EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEXES 1 to 3  
 
ANNEXES  
 
to the  
COMMISSION REGULATION (EU) …/…  
amending Commission Regulation (EU) No 582/2011 as regards the Auxiliary Emission 
Strategies (AES), the transfer of provisions on access to vehicle repair and maintenance 
information and the introduction of cold engine start provisions and particle number 
measurement in vehicle testing by means of portable emissions measurement systems 
(PEMS)    
 1  ANNEX I 
 
 Annex I to Regulation (EU)  No 582/2011 is amended as follows:  
(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) point 3.4. is replaced by the following:  
'3.4. In the case of an application for EU type -approval of a ve hicle 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) points 8.3 and 8.3.1. are replaced by the following:   
'8.3. The extended documentation package shall be drawn up in accordance with  Appendix 11.';  
(4) Appendix 4 is amended as follows:  
 (a) the first paragraph is replaced by the following:  
'relating to:  
EC type -approval of an engine or engine family as a separate technical unit,  
EC type -approval of a vehicle with an approved engine with regard to emissions,  
EC type -approval of a vehicle with regard to emissions.';  
(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 E C 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 EC 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 EC type -approval of a vehicle with regard to emissions the 
general part and Parts 1 and 2 shall be fi lled in.;  
(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)  
 
 
'; 
 
(d) below  the "general part" of the table , the words ‘Part 3: ACCESS TO VEHICLE REPAIR AND 
MAINTENANCE INFORMATION’ are deleted;  
(e) Part 3 of the table is deleted;   
 2  (5) in Appendix 5, in Table 6a (PEMS demonstration test) under point 1.4.4.  of the Addendum  to an 
EC type -approval certificate , the rows concerning "Pass -fail results"  for the  "Work window 
conformity factor" and the " CO 2 mass window conformity factor" are replaced by the following:  
 
‘Pass-fail results (7) CO THC  NMHC  CH 4 NO x PM 
number  
Work window 
conformity factor(11)       
CO 2 mass window 
conformity factor(11)      '; 
 
(6) in Appendix 7, in Table 6a (PEMS demonstration test) under point 1.4.4.  of the  Addendum  to an 
EC type -approval certificate , the rows concerning "Pass -fail results"  for the  "Work window 
conformity factor" and the "CO 2 mass window conformity factor" are replaced by the following:  
' 
‘Pass-fail results (7) CO THC  NMHC  CH 4 NO x PM 
number  
Work window 
conformity factor(11)       
CO 2 mass window 
conformity factor(11)      '; 
 
