification shall be recorded in the approval documentation.
However, the applicant may select, in agreement with the approval authority, a vehicle, equipment or parts which, while not representative of the type to be approved, combines a number of most unfavourable features with regard to the level of performance required by the UN Regulations (worst-casing). Virtual testing methods may be used to aid the decision-making on the selection of the worst-case.
1.7. The approval tests will be performed or supervised by technical services. The test procedures to be applied and the specific equipment and tools to be used shall be those specified in the UN Regulations.
1.8. As an alternative to the test procedures referred to in paragraphs 1.6 and 1.7 above, virtual testing may be used at the request of the applicant, in as far as this is provided for in the relevant UN Regulations and subject to the fulfilment of the general conditions as set out in Schedule 8 annexed to the 1958 Agreement.
1.9. Contracting Parties shall issue type approvals only where compliance with conformity of production requirements of Schedule 1 annexed to the 1958 Agreement is ensured.
1.10. When the approval tests have demonstrated that the type complies with the technical requirements of the UN Regulation, an approval of that type shall be granted, an approval number shall be assigned according to Schedule 4 annexed to the 1958 Agreement and an approval mark shall be assigned to each type in accordance with the specific provisions of the UN Regulation concerned.
1.11. The approval authority shall ensure that the following is included in the approval documentation:
(a)
A record of the worst-case selection and the justification for that selection. This may include information provided by the manufacturer;
(b)
A record of any significant technical interpretation made, different test methods applied, or new technology introduced;
(c)
A test report from the technical service that includes recorded values achieved for measurements and tests as required by the UN Regulation;
(d)
Information documents from the manufacturer, properly specifying the characteristics of the type to be approved;
(e)
A statement of compliance with the conformity of the production requirements of Schedule 1 annexed to the 1958 Agreement, detailing which of the arrangements referred to in paragraph 1.3 of Schedule 1 annexed to the 1958 Agreement have been taken into account as the basis for the initial assessment as well as the date of the initial assessment and any surveillance activities;
(f)
The type approval certificate.
2. Amendments to UN type approvals
2.1. The manufacturer holding a UN type approval for their vehicle, equipment or part shall inform without delay the Contracting Party that issued the UN type approval of any change in the particulars of the type as recorded in the information referred to in paragraph 1.3.
2.2. The Contracting Party shall decide which of the two procedures to amend the UN type approval as laid down in paragraphs 2.5 and 2.6 is to be followed. Where necessary, the Contracting Party may decide, in consultation with the manufacturer that a new UN type approval may need to be granted.
2.3. An application for amending a UN type approval may only be submitted to the Contracting Party that issued the original UN type approval.
2.4. If the Contracting Party finds it necessary, for the purpose of amending the UN type approval, to carry out inspections or tests, it shall inform the manufacturer accordingly.
2.5. When particulars of the type as recorded in the information documents and test reports have changed and the Contracting Party considers that the changes are unlikely to have an appreciable adverse effect on the environmental and/or functional safety performance, and that in any case the type still complies with the requirements of the UN Regulations concerned, the modification of the UN type approval shall be designated as a "revision".
In such a case, the Contracting Party shall issue the revised pages of the information documents and test reports as necessary, marking each revised page to show clearly the nature of the modification and the date of re-issue. A consolidated, updated version of the information documents and test reports, accompanied by a detailed description of the modification, shall be deemed to meet this requirement.
2.6. The amendment to a UN type approval shall be designated as an "extension" if, in addition to the change of the data recorded in the information documents:
(a)
Further inspections or tests are required; or
(b)
Any information on the communication document (with the exception of its attachments) has changed; or
(c)
Approval to a later series of amendments is requested after its entry into force, which can be granted provided that the requirements of a later series of amendments are fulfilled.
