World Forum For Harmonizationof Vehicle Regulations (WP.29)
How it works - How to join it
Revised Fourth Edition

World Forum For Harmonizationof Vehicle Regulations (WP.29)
How it works - How to join it
Revised Fourth Edition

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

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ii

Foreword

Foreword
Well-developed, efficient, clean, safe and secure inland transport systems offer important access to markets, employment, education
and basic services that are critical to poverty alleviation. Transportation, and road transport in particular, is simultaneously a major
driving force behind a growing global demand for energy, it has a significant environmental footprint, and its impacts on publichealth are of major concern due to the worldwide death, injury rates and illness resulting from road traffic crashes and air pollution.
Growing global demand for goods transport and personal mobility is driving a historically unprecedented increase in roadmotorization rates and traffic volumes worldwide, in urban and non-urban settings alike. The deployment of motorcycles, cars
and trucks on streets and roads is projected to increase in the coming decades most significantly in developing countries withstrong population growth rates, particularly in Africa and South-East Asia.
Annually, 1.35 million lives are lost in road traffic. Fossil fuels account for 96% of energy consumption in road transport and thesector is responsible for 18% of global GHG emissions. A business as usual trajectory will fail to mitigate these existing negative
externalities of road vehicles and compound an even greater impact in the future due to the expected growth of demand forroad transport worldwide. Making sure that the vehicles deployed on roads are safe, energy efficient and environmentally friendly
will be vital for achieving many of the 2030 Agenda’s 17 Sustainable Development Goals (SDGs) and their targets. There is a direct
link to SDG targets 3.6 on reducing road traffic fatality rates and 3.9 on reducing air pollution related deaths, 7.2 and 7.3 onincreasing the share of renewables in the global energy mix and improving energy efficiency, targets of SDG 9 on infrastructure,industrialization and innovation, target 11.2 on ensuring safe, environmentally sound and sustainable urban transport systems for
all, and SDG 13’s actions to combat climate change and its impacts.
Efforts in research, development and innovation are continuously bringing to market new technologies that incrementally
improve the safety performance and reduce energy consumption and environmental impact of road vehicles. More efficientengines, alternative fuel technologies, active and passive safety systems and automation in vehicles are promising avenues for
improving the sustainability of road transport and road vehicles. However, technology represents only part of the solution andshould be widespread to have a lasting impact. The participation of all stakeholders, those from governments, the industry andrepresentatives of consumers, in a worldwide regulatory platform addressing road vehicles is a key link in ensuring sectorial
sustainability for the future.
The UNECE World Forum for Harmonization of Vehicle Regulations (WP.29) is the worldwide regulatory forum in which all relevant
stakeholders are participating. Three UN Agreements, adopted in 1958, 1997 and 1998, provide a legal framework allowing
Contracting Parties to establish internationally harmonized regulatory instruments concerning the certification of motor vehicles,
their equipment and parts, and rules for technical inspections of vehicles in use. The regulatory framework developed by theWorld Forum allows the mass market introduction of innovative vehicle technologies, while continuously improving global
vehicle safety, energy efficiency and environmental performance.
Countries joining the World Forum benefit from a global platform where state-of-the-art technical regulations are discussed andadopted, reducing the administrative burden for contracting parties, and offering harmonized technical specifications for faster
deployment of vehicle technologies aimed at achieving sustainable mobility.
This publication introduces the work of the World Forum, the UN Agreements under its purview and the regulatory processes
under those Agreements. I recommend this publication to stakeholders from governments, industry, NGO’s and academia, andinvite interested parties to participate in the World Forum and contribute to the global effort to make vehicles safer and cleaner,thus driving worldwide transport systems towards sustainability.

Olga ALGAYEROVA
Under-Secretary-General& Executive Secretary, UNECE

iii

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

United Nations Economic Commission for Europe
The United Nations Economic Commission for Europe (UNECE) is one of the five United Nations regional commissions,administered by the Economic and Social Council (ECOSOC). It was established in 1947 with the mandate to help rebuild postwar Europe, develop economic activity and strengthen economic relations among European countries, and between Europe andthe rest of the world. During the Cold War, UNECE served as a unique forum for economic dialogue and cooperation between
East and West. Despite the complexity of this period, significant achievements were made, with consensus reached on numerous
harmonization and standardization agreements.
In the post-Cold War era, UNECE acquired not only many new member States, but also new functions. Since the early 1990s theorganization has focused on assisting the countries of Central and Eastern Europe, Caucasus and Central Asia with their transition
process and their integration into the global economy.
Today, UNECE supports its 56 member States in Europe, Central Asia and North America in the implementation of the 2030
Agenda for Sustainable Development with its Sustainable Development Goals (SDGs). UNECE provides a multilateral platform forpolicy dialogue, the development of international legal instruments, norms and standards, the exchange of best practices andeconomic and technical expertise, as well as technical cooperation for countries with economies in transition.
Offering practical tools to improve people’s everyday lives in the areas of environment, transport, trade, statistics, energy, forestry,
housing, and land management, many of the norms, standards and conventions developed in UNECE are used worldwide, and anumber of countries from outside the region participate in UNECE’s work.
UNECE’s multisectoral approach helps countries to tackle the interconnected challenges of sustainable development in an
integrated manner, with a transboundary focus that helps devise solutions to shared challenges. With its unique convening
power, UNECE fosters cooperation among all stakeholders at the country and regional levels.

iv

United Nations Economic Commission for Europe

Transport in the Economic Commission for Europe
The Inland Transport Committee (ITC) was set up in 1947 to support the reconstruction of transport infrastructures in post-war
Europe. Over the years, it has specialized in a harmonized and sustainable development of all modes of inland transport.
The ECE Sustainable Transport Division is secretariat to ITC, to the ECOSOC Committee of Experts on the Transport of Dangerous
Goods, and to the Globally Harmonized System of Classification and Labelling of Chemicals. ITC, 18 working parties, the ECOSOC
Committee and its sub-committees are intergovernmental decision-making bodies that aim to improve the everyday lives ofpeople and businesses. From 2015, the Division provided the secretariat for the Secretary-General’s Special Envoy for Road Safety,
Mr. Jean Todt, and from 2018, hosted the secretariat of the United Nations Road Safety Trust Fund.
The results are measurable and the actions are concrete towards infrastructure development, improved traffic safety, environmental
performance, energy efficiency, security and the competitiveness of transport in general.
Today’s main results are (a) 59 United Nations transport conventions and an even larger number of technical regulations thatare regularly updated and which provide an international legal framework for the sustainable development of national andinternational road, rail, inland water and intermodal transport, and vehicle construction, (b) the Trans-European North-South
Motorway, Trans-European Railway and the Euro-Asian Transport Links projects which facilitate the coordination of multi-country
transport infrastructure investment programmes, (c) the global TIR system which facilitates customs transit, (d) the For Future
Inland Transport Systems (ForFITS) tool which can assist governments to monitor carbon dioxide (CO2) emissions from inlandtransport modes or to develop climate change mitigation policies, and the Safe Future Inland Transport Systems (SafeFITS) which
can facilitate knowledge for transport policies in improving road safety, (e) the international methods of collection and data types
in transport statistics, and (f ) the studies and reports on transport policy development. For example, ITC devotes special attention
to Intelligent Transport Systems (ITS) such as innovative vehicle automation technologies.
The fourth edition of the ‘Blue Book’ provides the foundation and methods of operation of the World Forum for Harmonizationof Vehicle Regulations (WP.29).
The World Forum or WP.29 is the only global forum for harmonizing vehicle regulations and rules on vehicle performance and on
vehicle parts and equipment, vehicle safety, environmental pollution, energy efficiency, anti-theft and security.
This edition coincides with and discusses the new International Whole Vehicle Type Approval (IWVTA) system, and also reviews
and strengthens the current provisions to improve the certification procedures and the conditions of mutual recognition.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Contents
Foreword .......................................................................................................................................................................................iii
Executive Summary..................................................................................................................................................................viii
Chapter I