(7) in Appendix 9, Table 1 and the accompanying Key are replaced by the following:  
' 
 'Table 1  
Charac
ter NO x 
OTL1 PM 
OTL2 CO 
OTL3 IUPR4 Reagen
t 
quality  Additi
onal 
OBD 
monit
ors5 Power 
thresh
old 
requir
ement
s6 Cold 
start 
and 
PM 
numb
er Imple
menta
tion 
dates: 
new 
types  Imple
menta
tion 
dates: 
all 
vehicl
es Last 
date 
of 
registr
ation  
A78 
B8 Row 
‘phase
-in 
period
’ of 
Table 
1 or 
Table Perfor
mance 
Monit
oring9 N/A Phase -
in10 Phase -
in11 N/A 20 %  N/A 31.12.
2012  31.12.
2013  31.8.2
0157 
30.12.
20168  
 3  2 
B12 Row 
‘phase
-in 
period
’ of 
Tables 
1 and 
2 N/A Row 
‘phase
-in 
period
’ of 
Table 
2 N/A Phase -
in11 N/A 20 %  N/A 1.9.20
14 1.9.20
15 30.12.
2016  
C Row 
‘gener
al 
requir
ement
s’ of 
Table 
1 or 
Table 
2 Row 
‘gener
al 
requir
ement
s’ of 
Table 
1 Row 
‘gener
al 
requir
ement
s’ of 
Table 
2 Gener
al13 General
14 Yes 20 %  N/A 31.12.
2015  31.12.
2016  31.8.2
019 
D Row 
‘gener
al 
requir
ement
s’ of 
Table 
1 or 
Table 
2 Row 
‘gener
al 
requir
ement
s’ of 
Table 
1 Row 
‘gener
al 
requir
ement
s’ of 
Table 
2 Gener
al13 General
14 Yes 10 %  N/A 1.9.20
18 1.9.20
19 31.8.2
021 
E Row 
‘gener
al 
requir
ement
s’ of 
Table 
1 or 
Table 
2 Row 
‘gener
al 
requir
ement
s’ of 
Table 
1 Row 
‘gener
al 
requir
ement
s’ of 
Table 
2 Gener
al13 General
14 Yes 10 %  Yes 1.9.20
20 1.9.20
21  
_________________________  
Key:  
1 ‘NO x 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.  
2 ‘PM OTL’ monitoring requirements as set out in Table 1 of Annex X for compression ignition 
and dual -fuel engines and vehicles.   
 4  3 ‘CO OTL’ monitoring requirements as set out in Table 2 of Annex X for positive ignition 
engines and vehicles.  
4 IUPR specifications are set out in Annex X. Positive Ignition engines and vehic les equipped 
with such engines are not subjected to IUPR. 
5 Additional provisions concerning monitoring requirements as set out in paragraph 2.3.1.2 of 
Annex 9A to UNECE Regulation No 49.  
6 ISC requirement set out in Appendix 1 to Annex II.  
7 For positive -ignition engines and vehicles equipped with such engines. 
8 For compression -ignition and dual -fuel engines and vehicles equipped with such engines. 
9 ‘Performance monitoring’ requirements as set out in point 2.1.1 of Annex X. 
10 IUPR ‘Phase -in’ requirement s as set out in Section 6 of Annex X 
11 Reagent quality ‘phase -in’ requirements as set out in point 7.1 of Annex XIII. 
12 Only applicable to positive -ignition engines and vehicles equipped with such engines. 
13 IUPR ‘General’ requirements as set out in Sec tion 6 of Annex X. 
14 Reagent quality ‘general’ requirements as set out in point 7.1.1 of Annex XIII. 
N/A Not applicable .'; 
(8) in Appendix 10, the following explanatory note is inserted:  
'(11) CF final needs to be stated, if applicable' .; 
(9) the following  Appendix is added:  
'Appendix 11  
EXTENDED DOCUMENTATION PACKAGE   
 
The extended documentation package shall include the following  
(A) detailed information on all AES:  
 (a) a declaration of the manufacturer that the vehicle does not contain any defeat 
device;  
 (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;  
 (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 Appro val Authority that holds this extended documentation package each 
time there is a new software version that has an impact to the AES/BES;  
 (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:  
 (i) hardware element(s) that need to be protected by the AES, where 
applicable;  
(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;  
(iii) a reasoned explanation on why there is a need to use an AES upon engine 
start, where applicable;   
 5   (e) a description of the fuel system control logic, timing strategies and switch 
points during all modes of operation;  
 (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 a nd how does the hierarchy assure emissions from all AES are 
controlled to the lowest practical level ; 
 (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 ; 
 (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 ea ch 
engine/emission control parameter; along with  the relationship between 
engine/emission control parameters and measured or calculated parameters;  
 (i) an evaluation  of how the AES will control  real-driving emissions to the lowest 
practical level, includi ng a detailed analysis of the expected increase of total 
regulated pollutants and CO 2 emissions by using the AES, compared to the BES.  
The extended documentation package shall also include the following:  
(B) a full description of the inducement system requ ired by Annex XIII, including the associated 
monitoring strategies;  
(C) the description of the anti -tampering measures considered in point (b) of Article 5(4) and in 
point (a) of Article 7(4).  
 
The extended documentation package shall be limited to 100 pag es and shall include all the main 
elements to allow the type 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 comple mented 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 introduc ed 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.  
The extended documentation package shall be structured as follows:  
Extended Documentation Package No. YYY/OEM  Parts  
paragra
ph point  Explanation  Introductio
n  
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   
 6    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 CO 2 
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   
 7  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/CO 2 impact 
with/without AES activation';  
'. 
 