2.7. Confirmation or refusal of amending the UN type approval, specifying the alterations, shall be communicated to the Contracting Parties to the 1958 Agreement applying the UN Regulation by means of a communication form. In addition, the index to the information documents and to the test reports, attached to the communication document, shall be amended accordingly to show the date of the most recent revision or extension.
2.8. The type approval authority granting the extension of approval shall update the approval number with an extension number incremented in accordance with the number of successive extensions already granted in accordance with Schedule 4 annexed to the 1958 Agreement and issue a revised communication form denoted by this extension number.
Schedule 4
Numbering of UN type approvals
1. As from the entry into force of the 1958 Agreement, Contracting Parties shall issue a type approval number according to paragraphs 1.10 and 2.8 of Schedule 3 for each new type approval and each extension of such an approval.
2. As from the entry into force of the 1958 Agreement and notwithstanding that the provisions on approval markings in any version of UN Regulations may have stipulated otherwise, the manufacturer shall affix an approval mark, if requested, according the provisions of the relevant UN Regulations, however, utilizing in that marking the first two digits of Section 2 and the digits of Section 3 of the approval number as mentioned in this Schedule as approval number to each wheeled vehicle, equipment or part for which a new approval has been granted or for which such approvals have been extended. However, this provision does not apply where a UN Regulation requires an approval code or an identification code to be used in the approval mark instead of an approval number. The leading zeros to Section 3 may be omitted.
3. An approval number shall be assigned to each type approved. The type approval number shall consist of 4 sections. Each section shall be separated by the '*' character.
Section 1: The capital letter 'E' followed by the distinguishing number of the Contracting Party which has granted the type approval.
Section 2: The number of the relevant UN Regulation, followed by the letter 'R', successively followed by:
(a)
Two digits (with leading zeros as applicable) indicating the series of amendments incorporating the technical provisions of the UN Regulation applied to the approval (00 for the UN Regulation in its original form);
(b)
A slash and two digits (with leading zeros as applicable) indicating the number of supplement to the series of amendments applied to the approval (00 for the series of amendments in its original form);
(c)
A slash and one or two character(s) indicating the implementing stage, if applicable.
Section 3: A four-digit sequential number (with leading zeros as applicable). The sequence shall start from 0001.
Section 4: A two-digit sequential number (with leading zeros if applicable) to denote the extension. The sequence shall start from 00.
All digits shall be Arabic digits.
4. The same Contracting Party shall not assign the same number to another approval.
Examples:
Example of the second extension to the fourth type approval issued by the Netherlands according to UN Regulation No. 58 in its original version:
E4*58R00/00*0004*02
Example of the first extension to the 2439th type approval issued by the United Kingdom of Great Britain and Northern Ireland for a vehicle approval according to UN Regulation No. 83, third series of amendments, version for a vehicle of category M, N class I with regard to the 1 emission of pollutants according to engine fuel requirements:
E11*83R03/00/J*2439*01
Schedule 5
Circulation of approval documentation
1. Where an approval authority is required to or is requested to provide a copy of an approval and its attachments, it shall send the documents as paper copies, or by e-mail in electronic format, or by utilizing the secure internet database established by the United Nations Economic Commission for Europe.
2. Documents stored on the secure internet database shall consist of at least the documents specified in each UN Regulation. These shall include documentation communicating to Contracting Parties notice of approval, of extension, of refusal or withdrawal of approval or where production is definitely discontinued of a type of wheeled vehicles, equipment or parts pursuant to the UN Regulation.
3. If the type approvals applicable to a wheeled vehicles, equipment or parts are stored on the secure internet database, then the approval markings required by UN Regulations may be replaced by a Unique Identifier (UI) preceded by the symbol , unless specified otherwise in the UN Regulations. Such unique identifier shall be generated by the database automatically.
4. All Contracting Parties applying a UN Regulation shall have access to the information for that UN Regulation contained in the database by using the Unique Identifier and this will provide access to the relevant information relating to the specific approval(s).