How to join the World Forum................................................................................................................................................1
A. Participation in the World Forum..................................................................................................................................1
B. How to become a Contracting Party?..........................................................................................................................2

Chapter II

The Organization of the World Forum and its Subsidiary Bodies.............................................................................4

Chapter III

The Agreements Administered by the World Forum....................................................................................................6
A. The 1958 Agreement..........................................................................................................................................................6
B. The 1998 Agreement..........................................................................................................................................................9
C. The 1997 Agreement....................................................................................................................................................... 12

Chapter IV

The Process of Developing Regulations......................................................................................................................... 14

Chapter V

Special Considerations and Actions of the Agreements.......................................................................................... 16

Chapter VI

UN Regulation No 0 - International Whole Vehicle Type Approval system........................................................ 19

Chapter VII Database for the Exchange of Type Approval documentation, the Unique Identifier and the
Declaration of Conformance document........................................................................................................................ 20

ANNEXESvi

Annex I

Terms of Reference and Rules of Procedure of the World Forum for Harmonization of
Vehicle Regulations ............................................................................................................................................................... 22

Annex II

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, done at Geneva on 20 March 1958......................................................................... 29

Annex III

Agreement concerning the establishing of Global Technical Regulations for Wheeled Vehicles,
Equipment and Parts which can be Fitted and/or be Used on Wheeled Vehicles, done at Geneva
on 25 June 1998...................................................................................................................................................................... 55

Annex IV

Agreement concerning the Adoption of Uniform Conditions for Periodical Technical Inspectionsof Wheeled Vehicles and the Reciprocal Recognition of Such Inspections, done at Vienna
on 13 November 1997.......................................................................................................................................................... 68

Annex V

List of Non-Governmental Organizations which Regularly Participate in the Activities ofthe World Forum..................................................................................................................................................................... 77

Contents

Annex VI

Annex VII

International, National and Regional Regulatory Development and Enforcement ...................................... 79
Section 1

The Regulatory Process in Canada.............................................................................................................. 80

Section 2

The Administration of the Automotive Industry and the Standards and Regulations in China........83

Section 3

The Automobile Sector and the Regulatory Regime in India.......................................................................87

Section 4

Regulatory Development and the Enforcement Process in Japan.............................................................91

Section 5

Motor Vehicle Safety Standards Enactment/Revision Procedure for the Automobile
Management Act and Self-Certification System in the Republic of Korea...............................................98

Section 6

Regulatory Development and Enforcement of complex vehicle safety
in the Russian Federation.................................................................................................................................... 106

Section 7

Rulemaking in the United States of America................................................................................................. 111

Section 8

The European Union............................................................................................................................................. 123

The World Forum Resolutions..........................................................................................................................................126

LIST OF CHARTS
Chart 1
Chart 2Chart 3Chart 4Chart 5

Organization of the World Forum ......................................................................................................................................5
Contracting Parties to the 1958 Agreement.....................................................................................................................7
Contracting Parties to the 1998 Agreement.................................................................................................................. 11
Contracting Parties to the 1997 Agreement.................................................................................................................. 13
Consideration and Establishment of UN Regulations, UN GTRs and UN Rules..................................................... 18vii

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Executive Summary
The fourth edition of the Blue Book continues to provide precise information about the World Forum for Harmonization of Vehicle
Regulations (WP.29) as serviced by the ECE Sustainable Transport Division: on its history, its administrative and legal framework as
a guide for users, and on the three Agreements.
The World Forum is a permanent discussion forum in the framework of ITC. The terms of reference and rules of procedure of WP.29
allow for the smooth administration of the three major international United Nations Agreements on motor vehicles: the 1958
and 1998 Agreements on regulations for the certification of new vehicles, including performance requirements, and the 1997
Agreement on rules for periodical technical inspections of vehicles in use. WP.29 ensures consistency between the regulations andrules developed under the three Agreements, and also adapts them to technical progress and to the current pace of innovation.
For example, in 2018, WP.29 strengthened its activities on automated/autonomous and connected vehicle developments by
establishing a working party on the basis of a former working party dealing with brakes and running gear.
The World Forum is unique worldwide – all nations, all vehicle manufacturers and many intergovernmental (IGOs) and nongovernmental organizations (NGOs) participate. Any Member State of the United Nations may participate and may adhere to anyof the vehicle Agreements. Regional Economic Integration Organizations (REIOs) that are set up by countries, such as the European
Union, also participate and, subject to their subsidiary arrangements, may become Contracting Parties to the Agreements.
NGOs are welcome in a consultative capacity.
The World Forum’s work is fully transparent. The agendas, working documents, reports and informal documents are available
online at: https://unece.org/transport/vehicle-regulations.
The three Agreements administered by the World Forum are:
The 1958 Agreement provides the legal and administrative framework for developing harmonized technical UN Regulations
on uniform performance requirements, for procedures for granting type approvals, for the conformity of production, for theassessment of technical services and their designation and notification, for the circulation of UN type approval documentation,
for resolving issues of interpretation, for general conditions in virtual test methods, for exemption approvals in new technologies
and for the mutual recognition of the type approvals granted by Contracting Parties. When acceding to the Agreement, aContracting Party can choose which, if any of the UN Regulations annexed to the Agreement it would like to apply. At the time of
publication, the 1958 Agreement had 57 Contracting Parties and 163 annexed UN Regulations. The regulations are continuously
adapted, when appropriate, to incorporate technical and political guidance from the Contracting Parties, scientific advancement
or technological innovations.
The 1998 Agreement stipulates that Contracting Parties establish, by consensus vote, United Nations Global Technical Regulations(UN GTR) in a Global Registry on globally harmonized performance requirements and test procedures. Each UN GTR contains
extensive notes on its purpose and development. The technical rationale, the research sources used, the cost and benefit
considerations, and the references to data that were consulted are recorded. Contracting Parties apply their national rulemaking
procedures when transposing UN GTRs into national legislation. The 1998 Agreement currently has 38 Contracting Parties and 20
UN GTRs established in the Global Registry.
The 1997 Agreement allows Contracting Parties to establish UN Rules for the periodic technical inspections of vehicles in use. The
Contracting Parties reciprocally recognize the international inspection certificates that were granted according to the UN Rules
annexed to the Agreement. The 1997 Agreement currently, has 15 Contracting Parties and 4 annexed UN Rules.
Each Agreement stipulates specific provisions for the final vote in the Administrative or the Executive Committees on new UN
Regulations, UN GTRs, UN Rules or amendments to existing ones. The Committees are exclusively composed of government
representatives from the Contracting Parties to the Agreements. Before decision, all proposals submitted by the Working Parties,
are reconsidered at the sessions of the World Forum, to which representatives of all countries — Contracting Parties or not — andexperts from IGOs and NGOs participate.
The long experience, expertise and involvement of all interested stakeholders at the World Forum, have resulted in an ability to
produce high-quality UN Regulations, UN GTRs and UN Rules. Contracting Parties, such as the European Union, have chosen toorganize their own legislation by direct reference to the UN Regulations annexed to the 1958 Agreement. Other countries, which
are not Contracting Parties, apply the UN Regulations on a voluntary basis on their territory. More recently, Contracting Parties to the1998 Global Agreement, such as Canada, China, India, Japan, the United States of America and the European Union have establisheda number of new UN GTRs which are being incorporated, in parallel, into the UN Regulations annexed to the 1958 Agreement.