   
 8   
ANNEX II 
 
 Annex II to Regulation (EU) No 582/2011 is amended as follows:  
(1) point 4.6.2. is replaced by the  follow ing: 
'4.6.2.  Emissions and other data sampling shall start prior to starting the engine. Cold start 
emissions shall be included in the emissions evaluation, in accordance with point 2.6.1. of Appendix 
1.'; 
(2) in point 6.3., Table 2 is replaced by the following:  
'Table 2  
Maximum allowed conformity factors for in -service conformity emission testing  
Pollutant  Maximum allowed conformity factor  
CO 1,50  
THC(1) 1,50  
NMHC(2) 1,50  
CH 4(2) 1,50  
NO x 1,50  
PM number  1,63(3) 
1 For compression -ignition engines.  
2 For positive -ignition engines.  
3 Subject to transitional measures laid down in Article 17a ';   
 
(3) in Section 6, the following point is added : 
'6.4. The final conformity factor for the test (CF final) for each pollutant calculated in accordance with 
Appendix 1 shall not exceed the maximum allowed conformity factor for that pollutant set out in 
Table 2.   
The Commission will keep under review the appropriate level of the final conformity factor and will 
revise this as a result of improved quality of the PEMS procedure or technical progress. ';  
(4) the following point is inserted after  point 10.1.8.5.:   
'10.1.8.5 a PM number concentration [#/cm3]'; 
(5) the following point is inserted after  point 10.1.9.5.:  
'10.1.9.5 a PM number flux [#/s] ';  
(6) the following point is inserted after  point 10.1.9.10.:  
'10.1.9.10 a PM number [#]';  
(7) the following point is inserted after  point 10.1.9.19.:  
'10.1.9.19 a Work window PM number conformity factor [ -]';  
 9  (8) the follow ing point is inserted after  point 10.1.9.24.:  
'10.1.9.24 a CO 2 mass window PM number conformity factor [ -]'; 
(9) the following point is inserted after  point 10.1.10.12.:  
'10.1.10.12 a. PM number [#]. ';  
(10) the following point is inserted after  point 10.1.1 1.5.:  
'10.1.11.5 a. Work window PM number conformity factor [ -].'; 
(11) the following point is inserted after  point 10.1.11.9.:  
'10.1.11.9 a CO 2 mass window PM number conformity factor [ -].'; 
(12) the following point is inserted after  point 10.1.12.4.:  
'10.1.12.4 a PM number analyser zero, pre and post test.';  
(13) Appendix 1 is amended as follows:  
(a) in point 1, the first paragraph is replaced by the following:  
'This Appendix describes the procedure to determine pollutant emissions from on -vehicle on -road 
measurements using Portable Emissions Measurement Systems (hereinafter ‘PEMS’). The pollutant 
emissions to be measured from the exhaust of the engine include th e following components: carbon 
monoxide, total hydrocarbons, nitrogen oxides and PM number  for compression ignition engines and 
carbon monoxide, non -methane hydrocarbons, methane, nitrogen oxides and PM number for 
positive ignition engines. Additionally, c arbon dioxide shall be measured to enable the calculation 
procedures described in Section 4.';  
(b) point 2.1.1. is replaced by the following:  
'2.1.1.  Gas analysers and PM number analysers to measure the concentrations of regulated 
pollutants in the exhaust gas .'; 
(c) in point 2.2., Table 1 is replaced by the following:  
 