5. UN Regulations annexed to the 1958 Agreement may require the circulation of type approvals by electronic copies utilizing the secure internet database, where necessary for the efficient operation of the approval process, subject to the access rights as defined by the Contracting Parties.
Schedule 6
Procedures for resolving interpretation issues in relation to the
application of UN Regulations and granting approvals pursuant to
these UN Regulations
1. Interpretation issues prior to UN type approval being
granted
When an application for UN type approval requires the approval authority to make a significant interpretation on the application of the UN Regulation, or if so requested by the applicant for approval, the approval authority shall actively inform and seek guidance from other approval authorities before making a decision.
The approval authority concerned shall notify the other approval authorities applying the UN Regulation of the issue and of their proposed solution for the interpretation, including any supporting information from the manufacturer. As a general rule, this should be done via electronic media. A period of fourteen days shall be allowed for replies from the other approval authorities.
(a)
The approval authority having taken account of any comments received, can then grant approvals in accordance with the new interpretation;
(b)
If it is not possible to take a decision according to the comments received, the approval authority shall seek further clarification by means of the procedure described in paragraph 3 below.
2. Interpretation issues subsequent to UN type approval
being granted
In situations where different interpretations exist between Contracting Parties but subsequent to an approval being issued the following procedures shall be followed.
In the first instance, the Contracting Parties concerned shall seek to resolve the issue by mutual agreement. This will require liaison and for each Contracting Party to review the procedures used to test and approve the wheeled vehicles, equipment and parts being the subject of the interpretation dispute. The following procedures will be applied:
(a)
In the event of an error being acknowledged by an approval authority, the approval authority shall take an action in accordance with the provisions of the 1958 Agreement, and in particular its Article 4;
(b)
Where agreement is reached which necessitates a new or different interpretation of existing practice (by either Contracting Party), then this shall be communicated to other Contracting Parties applying the UN Regulation concerned as a matter of urgency. The other Parties shall have fourteen days to comment upon the decision, following which the approval authorities, having taken account of any comments received, can issue UN type approvals in accordance with the new interpretation;
(c)
Where agreement cannot be reached, then the Contracting Parties concerned shall seek further review by the arbitration process described in paragraph 3 below;
(d)
In any event, the matter shall be brought to the attention of the competent Working Party subsidiary to the World Forum for Harmonization of Vehicle Regulations (WP.29). If deemed necessary, the subsidiary Working Party shall submit to WP.29 proposals for suitable regulatory amendments aimed at resolving the difference of interpretations.
3. Arbitration process through WP.29 and its subsidiary
Working Parties
The Chairs of the subsidiary Working Parties shall identify the issues arising from diverging interpretations between Contracting Parties in relation to the application of UN Regulations and the granting of UN type approvals pursuant to these UN Regulations, with a view to put in place measures at the earliest opportunity to resolve the different interpretations.
The Chairs of the Working Parties will develop suitable procedures to deal with such interpretation issues, in order to be able to demonstrate to WP.29 that:
(a)
Full consideration is given to the different opinions by the approval authorities of the Contracting Parties concerned, as well as to the views of other Contracting Parties applying the UN Regulation;
(b)
Decisions are based upon appropriate technical advice, taking full account of the subject area;
(c)
Wherever possible, an unanimous decision is reached; and
(d)
Procedures are transparent and auditable.
If necessary to resolve the issue, the Chair may submit a new agenda item on the issue to the next available session of the subsidiary Working Party, without obtaining prior approval from WP.29. In these circumstances, the Chair shall report on the progress to WP.29 at the earliest opportunity.
At the end of the arbitration process, the Chair shall provide a report to WP.29.
3.1. Where the issue can be resolved within the current regulatory framework: The interpretation of the UN Regulation as agreed in the Working Party shall be implemented and approval authorities shall issue UN type approvals accordingly.
3.2. Where the issue cannot be resolved within the current regulatory framework:
WP.29 shall be informed accordingly and shall request the relevant subsidiary Working Party to consider the issue as a priority item at its next session. The agenda of the session shall be amended accordingly.