viiiCHAPTER I

How to join the World Forum

CHAPTER I
How to join the World Forum
A. Participation in the World Forum
Participation in WP.29 activities is worldwide, and further encouraged by the cooperation between countries and regional
economic integration organizations on technical matters that come before it or its Working Parties. WP.29 also encourages open,transparent dialogues between government officials, technical vehicle experts and the general public to ensure that the bestsafety and environmental practices are adopted and that cost-efficiency is considered in developing UN vehicle regulations. The
sessions of WP.29 are public. Any government or non-governmental organization may attend and observe the proceedings ofthe meetings.

1. Participation of Governments
Rule 1 of the Terms of Reference and Rules of Procedure of WP.29 states that any country, member of the United Nations, andany regional economic integration organization set up by countries members of the United Nations, may participate fully or ina consultative capacity in the activities of WP.29 and become a Contracting Party to the Agreements administered by WP.29. For
details on participation in WP.29, please refer to the Terms of Reference and Rules of Procedure in Annex I.
The official process to become a participant is to simply send a letter signed by the authorized official of an interested country
or REIO notifying the secretariat of WP.29 of the desire of that country or REIO to send representative(s) to the sessions and toparticipate in the activities of WP.29.

2. Participation of Non-Governmental Organizations
Rule 1 of the Terms of Reference and Rules of Procedure states that NGOs may participate in a consultative capacity in WP.29.
An NGO must first be accredited with consultative status to ECOSOC the Economic and Social Council of the United Nations.
Consultative status with ECOSOC allows NGOs to contribute to the work programmes and goals of WP.29 by serving as technicalexperts or advisers and consultants to governments and the secretariat. The number of NGOs participating in any session of
WP.29 or its subsidiary bodies typically varies between six and fifteen, depending on the topic. A smaller number attend thesessions of the subsidiary Working Parties and informal working groups.
NGOs contribute substantially to the process of developing UN vehicle regulations on vehicle safety, energy-efficiency andenvironmental and anti-theft performances. They are often contributing technical data and advice. In special cases, they invest
resources in tests and analyses, and make the results available to the experts developing the UN vehicle regulations. At times,
NGOs have responded to the requests of technical experts by providing proposals for UN vehicle regulations and amendments toexisting UN regulations. NGOs may also advocate policy positions and provide testimony to the legislative bodies of participating
governments.
NGOs not in consultative status with ECOSOC may participate in a consultative capacity, subject to prior approval of W.29/AC.2.
To apply for consultative status, an NGO sends a letter to the ECOSOC address below and request an application form forconsideration:
NGO Section
ECOSOC Support and Coordination
Department of Economic and Social Affairs
United Nations Headquarters
Room DC1 B 1480
New York, NY 10017 (USA)Fax: +1 (212) 963 9248
Email: desangosection@un.org

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

The letter requesting the application form should be on the organization’s letterhead and signed by its Secretary General or
President. The letter should include the mission statement of the NGO, a brief description of its main activities, and a descriptionof the nature of the NGO (e.g. a national coalition of a number of NGOs, or an international NGO with a number of affiliates). An
application package with a questionnaire and background material is mailed to the organization.
The deadline for completed applications is 1 June of each year. A 19-member Committee on NGOs meets annually to review
applications and recommend which applications should be granted by ECOSOC. Recommendations are submitted to the full
Economic and Social Council which makes the final decision.
Annex V lists the NGOs that currently participate on a regular basis in the activities of WP.29 and its subsidiary bodies.

B. How to become a Contracting Party?
Only a country or an REIO can become a Contracting Party. A Contracting Party to an Agreement administered by WP.29 is boundby consent to that Agreement in accordance with the provisions of that Agreement. The provisions include signature, notificationof ratification, acceptance, approval or accession. See Article 6 of the 1958 Agreement, Article 9 of the 1998 Global Agreement andArticle 4 of the 1997 Agreement on Periodical Technical Inspections in Annexes II, III and IV, respectively.
While an Agreement is open for signature and a country or REIO expresses its consent to be bound by an Agreement by signature,
the signing must be:•

Done by the Head of State, the Head of Government or the Minister for Foreign Affairs of that country, or•

By a person in possession of a valid instrument of Full Powers signed by one of the afore-mentioned representatives of acountry or REIO, indicating clearly the title of the Agreement and the name and function of the official authorized to sign.

At the time of signing, or in the text of Full Powers, it shall be clearly indicated if the signature is definitive, or only a signature
which is subject to ratification.
If the period of signature had been closed, a country or REIO may express its consent to be bound by an Agreement by depositing
an instrument of accession with the Secretary-General of the United Nations.
Models of instruments of Accession, Ratification, Acceptance or Approval are reproduced below:

MODEL INSTRUMENT OF RATIFICATION, ACCEPTANCE OR APPROVAL(To be signed by the Head of State, Head of Government or Minister of Foreign Affairs)[RATIFICATION / ACCEPTANCE / APPROVAL]
WHEREAS the [title of treaty, convention, agreement, etc.] was [concluded, adopted, opened for signature, etc.] at[place] on [date],
AND WHEREAS the said [treaty, convention, agreement, etc.] has been signed on behalf of the Government of [nameof State] on [date],
NOW THEREFORE I, [name and title of the Head of State, Head of Government or Minister of Foreign Affairs] declarethat the Government of [name of State], having considered the above-mentioned [treaty, convention, agreement,etc.], [ratifies, accepts, approves] the same and undertakes faithfully to perform and carry out the stipulations thereincontained.
IN WITNESS WHEREOF, I have signed this instrument of [ratification, acceptance, approval] at [place] on [date].