'Table 1  
Test parameters  
Parameter  Unit  Source  
THC concentration(1) ppm  Gas a nalyser  
CO concentration(1) ppm  Gas a nalyser  
NO x concentration(1) ppm  Gas a nalyser  
CO 2 concentration(1) ppm  Gas analyser  
CH 4 concentration(1)(2) ppm  Gas a nalyser  
PM number concentration  # / cm3 PM number analyser  
Dilution setting (if applicable)  - PM number analyser  
Exhaust gas flow  kg/h  Exhaust Flow Meter (hereinafter  
 10  ‘EFM’)  
Exhaust temperature  K EFM  
Ambient temperature(3) K Sensor  
Ambient pressure  kPa Sensor  
Engine torque(4) Nm ECU or Sensor  
Engine speed  rpm ECU or Sensor  
Engine fuel flow  g/s ECU or Sensor  
Engine coolant temperature  K ECU or Sensor  
Engine intake air temperature(3) K Sensor  
Vehicle ground speed  km/h  ECU and GPS  
Vehicle latitude  degree  GPS 
Vehicle longitude  degree  GPS 
(1) Measured or corrected to a wet basis.  
(2) Gas engines only.  
(3)  Use the ambient temperature sensor or an intake air temperature sensor.  
(4) The recorded value shall be either (a) the net brake engine torque in accordance with point 2.4.4 
of this Appendix or (b) the net brake engine torque calculated from the torque values in 
accordance with point 2.4.4 of this Appendix. '; 
(d) in Section 2.4, the following points are  added : 
'2.4.6. Installation of PM number analyser  
The installation and operation of the PEMS shall be leak -tight and minimise heat loss. To avoid the 
generation of particles, connectors shall be thermally stable at the exhaust gas temperatures 
expected du ring the test . In case elastomer connectors are used to connect the vehicle exhaust 
outlet and the connecting tube, these shall have no contact with the exhaust gas to avoid artefacts at 
high engine load.  
2.4.7. Sampling of PM number emissions  
Emissions sa mpling shall be representative and conducted at locations of well -mixed exhaust gas 
where the influence of ambient air downstream of the sampling point is minimal. Where  applicable, 
emissions shall be sampled downstream of the exhaust mass flow meter, resp ecting a distance of at 
least 150 mm to the flow sensing element. The sampling probe shall be fitted at least 3 times the 
inner diameter of the exhaust pipe upstream of the point at which the exhaust exits into the 
environment. The exhaust shall be sampled  from the centre of the exhaust stream. Where  several 
probes are used for emissions sampling, the particle sampling probe shall  be placed upstream of the 
other sampling probes. The particle sampling probe shall not interfere with the sampling of gaseous  
pollutants. The type and specifications of the probe and its mounting shall be documented in detail, 
either in the test report of the Technical Service (in the case of testing at type approval) or in the 
vehicle manufacturer's own documentation (in case o f in-service conformity testing).  
Where  particles are sampled and not diluted at the tailpipe, the sampling line from the raw exhaust 
sample point to the point of dilution or particle detector shall be heated to a minimum of 373 K (100  
 11  °C). The residence t ime of the sample in the particle sampling line shall be less tha n 3 seconds to the 
point of first dilution or  to the particle detector . 
All parts of the sampling system, from the exhaust pipe to the particle detector, which are in contact 
with raw or dilu ted exhaust gas, shall be designed to minimise the deposition  of particles. All parts 
shall be made from anti -static material to prevent electrostatic effects.';  
(e) in Section 2.5, the following point is added : 
'2.5.5. Checking the PM number analyser  
The PEMS shall function free of errors and critical warnings. The zero level of the PM number 
analyser shall be recorded by sampling  high efficiency particulate ( HEPA ) filtered ambient air at the 
inlet of the sampling line in the 12 hour -period  before test start . The  signal shall be recorded at a 
constant frequency of at least 1 ,0 Hz averaged over a period of 2 minutes . The final absolute 
concentration shall be within the manufacturer’s specifications  and, in addition,  shall not exceed 
5000 particles per cubic centimetre. '; 
(f) point 2.6.1. is replaced by the following:  
'2.6.1.  Test start  
For the purposes of the test procedure,  ’test start ’ shall mean  the first ignition of the internal 
combustion engine.  
Emissions sampling, measurement of the exhaust parameters  and recording of the engine and 
ambient data shall commence prior to the test start . Artificial warming up of the emission control 
systems of the vehicle prior to the test start shall be prohibited.  