The subsidiary Working Party shall consider any proposal on the interpretation issue and shall submit formal proposals to WP.29 to amend the UN Regulation concerned following the normal procedures. WP.29 will consider the issue as a priority item at its next session.
Schedule 7
Procedure for exemption approvals concerning new
technologies
1. Contracting Parties applying a UN Regulation may, on application by the manufacturer, grant exemption approval pursuant to a UN Regulation in respect of a vehicle, equipment or part that incorporates technologies which are incompatible with one or more requirements of that UN Regulation, subject to authorization being granted by the Administrative Committee of the 1958 Agreement under the procedure described in paragraphs 2 to 12 of this Schedule.
2. Pending the decision on whether or not authorization for such an exemption approval is granted, the Contracting Party applying the UN Regulation may grant provisional approval for its territory only. Other Contracting Parties applying that UN Regulation may decide to accept this provisional approval in their territory.
3. The Contracting Party granting the provisional approval mentioned in paragraph 2 of this Schedule shall notify the Administrative Committee of its decision and submit a file with the following:
(a)
The reasons why the technologies or concept concerned make the vehicle, equipment or part incompatible with the requirements of the UN Regulation;
(b)
A description of the safety, environmental or other considerations and the measures taken;
(c)
A description of the tests and results, demonstrating that, compared with the requirements from which exemption is sought, at least an equivalent level of safety and environmental protection is ensured;
(d)
A request for authorization to grant an exemption approval to the UN Regulation for the type of vehicle, equipment or part.
4. The Administrative Committee shall consider the complete notification referred to in paragraph 3 of this Schedule at its next session following receipt of the notification, provided this notification was received at least three months prior to the session. After considering the notification, the Administrative Committee may decide to authorize or to refuse the granting of the exemption approval or to refer the issue to the competent subsidiary Working Party.
5. The decision of the Administrative Committee shall be established in accordance with the procedure indicated in the Appendix, Article 8.
6. The requested exemption approval pursuant to a UN Regulation, mentioned under paragraph 3 of this Schedule, will be considered to be authorized unless, within a period of one month from the notification by the Executive Secretary of the United Nations Economic Commission for Europe of the Administrative Committee's authorization decision, more than one-fifth of the Contracting Parties applying the UN Regulation at the time of notification have informed the Executive Secretary of the United Nations Economic Commission for Europe of their disagreement with the authorization of the exemption approval.
7. When the authorization for granting the exemption approval is adopted, the Executive Secretary of the United Nations Economic Commission for Europe shall, as soon as possible, notify the Contracting Parties applying the concerned UN Regulation about this adoption.
As from the date of that notification the Contracting Party referred to in paragraph 3 of this Schedule may then deliver the exemption approval pursuant to the UN Regulation. The exemption approval shall be accepted by the Contracting Parties applying the UN Regulation, with the exception of those who have notified their disagreement, or their intention not to accept the exemption approval immediately, to the Executive Secretary of the United Nations Economic Commission for Europe. The Contracting Parties which have notified their disagreement, or their intention not to accept the exemption approval immediately, with the authorization by the Administrative Committee may at a later date accept the exemption approval by notifying the Executive Secretary of the United Nations Economic Commission for Europe of their decision.
8. The Administrative Committee shall specify any restrictions in the authorization decision. Time limits shall not be less than thirty-six months. Contracting Parties applying the UN Regulation shall accept the exemption approval at least until the expiration of the time limit, if any, or, when the UN Regulation in question is subsequently amended as per paragraphs 9 and 10 of this Schedule in order to take into account the technology covered by the exemption approval, until the date, as from which Contracting Parties may refuse approvals to the previous version of the UN Regulation, whichever of these two dates comes first.