[signature]2

CHAPTER I

How to join the World Forum

MODEL INSTRUMENT OF ACCESSION(To be signed by the Head of State, Head of Government or Minister of Foreign Affairs)[ACCESSION]
WHEREAS the [title of treaty, convention, agreement, etc.] was [concluded, adopted, opened for signature, etc.] at[place] on [date],
NOW THEREFORE I, [name and title of the Head of State, Head of Government or Minister of Foreign Affairs] declarethat the Government of [name of State], having considered the above-mentioned [treaty, convention, agreement,etc.], accedes to the same and undertakes faithfully to perform and carry out the stipulations therein contained.
IN WITNESS WHEREOF, I have signed this instrument of accession at [place] on [date].

[signature]3

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

CHAPTER II
The Organization of the World Forum and its Subsidiary Bodies
WP.29 is a Working Party that became the World Forum for Harmonization of Vehicle Regulations at its one-hundred-and-twentiethsession (7 to 11 March 2000) – see the organization chart below. Its role and that of its subsidiary Working Parties is to develop
new UN Regulations, UN GTRs, or UN Rules, to harmonize existing ones and to amend and update current UN Regulations, GTRs
and UN Rules in areas covered by the three Agreements.
The day-to-day WP.29 activities are managed by the ECE secretariat. The secretariat provides the administrative support for all sessions,
including the preparation of the agendas and reports. The work coordination of WP.29 is managed by a Steering Committee (WP.29/
AC.2) comprised of the Chair, Vice-Chair and the secretariat of WP.29, the Chair and Vice-Chairs each of the Executive Committees of
the three Agreements, the representatives of Japan, the United States of America, the European Union, and the Chair and Vice-Chairsof each subsidiary Working Party of WP.29. The duties of WP.29/AC.2 are to develop and recommend a programme of work to WP.29,
review the reports and recommendations of the subsidiary Working Parties and identify items that require action by WP.29, the timeframe for their consideration, and provide recommendations to WP.29. Additional information on the terms of reference and rules ofprocedure of WP.29 are in Annex I.
The World Forum addresses the priorities of the Contracting Parties, e.g. type approval provisions on hybrid, electric vehicles andon hydrogen fuel cells vehicles, and on vehicle automation and cyber security of automated vehicles.
Regular sessions of WP.29 are held three times a year. The subsidiary Working Parties of experts (GRs) each hold two a year. WP.29/
AC.2 meetings are held prior to each WP.29 session1.
The primary areas of concern of the GRs are:

A. Active safety of vehicles and their parts (crash avoidance)
The UN Regulations and UN GTRs seek to improve the behaviour, handling and equipment of vehicles so as to decrease the possibilityof a road crash. Some of the regulations seek to increase the driver’s ability to detect and avoid hazards. Others seek to increase thedriver’s ability of to maintain control of the vehicle. Specific examples of current UN regulations include lighting and light-signallingdevices, braking and running gear, including steering, tyres and rollover stability where the technology changes rapidly.

B. Passive safety of vehicles and their parts (crashworthiness)
The UN Regulations and UN GTRs aim to minimize the risk and severity of injury to the occupants of a vehicle or to other road users in theevent of a crash. Extensive analyses of crash statistics can identify safety problems which may develop into a UN Regulation, a UN GTR
or an amendment to existing ones. The statistics can also structure a cost-effective approach to improve performance requirements.
This is significant on the overall impact of new requirements on vehicle construction, design and cost. Specific examples of current UN
vehicle regulations address the structure the vehicle to manage crash energy and resist intrusion into the passenger compartment,
occupant restraint and protection systems for children and adults, seat structure, glazing, door latches and door retention, pedestrian
protection, and for mopeds/motorcycles, the quality of the protective helmet for the rider. These technologies also change rapidly andare becoming more complex, such as with the advanced protection devices that adjust their performance in response to the specificcircumstances of each crash. In addition, changes in the vehicle population are raising issues of vehicle compatibility.

C. Environmental considerations
Specific UN Regulations and UN GTRs have been established to address the environmental performance (e.g. emissions of gaseous
pollutants, particulates and CO2, noise level) of vehicles with conventional propulsion engines, hydrogen and fuel-cell vehicles,
hybrid-electric vehicles and electric vehicles. These UN Regulations and UN GTRs have been adapted, and will be wheneverappropriate, to take into account new propulsion technologies for cleaner and environmentally friendly vehicles.

D. General safety considerations
The UN Regulations and UN GTRs in this area address vehicle and component features which are not directly linked to the abovementioned subject areas, such as windshield wipers and washers, controls and displays, devices for indirect vision and glazing.

1

4

With a total number of 54.5 meeting days per year for the Committees, WP.29 and its subsidiary bodies.

CHAPTER II

The Organization of the World Forum and its Subsidiary Bodies

Others include theft prevention, accident emergency call systems as well as the considerations of gas-fuelled vehicles and public
transport vehicles for which special expertise is needed in establishing their performance requirements.

E. Automated/Autonomous and connected vehicles
Technical provisions and are being drafted to address the specificities of vehicle connectivity and automation. This work is needed
to integrate innovative technologies into the existing transport system and to ensure that the benefits of these new technologies
can be captured: to better road safety, the environmental performance of road vehicles, to reduce congestions and to potentiallyenable new kinds of mobility services.

F. Special technical considerations
In some cases, a specific problem needs to be solved urgently or needs to be addressed by persons with a special expertise. In suchsituations, a special informal working group may be entrusted with the analysis of the problem and invited to prepare a proposal fora new UN Regulation, UN GTR or UN Rule. Although such cases have traditionally been kept to a minimum, the rapid developmentof complex new technologies is increasing the necessity for this special approach.

G. Subsidiary bodies of the World Forum
Proposals to WP.29 for new UN Regulations, UN GTRs and UN Rules and amendments to existing ones are referred by WP.29 toits subsidiary bodies which prepare the technical recommendations (see Chart 5). Each subsidiary body consists of specialized
experts. The current allocation of subject responsibility between the subsidiary bodies was originally developed in the ‘Groupes
des Rapporteurs’, some of which were later merged to form the ‘Meetings of Experts’. The work of the subsidiary bodies has provento be so useful and indispensable that they have been given permanent status under ECE and, in turn, have been renamed‘Working Parties. See Chart 1 for the six current Working Parties. The traditional titles of the subsidiary bodies used the acronym‘GR’ (Groupes des Rapporteurs from the French language) that is still in the acronyms of the Working Parties and in the symbolsof their working documents today:

CHART 1ORGANIZATION OF THE WORLD FORUM

United Nations Economic Commission for Europe (UNECE)

WP.29/AC.1
Administrative Committeeof the 1958 Agreement

Inland Transport Committee (ITC)

WP.29/AC.3
Executive Committee of the1998 Agreement

WP.29
World Forum for Harmonization of
Vehicle Regulations

WP.29/AC.2
Administrative Committee for
the Coordination of Work

WP.29/AC.4
Administrative Committeeof the 1997 Agreement

GRPE
Pollution andEnergyab

GRBP
Noise andTyres aGRSG
General Safety
Provisions

GRSP
Passive Safety

GRE
Lighting andLight-Signalling

GRVA
Automated /Autonomousand Connected
Vehicles b

Decision by WP.29 at the November 2018 session.
Former Working Party on Brakes and Running Gear (see ECE/TRANS/WP.29/1139, paras. 15 and 33).