The coolant temperature shall not exceed 303 K (30 °C) at test start . The coolant temperature shall 
not exceed the ambient temperature by more than 2 °C at test start. The data evaluation shall start 
once the coolant temperature has reached 303 K (30 °C) f or the first time or once the coolant 
temperature is stabilised within +/ – 2 K over a period of 5 minutes , whichever occurs first, but in any 
event no later than 10 minutes after test start.';  
(g) point 2.6.3 is replaced by the following:  
'2.6.3 Test end  
Test end is reached when the vehicle has completed the trip and the internal combustion engine is 
switched off.  
The internal combustion engine shall be switched off as soon as pra cticable at the end of the trip . 
Data shall continue to be recorded until the res ponse time of the sampling systems has elapsed.';  
(h) in Section 2.7, the following point is added : 
'2.7.6 Checking the PM number analyser  
The zero level of the PM number analyser shall be checked before test start and after test end and 
recorded  in accordan ce with  the requirements of point 2.5.5.';  
(i) points 3.1.1., 3.1.2. and 3.1.3. are replaced by the following:  
'3.1.1.  Analysers data  
The data from the gas analysers shall be properly aligned using the procedure laid down in paragraph 
9.3.5 of Annex 4 to UNECE Regulation No 49. The data from the PM number analyser shall  be time 
aligned with its own transformation time, according to the instrument manufacturer’s instructions .  
 12  3.1.2.  Analysers and Exhaust Flow Meter (EFM) data  
The data from the gas analysers and the PM number analysers shall be properly aligned with the da ta 
of the EFM using the procedure in point 3.1.4.  
3.1.3.  PEMS and engine data  
The data from the PEMS (gas analysers, PM number analyser and EFM) shall be properly aligned with 
the data from the engine ECU using the procedure in point 3.1.4.';  
(j) in point 3.1. 4, ‘1: Gas analysers (THC, CO, CO 2, NO x concentrations); ’ is 
replaced by the following:  
'1 : Gas analysers (THC, CO, CO 2, NO x concentrations) and PM number analyser; ' 
(k) in Section 3, the following point is added :  
'3.6. Calculation of the instantaneous PM nu mber emissions  
The instantaneous PM number (PN i) emissions [#/s] shall be determined by multiplying the 
instantaneous concentration of the PM number [#/cm3] with the instantaneous exhaust mass flow 
rate [kg/s], both corrected and aligned for the transforma tion time. Where  applicable,  all negative 
instantaneous emissions values shall enter subsequent data evaluations as zero. All significant digits 
of intermediate results shall enter the calculation of the instantaneous emissions. The following 
formula shall  apply  for the purposes of determining the instantaneous PM number emissions :  
𝑃𝑁𝑖 = 𝑐𝑃𝑁𝑖 . 𝑞𝑚𝑒𝑤𝑖 / 𝜌𝑒 
where:  
PN i   is the instantaneous PM number emissions [#/s]  
cPNi is the measured  PM number concentration [#/m3] normalised at 273 K (0°C) including 
internal dilution and particle losses  
qmewi  is the measured exhaust mass flow rate [kg/s]  
ρe is the density of the exhaust gas [kg/m3] at 273 K (0°C) .'; 
(l) point s 4.2.1 and 4.2.1.1. are replaced by the following:  
4.2.1. Calculation of the specific emissions  
The specific emissions e ([mg/kWh] or [#/kWh]) shall be calculated for each window and each 
pollutant in the following way:   
𝑒=𝑚
𝑊(𝑡2,𝑖)−𝑊(𝑡1,𝑖) 
where:  
m    is the mass emission of the pollutant  [mg/window] or the PM number 
[#/window]   
W(t 2,i) – W(t 1,i)   is the engine work during the ith averaging window [kWh] .  
4.2.1.1. Calculation of the specific emissions for a declared market fuel  
If a test pursuant to this Annex was performed with a market fuel declared in point 3.2.2.2.1 of Part 1 
in Appendix 4 to Annex I, the specific emissions e([mg/kWh] or [#/kWh]) shall be calculated for each   
 13  window and each pollutant by multiplying the specific emissions  determined in accordance with 
point 4.2.1.  with the power correction factor determined pursuant  to point 1.1.2 (a1) of Annex I.';  
(m) point 4.2.3. is replaced by the following:  
'4.2.3.  Calculation of the conformity factors  
The conformity factors shall be calculated for each individual valid window and each individual 
pollutant in the following way:  
 𝐶𝐹=𝑒
𝐿 
where:  
e  is the brake -specific emission of the gaseous pollutant [mg/kWh] or [#/kWh];  
L  is the applicable limit [mg/kWh] or [#/kWh].';  
(n) point 4.3.2. is replaced by the following:  
'4.3.2.   Calculation of the conformity factors  
The conformity fac tors shall be calculated for each individual valid window and each individual 
pollutant in the following way:  
 