The Contracting Party authorized to grant the exemption approval shall ensure that the manufacturer fully complies with all restrictions associated with this approval and that the communication form clearly indicates that it is based on an exemption authorized by the Administrative Committee.
9. The Administrative Committee shall at the same time inform the subsidiary Working Party responsible for the UN Regulation about the authorization to grant the exemption approval.
The Contracting Party authorized to grant the exemption approval shall submit to the subsidiary Working Party responsible for the UN Regulation a proposal to amend the UN Regulation for which the exemption approval was requested, in order to adapt it to the technological development. This submission shall be made not later than by the next session of the subsidiary Working Party following the notification of the Administrative Committee authorization decision according to paragraph 6 of this Schedule.
10. As soon as the UN Regulation has been amended to take into account the technology for which the exemption approval was granted, and entered into force, the manufacturer shall be authorized to apply for type approval pursuant to the amended UN Regulation, in replacement of the previously granted exemption approval to that UN Regulation. The approval authority granting that type approval shall, as soon as reasonable, withdraw the exemption approval or inform the approval authority which granted the exemption approval that this exemption approval is to be withdrawn.
11. If the procedure to amend the UN Regulation is not completed before the expiration of the time limit defined in paragraph 8 of this Schedule, the validity of the exemption approval may be extended, at the request of the Contracting Party which granted the exemption approval, subject to a decision adopted in accordance with the procedure described in paragraphs 2 and 3 of this Schedule. If, however, the Contracting Party which has been authorized to grant the exemption approval failed to submit a proposal to amend the UN Regulation before the deadline specified in paragraph 9 of this Schedule, that Contracting Party shall immediately withdraw this exemption approval, taking however into account the time limit as defined in paragraph 8 of this Schedule. The Contracting Party which withdrew the exemption approval shall inform the Administrative Committee accordingly at its next session.
12. If the Administrative Committee decides to refuse an authorization to grant an exemption approval, the Contracting Party which issued the provisional approval referred to in paragraph 2 of this Schedule may withdraw this provisional approval. In this case, that Contracting Party shall immediately give notice to the holder of the provisional approval that this provisional approval, granted in accordance with paragraph 2 of this Schedule, will be withdrawn six months after the date of the decision taking into account that the provisional approval shall be valid at least for twelve months from the date of its granting.
Schedule 8
General conditions for virtual testing methods
1. Virtual test pattern
The following scheme shall be used as a basic structure for describing and conducting virtual testing:
(a)
Purpose;
(b)
Structure model;
(c)
Boundary conditions;
(d)
Load assumptions;
(e)
Calculation;
(f)
Assessment;
(g)
Documentation.
2. Fundamentals of computer simulation and calculation
2.1. Mathematical model
The mathematical model shall be supplied by the manufacturer. It shall reflect the complexity of the structure of the wheeled vehicles, equipment and parts to be tested in accordance with the requirements of the UN Regulations concerned and its boundary conditions.
The same provisions shall apply, mutatis mutandis, for testing components independent of the vehicle.
2.2. Validation process of the mathematical model
The mathematical model shall be validated in comparison with the actual test conditions.
To that effect, physical testing shall be conducted as appropriate for the purposes of comparing the results obtained when using the mathematical model with the results of a physical test. Comparability of the test results shall be proven. A validation report shall be drafted by the manufacturer or by the technical service and submitted to the approval authority.
Any change made to the mathematical model or to the software likely to invalidate the validation report shall be brought to the attention of the approval authority which may require a new validation process to be conducted.
2.3. Documentation
The data and auxiliary tools used for the simulation and calculation shall be made available by the manufacturer and be documented in a way suitable for the technical service.
3. Tools and support
At the request of the approval authority or the technical service, the manufacturer shall supply or provide access to the necessary tools including appropriate software.
In addition the manufacturer shall provide appropriate support to the approval authority or the technical service.
Providing access and support to a technical service does not remove any obligation of the technical service regarding the skills of its personnel, the payment of licence rights and respect of confidentiality.