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

CHAPTER III
The Agreements Administered by the World Forum
A. The 1958 Agreement
The 1958 Agreement was done on 20 March 1958, entered into force on 20 June 1959, was amended on 10 November 1967,
revised on 16 October 1995 and on 17 September 2017. The Agreement provides harmonized technical UN Regulations
for the approval/certification of new wheeled vehicles, their equipment and parts, including provisions for the reciprocal
acceptance of approvals issued under UN Regulations annexed to this Agreement. UN Regulations adopted by Contracting
Parties to the 1958 Agreement pursuant to the Agreement govern the approval of road vehicles, their equipment and partsfor sale in those countries. The agreement addresses safety requirements for vehicles, their environmental performance (airand noise pollution), energy-efficiency and security.
The 1958 Agreement currently has 57 Contracting Parties, of which 41 are ECE member countries. Chart 2 lists the current
Contracting Parties to the Agreement and the date of adhesion or accession to the Agreement by the Parties.
The Agreement has 163 UN Regulations annexed to it. These UN Regulations govern all categories of road vehicles, and non-road
mobile machinery and their equipment and parts, and have been adopted in varying degrees by the Contracting Parties. The
reciprocal recognition of type approvals between Contracting Parties applying the UN Regulations has facilitated trade in motor
vehicles and equipment across Europe first and worldwide today.
In recent years, the European Union decided to replace as many European Union directives as possible by the 1958
Agreement UN Regulations, and to make direct reference to these UN Regulations in the European Union legislation. On
14 September 2017, Revision 3 of the 1958 Agreement entered into force. Please see Annex II for the complete text of therevised 1958 Agreement.
In the past, reciprocal recognition under the Agreement applied to vehicle systems, parts and equipment, but not to the entire
vehicle. In July 2018, UN Regulation No. 0 on the International Whole Vehicle Type Approval (IWVTA) entered into force. This UN
Regulation allows the reciprocal recognition of the entire vehicle approval.
Principal Elements of 1958 Agreement

6•

Members of ECE, other members of the United Nations and of REIOs that participate in ECE activities are eligible to become
Contracting Parties to the 1958 Agreement. (Article 6)•

The 1958 Agreement seeks to establish UN Regulations for wheeled vehicles, equipment and parts which can be fitted
and/or be used on wheeled vehicles, and conditions for granting type approvals and their reciprocal recognition for use by
Contracting Parties who choose to implement UN Regulations largely through type approval.

•

The Administrative Committee of the 1958 Agreement (AC.1) is composed of all the Contracting Parties to the 1958
Agreement. AC.1 oversees the process of developing and amending UN Regulations and adopts the UN Regulations oramendments to the UN Regulations once developed.

•

The Agreement does not preclude those countries whose rules and regulations are implemented through self-certification(manufacturer’s certification) from becoming Contracting Parties (Article 1, para. 1), and it recognizes self-certification as analternative to type approval (Article 2).

•

Under the Agreement, new UN Regulations and amendments to existing UN Regulations are established by a vote of a fourfifth majority of Contracting Parties present and voting. The established UN Regulation is notified to each Contracting Party
and forwarded to the United Nations Secretary-General as depository of the agreement.

CHAPTER III The Agreements Administered by the World Forum•The new UN Regulation or amendment to an existing UN Regulation enters into force for all Contracting Parties that havenot notified the Secretary-General of their objection within six months after the notification, unless more than one-fifth of
the Contracting Parties so object. If more than one-fifth of the Contracting Parties object, the UN Regulation or amendment
does not enter into force for any Contracting Party.

•

UN Regulations annexed to the 1958 Agreement are required to include technical requirements and alternative requirements
as appropriate; test methods by which performance requirements are to be demonstrated; the conditions for granting typeapprovals and their reciprocal recognition, including markings and conditions for ensuring Conformity Of Production (COP);and the date on which the UN Regulation enters into force. (Article 1, para. 2).

•

Revision 3 of the Agreement also includes Schedules of Administrative and Procedural Provisions applicable to all UN
Regulations annexed to it and to all Contracting Parties applying one or more UN Regulations. (Schedules 1 to 8)•

A Contracting Party that has adopted a UN Regulation annexed to the Agreement is allowed to grant type approvals formotor vehicle equipment and parts covered by that UN Regulation and is required to accept the type approval of any other
Contracting Party that applies the same UN Regulation.

•

The Agreement also permits a Contracting Party, upon notice, to begin applying a UN Regulation after it has been annexedto the Agreement or to cease application of a UN Regulation that it has applied. In the latter case the Contracting Party isrequired to notify the United Nations Secretary-General of its decision one year in advance.

•

Contracting Parties granting type approvals are required to have the technical competence to grant the approvals and thecompetence to ensure conformity of production. Each Contracting Party applying the UN Regulation through type approval
may refuse the approvals if the above-mentioned requirement is not met.

•

A Contracting Party applying a UN Regulation can reject vehicles, equipment and parts that are not approved or certified inconformity with that UN Regulation.

CHART 2Contracting Parties to the 1958 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 Grantedon the Basis of these United Nations Regulations (E/ECE/TRANS/505/Rev.3)
Original date of entry into force: 20 June 1959
Revision 1: 10 November 1967 – Revision 2: 16 October 1995 – Revision 3: 14 September 2017

2
3
4

ECE
symbolContracting Parties

Date of adhesion/Accession

E1

Germany2

28 January 1966

E2

France20 June 1959

E3

Italy

26 April 1963

E4

Netherlands

29 August 1960

E5

Sweden20 June 1959

E6

Belgium

5 September 1959

E7

Hungary

2 July 1960

E8

Czechia3

1 January 1993

E9

Spain

10 October 1961

E 10

Serbia4

12 March 2001

Effective 3 October 1990, the German Democratic Republic acceded to the Federal Republic of Germany.
Succession to Czechoslovakia, Depositary notification C.N.229.1993.TREATIES of 14 December 1993.
Succession to Yugoslavia, Depositary notification C.N.276.2001.TREATIES-3 dated 2 April 2001.