𝐶𝐹=𝐶𝐹𝐼
𝐶𝐹𝐶 
 
where  
     𝐶𝐹𝐼=𝑚
𝑚𝐶𝑂2(𝑡2,𝑖)−𝑚𝐶𝑂2(𝑡1,𝑖)  (in service ratio) and  
 
     𝐶𝐹𝐶=𝑚𝐿
𝑚𝐶𝑂2,𝑟𝑒𝑓  (certification ratio)  
where:  
m      is the mass emission of the gaseous pollutant , [mg/window] or the 
PM number, [#/window]  
mCO2(t2,i) – mCO2(t1,i)   is the CO 2 mass during the ith averaging window [kg];  
mCO2,ref      is the engine CO 2 mass determined for the WHTC [kg];  
mL     is the mass emission of the gaseous pollutant  or the PM  number  
corresponding to the applicable limit on the WHTC [mg] or [#] respectively].  '; 
(o) in Section 4, the following points are added : 
'4.4. Calculation of the final conformity factor for the test  
4.4.1.  From the dates referred to in Article 17a, point 4.4.2. shall apply.   
 14  4.4.2.  The final conformity factor for the test (CF final ) for each pollutant shall be calculated as 
follows:  
CFfinal = 0.14∙CF cold + 0.86∙CF warm  
where:  
CFcold  is the conformity factor of the cold operation of the test , which shall be equal to the highest 
conformity factor determined for that pollutant in accordance with the calculation procedures 
specified in points 4.1. and either 4.2. or , as applicable, 4.3., of the moving averaging windows 
starting below 343 K (70 °C) coolant temperature ; 
CFwarm  is the  conformity factor of the warm operation of the test , which shall be equal to the 90th 
cumulative percentile of the conformity factors determined for that pollutant in accord ance with the 
calculation procedures specified in points 4.1 and either 4.2. or  , as applicable, 4.3., when the data 
evaluation is started after the coolant temperature has reached 343 K (70 °C) for the first time.';  
(14) Appendix 2 is amended as follows:  
(a) point 1 is replaced by the following:  
'1. GENERAL   
The gaseous emissions and the PM number shall be measured according to the procedure set out in 
Appendix 1. This Appendix describes the characteristics of the portable measurement equipment 
that shall be used to perform such measurement tests. '; 
(b) in Section 2, the following points are added : 
'2.5 PM number analysers  
2.5.1 General  
The PM number analyser shall consist of a pre -conditioning unit and a particle detector  (see  
Figure 1) . The particle detector may also pre-condition the aerosol. The analyser's sensitivity to 
shocks, vibration s, aging, variations in temperature and air pressure , electromagnetic interferences 
and other impacts related to  the operation of the vehicle or the analyser shall be kept t o a minimum 
as far as possible and shall be clearly stated  in the supporting documentation  produced by the 
instrument manufacturer . The PM number analyser shall  fulfil the requirements of this Regulation 
and the specifications of the instrument manufacture r. 
  
 15   
 
2.5.1.1. The PM number analyser shall be connected to the sampling point via a sampling probe 
which extracts a sample from the centreline of the tailpipe tube. If particles are not diluted at the 
tailpipe, the sampling line shall be heated to a minimum temperature of 373 K (100 °C) until the 
point of first dilution of the PM number analyser or the particle detector of the analyser. The 
residence time of the sample in the particle sampling line shall be less than 3 seconds to the point of 
first dilution or to the par ticle detector . 
2.5.1.2. All parts in contact with the sampled exhaust gas shall be always kept at a temperature that 
avoids condensation of any compound in the device. Th at may be achieved e.g. by heating to a 
higher temperature and diluting the sample or  oxidising the (semi)volatile species.  
2.5.1.3. The PM number analyser shall include a heated section at wall temperature ≥573K (300 °C). 
The pre-conditioning unit shall control the heated stages to constant nominal operating 
temperatures, within a tolerance of ±10 K and provide an indication of whether or not heated parts 
are at their correct operating temperatures. Lower temperatures are acceptable as long as the 
volatile particle removal efficiency meets the specifications set out in point 2.5.4.  Figure 1   
Example of a PM number analyser setup  
(dotted lines depict optional parts)  
 
EFM: Exhaust mass Flow Meter  
d: inner diameter  
PND: PM Number Diluter  
 
 
 
 16  2.5.1.4. Pressure, temperature and other sensors shall monitor the operation of the instrument 
during its operation and shall trigger a warning or message in case of malfu nction.  
2.5.1.5. The delay time inside the PM number analyser shall be <5 s.  Delay time means the time 
difference between a change of concentration at the reference point and a system response of 10% 
of the final reading.  
2.5.1.6. The PM number analyser (a nd/or particle detector) shall have a rise time of <3.5 s.  
2.5.1.7. Particle concentration measurements shall be reported normalised to 273 K (0 °C) and  
101.3 kPa. If considered necessary using best engineering judgement, the pressure and/or 
temperature at the inlet of the detector shall be measured and reported for the purposes of 
normalising the particle concentration.  
2.5.1.8. PM number analysers  that comply with the calibration requirements of UNECE Regulation  
No 83 or 49 or GTR 15 shall be deemed to  comply with the calibration requirements of this Annex.  
2.5.2. Efficiency requirements  
2.5.2.1. The complete PM number analyser system , including the sampling line , shall meet the 
efficiency requirements of Table 1:   
Table 1: PM number analyser system (including sampling line) efficiency requirements  
dp [nm]  Sub-23 23 30 50 70 100 200 
E(dp)  TBD 0.2-0.6 0.3-1.2 0.6-1.3 0.7-1.3 0.7-1.3 0.5-2.0 
 