7

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

ECE
symbolContracting Parties

Date of adhesion/Accession

E 11

United Kingdom

16 March 1963

E 12

Austria

11 May 1971

E 13

Luxembourg

12 December 1971

E 14

Switzerland

28 August 1973

E 16

Norway4 April 1975

E 17

Finland

17 September 1976

E 18

Denmark

20 December 1976

E 19

Romania

21 February 1977

E 20

Poland13 March 1979

E 21

Portugal

28 March 1980

E 22

Russian Federation

17 February 1987

E 23

Greece5 December 1992
24 March 1998

E 24

Ireland

E 25

Croatia6E 26

58 October 1991
7

Slovenia

25 June 1991

E 27

8

Slovakia

1 January 1993

E 28

Belarus

2 July 1995

E 29

Estonia

1 May 1995

E 30

Republic of Moldova

20 November 2016

E 31

Bosnia and Herzegovina9

6 March 1992

E 32

Latvia18 January 1999

E 34

Bulgaria

21 January 2000

E 35

Kazakhstan

8 January 2011

E 36

Lithuania

29 March 2002

E 37

Turkey27 February 1996

E 39

Azerbaijan

E 40

North Macedonia

17 November 1991

E 42

European Union

24 March 1998

E 43

Japan

24 November 1998

E 45

Australia

25 April 2000

E 46

Ukraine30 June 2000

E 47

South Africa

17 June 2001

E 48

New Zealand

26 January 2002

E 49

Cyprus

1 May 2004

E 50

Malta

1 May 2004

E 51

Republic of Korea

31 December 2004

14 June 2002
10

11

12

11

5 By virtue of accession to the Agreement by the European Union on 24 March 1998.
6 Succession to Yugoslavia, Depositary notification C.N.66.1994.TREATIES-10 of 31 May 1994.
7 Succession to Yugoslavia, Depositary notification C.N.439.1992.TREATIES-53 of 18 March 1993.
8 Succession to Czechoslovakia, Depositary notification C.N.184.1993.TREATIES, received on 20 July 1994.
9 Succession to Yugoslavia, Depositary notification C.N.35.1994.TREATIES of 2 May 1994.
10 Succession to Yugoslavia, Depositary notification C.N.142.1998.TREATIES-33 dated 4 May 1998.
11 Approvals are granted by its member States using their respective ECE symbol.
12 By virtue of its accession to the European Union on 1 May 2004.

8

CHAPTER III The Agreements Administered by the World ForumECE
symbolContracting Parties

Date of adhesion/Accession

E 52

Malaysia13

4 April 2006

E 53

Thailand1 May 2006

E 54

Albania

5 November 2011

E 55

Armenia

E 56

Montenegro

3 June 2006

E 57

San Marino

26 January 2016

E 58

Tunisia

1 January 2008

E 60

Georgia

25 May 2015

E 62

Egypt

3 February 2013

E 63

Nigeria

17 December 2018

E 64

Pakistan

24 April 2020

14

30 April 201815

B. The 1998 Agreement
The 1998 Agreement, hereafter called the Global Agreement, was negotiated and concluded under the auspices of ECE andlead by the Japan, the United States of America and the European Community. It was opened for signature on 25 June 1998. The
United States of America became the first signatory. The Agreement establishes a process by which countries from all regionsof the world can develop UN GTRs jointly on safety, environmental protection systems, energy sources and theft prevention ofwheeled vehicles, equipment and parts. The equipment and parts cover, but are not limited to, vehicle construction, exhaustsystems, tyres, engines, acoustic shields, anti-theft alarms, warning devices and child restraint systems.
The ultimate goal of the 1998 Global Agreement is to continuously improve global safety, decrease environmental pollution
and consumption of energy and improve anti-theft performance of vehicles and related components and equipment throughglobally uniform technical regulations. This is achieved in a predictable regulatory framework for the global automotive industry,the consumers and their associations. Unlike the 1958 Agreement, the 1998 Agreement does not provide for mutual recognitionof approvals, thus, allowing countries which are not ready or are unable to assume the obligations of reciprocal recognition toeffectively engage in developing UN GTRs, regardless of these countries type of compliance or enforcement procedures. Please
see Annex III for the complete text of the Agreement.
The 1998 Agreement entered into force on 25 August 2000 for eight Contracting Parties and had 38 Contracting Parties in 2021.
Chart 3 lists the Contracting Parties to the Agreement, dates of adhesion or accession, and entry into force.
Principal Elements of the 1998 Global Agreement•

Members of ECE, of the United Nations and REIOs formed by countries which participate in ECE activities are eligible tobecome Contracting Parties to the 1998 Agreement. Specialized agencies and organizations that have been granted
consultative status in accordance with the provisions of the Agreement may participate in that capacity in the deliberationsof particular concern to that agency or organization. (Article 2)•

The Executive Committee of the 1998 Agreement (AC.3) is composed of all the Contracting Parties to the Agreement.
AC.3 oversees the process of recommending, developing and amending UN GTRs and adopts the new UN GTRs or new
amendments once developed.

•

The Agreement explicitly recognizes the importance of continuously improving and seeking high levels of safety andenvironmental protection, and the right of national and subnational authorities to adopt and maintain technical regulations
that are more stringently protective of health and the environment than those established at the global level. (Preamble)•

The Agreement explicitly states that one of its purposes is to ensure that actions under the Agreement do not lead to,or result in, a lowering of safety and environmental protection within the jurisdiction of the Contracting Parties, or in the
subnational level. (Article 1)

13 Not bound by Article 10 of the Agreement.
14 Not bound by any of the UN Regulations and by Article 10 of the Agreement.
15 Succession to Yugoslavia, Depositary Notification C.N.1346.2006.TREATIES3 dated 1 March 2007.

9

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT•

To achieve high levels of environmental protection and vehicle safety, the Agreement seeks to promote the global
harmonization of wheeled vehicle and engine regulations. (Preamble)•

The Agreement emphasizes that the development of global technical regulations will be transparent. (Article 1)•

Annex A of the Agreement states that the term ‘transparent procedures’ includes the opportunity to have views andarguments represented at:– Meetings of WP.29 and Working Parties through organizations granted consultative status, and– Meetings of WP.29 Working Parties and of AC.3 through pre-meeting consultation with representatives of Contracting
Parties.

10•

The Agreement outlines two processes to establish UN GTRs. The first is the harmonization of existing regulations or
standards. The second is the establishment of new UN GTRs if regulations or standards are non-existent. (Article 6, paras. 6.2
and 6.3) (see Chart 5)•

The Agreement states that the existing regulations of Contracting Parties in need of harmonization be entered into theCompendium of Candidate Global Regulations to facilitate their transition to global regulations. The entry must be supported
by a vote of one-third of the Contracting Parties present and voting, including the vote of either Japan, the United States ofAmerica or the European Union. The Compendium expands or contracts in direct proportion to the regulations that needharmonizing. (Article 5)•

The process for developing a harmonized UN GTR includes a technical review of the existing regulations of the Contracting
Parties, of the UN Regulations and of relevant international standards (e.g. International Organization for Standardization).
If available, comparative assessments of the effectiveness of these UN Regulations (also known as functional equivalence
assessments) are also reviewed. (Article 1, para. 1.1.2 and Article 6, para. 6.2.)•

The process for developing a new UN GTR includes an assessment of technical and economic feasibility and a comparativeevaluation of the potential benefits and cost effectiveness of alternative regulatory requirements and the test method(s) bywhich compliance will be demonstrated. (Article 6, para. 6.3.)•

The process for amending any UN GTR follows the same procedures specified in paragraph 6.3 for establishing the UN
GTR. (Article 6, para. 6.4.)•

A consensus vote is required to establish a new UN GTR. Thus, if any Contracting Party votes against a recommended UN
GTR, it would not be established. (Annex B, Article 7, para. 7.2.)•

Once harmonized or developed, UN GTRs are established in a Global Registry, which serves as a repository of UN GTRs that
could be adopted by countries from around the world.

•

The establishment of a UN GTR does not oblige Contracting Parties to adopt that UN GTR into its laws and regulations.
Contracting Parties retain the right to choose whether or not to adopt any technical regulation established as a UN GTR
under the Agreement. (Preamble, Article 7)•

Consistent with the recognition of that right, Contracting Parties have only a limited obligation when a UN GTR is establishedunder the Agreement. If a Contracting Party voted to establish the UN GTR, that Contracting Party must initiate the procedures
used by the Party to adopt such a UN GTR as a domestic regulation. (Article 7). Other obligations under the Agreement
deal with the notification of the decision to adopt a UN GTR and the effective date of application of that regulation, thenotification of the decision not to adopt the regulation, the decision to rescind or amend a UN GTR, etc.

•

The Agreement allows for UN GTRs to contain a ‘global’ level of stringency for most parties and ‘alternative’ levels of stringency
for developing countries. In this way, all countries, including the least developed ones, can participate in the development,
establishment and adoption of UN GTRs. It is anticipated that a developing country may wish to begin by adopting one of
the lower levels of stringency and later successively adopt higher levels of stringency. (Article 4)

CHAPTER III The Agreements Administered by the World Forum

CHART 3Contracting Parties to the 1998 Agreement
Concerning the establishing of UN GTRs for wheeled vehicles, equipment and parts which can be fitted and/or be used onwheeled vehicles (E/ECE/TRANS/132 and Corr.1)
Original date of entry into force: 25 August 2000
Contracting Party

Adhesion/Accession

Entry into force

Canada22 June 1999

25 August 20001

United States of America

25 June 1998

25 August 20001

Japan

3 August 1999

25 August 20001

France22 September 1999

25 August 20001

United Kingdom

10 January 2000

25 August 20001

European Union

18 October 1999

25 August 20001

Germany

11 May 2000

25 August 20001

Russian Federation

26 July 2000

25 August 20001

People’s Republic of China

10 October 2000

9 December 2000

Republic of Korea

2 November 2000

1 January 2001

Italy

1 December 2000

30 January 2001

South Africa

14 June 2000

17 June 2001

Finland

8 June 2001

7 August 2001

Hungary

22 June 2001

27 August 2001

Turkey3 July 2001

1 September 2001

7 November 2001

6 January 2002

New Zealand

27 November 2001

26 January 2002

Netherlands3

4 January 2002

5 March 2002

Azerbaijan

15 April 2002

14 June 2002Spain

24 August 2000

22 June 2002

Romania

25 April 2002

24 June 2002

Sweden3 December 2002

1 February 2003

Norway30 September 2004

29 November 2004

Cyprus12 April 2005

11 June 2005

Luxembourg

16 September 2005

15 November 2005

Malaysia

3 February 2006

4 April 2006

India

21 February 2006

22 April 2006

Lithuania

26 May 2006

25 July 2006

Republic of Moldova

16 January 2007

17 March 2007

Tunisia

2 November 2007

1 January 2008

Australia

8 April 2008

7 June 2008

Kazakhstan

28 June 2011

27 August 2011

Tajikistan

28 December 201126 February 2012

Slovenia

8 May 2014

8 July 2014

Slovakia
2

1
2
3

The Agreement entered into force on 25 August 2000, (see Depositary Notification: CN.557.2000.TREATIES-8).
New Zealand: Territorial exclusion for Tokelau (27 November 2001, Depositary Notification CN.1497.2001.TREATIES-7, dated 4 January 2002).
Netherlands: Territorial application for the Netherland Antilles (30 April 2003, Depositary Notification C.N.343.2003.TREATIES-1, dated 29 June 2003).

11

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Contracting Party

Adhesion/Accession

Entry into force

Belarus2 January 2015

3 March 2015

San Marino

27 November 2015

26 January 2016

Uzbekistan

4 May 2018

3 July 2018

Nigeria18 October 201817 December 2018

C. The 1997 Agreement
The 1997 Agreement on Periodical Technical Inspections was done at Vienna on 13 November 1997 at the ECE Regional Conference
on Transport and Environment. The Agreement provides the legal framework and procedures for the adoption of uniform UN Rulesfor carrying out technical inspections of vehicles that are in use and for delivering international inspection certificates. Please see
Annex IV for the complete text of the 1997 Agreement.
The UN Rules for vehicle inspection that are annexed to the Agreement have been developed with the technical expertise of
WP.29 participants and, in particular, of the International Motor Vehicle Inspection Committee (CITA). Initially designed for heavy
duty vehicles, the scope of these rules has been extended to cover passenger cars and light duty vehicles. The related Resolution
R.E.6 (see Annex VII) provides guidelines for testing facilities and equipment, training and certification of inspectors as well as
quality control for the supervision of authorized test centres. These UN Rules and R.E.6 may be useful for countries aiming to
introduce or strengthen, in their national legislation, a periodic inspection system based on international expertise.
CITA with its broad international membership has cooperated in and supported the development and updating of the technical
UN Rules annexed to the Agreement on a regular basis.
Principal Elements of the 1997 Agreement

12•

Members of ECE, other members of the United Nations and REIOs that participate in ECE activities are eligible to become
Contracting Parties to the 1997 Agreement. (Article 4)•

The 1997 Agreement provides the legal framework and procedures for adopting uniform UN Rules on the technicalinspections of vehicles that are in use and on the reciprocal recognition of the inspection certificates.

•

Under the Agreement, new UN Rules and amendments to existing UN Rules are established by a vote of a two-thirds majorityof Contracting Parties present and voting. The established UN Rule is submitted to the United Nations Secretary-General andthen each Contracting Party is notified. (Articles 1 and 2)•

The new UN Rule or amendment to an existing UN Rule enters into force for all Contracting Parties which have not notified theSecretary-General of their objection within six months following notification, unless more than one-third of the Contracting
Parties so object. If more than one-third of the Contracting Parties object, the UN Rule or amendment does not enter into
force for any Contracting Party.