2.5.2.2. Efficiency E(dp) is the ratio in the readings of the PM number analyser system  to a reference 
Condensation Particle Counter (CPC)’s (d50=10nm or lower, checked for linearity and calibrated with 
an electrometer) or an Electrometer’s number concentration measuring in parallel monodisperse 
aerosol of mobility diameter dp and normalised  at the same temperature and pressure conditions. 
The material shall  be thermally stable and soot -like (e.g. spark discharged graphite or diffusion flame 
soot with thermal pre -treatment).  If the efficiency curve is measured with a different aerosol (e.g. 
NaCl), the correlation to the soot -like curve shall  be provided in the form of a chart which compares 
the efficiencies obtained using both test aerosols. The differences in the counting efficiencies shall  be 
taken into account by adjusting the measured effi ciencies based on th is comparison chart to give 
soot -like aerosol efficiencies . Any correction  for multiple charged particles shall  be applied and 
documented , but it shall not exceed 10%. The final  efficiencies (e.g. adjusted for the different 
material and multiple charged particles) shall cover  the PM number analyser and sampling line . The 
PM number analyser may  alternatively be calibrated in parts (i.e. the pre -conditioning unit separately 
from th e particle detector) provided  that the PM number analyser and the sampling line together 
meet  the requirements of Table 1. The signal measured from the detector shall be >2 times the limit 
of detection (here defined  as the zero level plus 3 standard deviat ions).  
2.5.3. Linearity requirements  
2.5.3.1. The linearity requirements shall be verified whenever damage is observed, as required by 
internal audit procedures or by the instrument manufacturer, at least once within the 12 -month 
period leading up to a tes t .  
2.5.3.2. The PM number analyser , including the sampling line , shall meet the linearity requirements 
set out in Table 2.  
Table 2: Linearity requirements of PM number analyser (including sampling line)   
 17  Measurement 
parameter / 
instrument  min  (a1 - 1)+ a 0 Slope a 1 Standard error 
SEE Coefficient of 
determination r2 
PM number 
analyser  ≤5% max  0.85-1.15 ≤10% max  ≥0.950  
 
2.5.3.3. The PM number analyser  system , including the sampling line , shall meet the linearity 
requirements of Table 2 using monodisperse or polydisperse soot -like particles. The particle size 
(mobility diameter or count median diameter) shall  be larger than 45 nm. The reference instrument 
shall be an Electrometer or a Condensation Par ticle Counter (CPC) with d50=10 nm or lower, verified 
for linearity. Alternatively, the reference instrument may be a particle number system that complies 
with the requirements of UNECE Regulation No 49. 
2.5.3.4. In addition, the differences between the PM  number analyser and the reference instrument 
at each of  the points that are checked (except the zero point) shall be within 15% of their mean 
value. At least 5 points equally distributed (plus the zero  point ) shall be checked. The maximum 
checked concentr ation shall be the maximum allowed concentration of the PM number analyser.  
If the PM number analyser is calibrated in parts, the linearity may  be checked only for the detector, 
but the efficiencies of the other parts and the sampling line shall be taken i nto account  in the slope 
calculation.  
2.5.4. Volatile removal efficiency  
2.5.4.1. The PM number analyser  system shall achieve >99% removal of ≥30 nm tetracontane 
(CH 3(CH 2)38CH 3) particles with an inlet concentration of ≥10,000 particles per cubic centimetr e at the 
minimum dilution.  
2.5.4.2. Additionally, the PM number analyser system shall also achieve a >99% removal efficiency of 
polydisperse alcane (decane or higher) or emery oil with count median diameter >50 nm and an inlet 
concentration of ≥ 5x106 particles per cubic centimetre at the minimum dilution (equivalent mass >1 
mg/m3).  
2.5.4.3. The volatile removal efficiency with tetracontane and/or polydisperse alcane or oil need to  
be proven only once for the PEMS family. A PEMS family is considered to be a group of instruments 
with the same analysers, sample and thermal conditioning and software compensation algorithms. 
The instrument manufacturer shall  provide the maintenance or replacement interval that ensures 
that the removal efficiency does not drop b elow the technical requirements. Alternatively, t he 
volatile removal efficiency  shall be checked yearly for each instrument.';  
(15) in Appendix 3 , the following point is added : 
'1.4. PM number analyser calibration and verification  
1.4.1. The PEMS leakage t est shall be conducted either in accordance with the requirements set out 
in paragraph 9.3.4 of Annex 4 to UNECE Regulation No 49 or in accordance with the instrument 
manufacturer’s instructions.  
1.4.2. The response time check of the PM number analyser sh all be conducted in accordance with the 
requirements set out in paragraph 9.3.5 of Annex 4 to UNECE Regulation No 49 using particles if 
gases cannot be used.  
1.4.3. The transformation time of the PM number analyser system , including its sampling line , shall 
be determined in accordance with paragraph A.8.1.3.7. of Appendix 8 to Annex 4 to UNECE  
 18  Regulation No 49. 'Transformation time ' means the time difference between a change of 
concentration at the reference point and a system response of 50% of the fi nal reading.  
   
 19  ANNEX III 
 
Annex VI to Regulation (EU) No 582/2011 is amended as follows:  
(1) in Section 8, the following paragraph is added:  
'The m ethodology for the assessment of AES  is described in Appendix 2 to this Annex.  ' 
(2) in Appendix 1 , the seco nd paragraph of point 3.1.  is replaced by the following:  
'The vehicle payload shall  be 50 -60 % of the maximum vehicle payload. A deviation from th at range 
may be agreed  with the approval authority. The reason for such a deviation shall  be indicated in the  
test report. The additional requirements set out in Annex II shall apply. ';  
(3) the following Appendix is added:  
'Appendix 2  
Methodology for the assessment of AES  
For the purposes of  assess ing the AES  the approval authority shall verify  at least whether the 
requirement laid down in this Appendix are fulfilled.   
(1) The increase of emissions induced by the AES shall be kept at the lowest possible level:  
(a) The increase of total emissions when using an AES shall be kept at the lowest possible 
level throughout the normal use and life of the vehicles;  
(b) Whenever a technology or design that would allow for improved emission control is 
available on the market at the time of the AES preliminary assessment it shall be used 
with no unjustified modulation  
(2) When used t o justify an AES, the risk of sudden and irreparable damage to the engine, shall be 
appropriately demonstrated and documented, including the following information:  
(a) Proof of catastrophic (i.e. sudden and irreparable) engine damage shall be provided by 
the manufacturer, along with a risk assessment which includes an evaluation of the 
likelihood of the risk occurring and severity of the possible consequences, including 
results of tests carried out to this effect;  
(b) When a technology or design is available on t he market at the time of the AES 
application that eliminates or reduces that risk, it shall be used to the largest extent 
technically possible (i.e. with no unjustified modulation);  
(c) Durability and the long -term protection of the engine or components of the  emission 
control system from wear and malfunctioning shall not be considered an acceptable 
reason to grant an exemption from the defeat device prohibition.  
(3) An adequate  technical description  shall document why it is necessary to use an AES for the safe  
operation of the vehicle:  
(a) Proof of an increased risk to the safe operation of the vehicle should  be provided by the 
manufacturer along with a risk assessment which includes an evaluation of the likelihood 
of the risk occurring and severity of the possible  consequences, including results of tests 
carried out to this effect;  
(b) When a different technology or design is available on the market at the time of the AES 
application that would allow for lowering the safety risk, it shall be used to the largest 
extent technically possible (i.e. with no unjustified modulation).  
(4) An adequate  technical description  shall document why it is necessary to use an AES during engine 
start:   
 20  (a) Proof of the need to use an AES during engine start shall be provided by the 
manufacture r along with a risk assessment which includes an evaluation of the likelihood 
of the risk occurring and severity of the possible consequences, including results of tests 
carried out to this effect;  
(b) Where a different  technology or design is available on the  market at the time of the AES 
application that would allow for improved emission control upon engine start, it shall be 
used to the largest extent technically possible.'.