•

The UN Rules under the 1997 Agreement define the applicable vehicle categories and the related inspection intervals, items
to be inspected, inspection method, the principal reasons for a rejection, and the method of assessment into three risk
categories. The inspection techniques use currently available equipment without dismantling or removing any part of thevehicle.

•The International Technical Inspection Certificate issued by designated Technical Inspection Centres of a Contracting Party
shall be reciprocally recognized by other Contracting Parties applying the same Rule(s).

•The periodical inspection reports of the Contracting Parties to the Agreement may be used as an alternative. Sample reports
should be transmitted to the secretariat of WP.29 which then transfers the information to the other Contracting Parties.

•

The Agreement also permits a Contracting Party, upon notice, to begin applying a UN Rule that has been annexed to theAgreement or to cease applying a UN Rule that had been applied. In the latter case the Contracting Party is required to notify
the United Nations Secretary-General of its decision one year in advance.

CHAPTER III The Agreements Administered by the World Forum

CHART 4Contracting Parties to the 1997 Agreement
		Concerning the adoption of uniform conditions for periodical technical inspections of wheeled vehicles andthe reciprocal recognition of such inspections (ECE/RCTE/CONF./4)
Date of entry into force: Original version: 27 January 2001

Contracting Party

Signature, ratification, acceptance,
accession or adhesion date

Entry into force

Russian Federation

13 November 1997 by signature

27 January 2001

Estonia

9 September 1998 by accession

27 January 2001

Netherlands

5 February 1999 by ratification

27 January 2001

Romania

24 February 1999 by ratification

27 January 2001

Hungary

28 November 2000 by ratification

27 January 2001

Finland

20 April 2001 by ratification

19 June 2001

Bulgaria

11 July 2003 by accession

9 September 2003

Belarus

3 March 2004 by accession

1 May 2004

Albania

23 December 2004 by accession

20 February 2005

Ukraine17 January 2007 by ratification

18 March 2007

Republic of Moldova

6 December 2007 by accession

3 February 2008

Kazakhstan

24 March 2011 by accession

23 May 2011

San Marino

27 November 2015 by accession

26 January 2016

Georgia

6 October 2016 by ratification

5 December 2016

Nigeria18 October 2018 by accession

17 December 2018

Tunisia

31 December 2019 by accession

29 February 2020

Signatories
Pending Ratification
Austria

13 November 1997

Belgium

13 November 1997

Cyprus

13 November 1997

Czechia

13 November 1997

Denmark

13 November 1997

France13 November 1997

Germany

13 November 1997

Greece13 November 1997

Ireland

13 November 1997

Italy

13 November 1997

Portugal

13 November 1997

Slovakia

29 June 1998

Spain

13 November 1997

Sweden13 November 1997

Switzerland

13 November 1997

United Kingdom

13 November 1997

13

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

CHAPTER IV
The Process of Developing Regulations
WP.29 evolved into a World Forum with the adoption of a uniform process for developing new UN Regulations, UN GTRs and UN
Rules and for harmonizing or amending existing ones which are consistent with the requirements in the multilateral Agreements
administered by WP.29. While each of the Agreements contains specific requirements for the adoption and implementation of
UN Regulations, UN GTRs and UN Rules or amendments by their Contracting Parties, the technical development process that
ultimately results in a recommended UN Regulation, UN GTR and UN Rule or an amendment is fundamentally the same in all of
the Agreements. The process below describes the sequencing, the key elements and the responsibilities of the various subsidiarybodies of WP.29 in developing and harmonizing new UN Regulations, UN GTRs and UN Rules and is applicable to all the othertechnical activities of WP.29 (see Chart 5). The process is similar for considering and establishing new amendments to existing UN
Regulations, UN GTRs and UN Rules.

A. Proposed Work and Regulatory Actions
The initiation of all regulatory development activities in any of the Agreements administered by WP.29 follows a common
process. The first step is the submission of a written proposal to WP.29 for consideration. Only participants as defined in theTerms of Reference and Rules of Procedure of WP.29 may submit proposals. The proposal is presented for consideration to
the Administrative Committee for the Coordination of Work (WP.29/AC.2) and, if considered to be consistent with the safety,
environmental protection and anti-theft mandates of WP.29, a recommendation is made for the WP.29 work agenda.

B. Work Agenda of the World ForumThe participants in WP.29 review and discuss all the work that is recommended by WP.29/AC.2 for the agenda and, if agreed,in accordance with the Terms of Reference and the Rules of Procedure of WP.29, modify and adopt the WP.29 agenda. WP.29
then identifies a subsidiary Working Party (see Chapter X of the Rules of Procedure) as responsible for carrying out the specifictechnical work. This work must be consistent with the requirements set forth in the relevant Agreement(s).

C. Development of Technical Regulation
A subsidiary Working Party of WP.29, a ‘GR’ will address the development, harmonization or amendment of the technicalrequirements of UN Regulations, UN GTRs and UN Rules on wheeled vehicles, equipment and parts which can be fitted and/or be used on wheeled vehicles. Typically, the work includes, but is not limited to areas such as test methodologies, limit values,
vehicle or component design and/or performance standards, approval or certification markings, etc.
The UN Regulations, UN GTRs and UN Rules developed under WP.29 are ‘optional’, and do not carry any legal implication until
they are adopted and implemented by the Contracting Parties to an Agreement into their national laws (see Annex VI for a nonexhaustive list of national and regional regulatory and enforcement schemes). The elements of a UN Regulation, UN GTR and UN
Rule that relate to its adoption and implementation are considered to be the political jurisdiction of the Contracting Parties tothe specific Agreements. Elements include methods of conformity assessment (type approval, self-certification, etc.), certification
procedures, reciprocal recognition, dates of entry into force and enforcement procedures, and they are found in an annex to therecommended UN Regulation, UN GTR and UN Rule for establishment or adoption under the terms of the specific Agreements.
In developing these elements, the GR must take into consideration the ‘technical’ implications of implementation as set forth in
relevant Agreements (see Annexes II, III and IV).
In the process of developing the UN Regulations, UN GTRs and UN Rules, a GR must consider the:14•

Objective(s) of the new UN Regulation, UN GTR and UN Rule or amendments to an existing UN Regulation, UN GTR and UN
Rule such as improved vehicle safety, reduced environmental impacts, energy efficiency, and theft deterrence;•

Best available technology and, where appropriate, possible incremental improvements in technology that will provide
significant steps in achieving the regulatory objectives and public benefits;

CHAPTER IV The Process of Developing Regulations•

Potential benefits associated with the various levels of technology and with the levels of regulatory stringency or performance;•

Monetary and social costs that involved with each level of regulatory stringency or performance;•

Relationship or potential interaction of a specific technical UN Regulation, UN GTR and UN Rule to other UN Regulations, UN
GTRs and UN Rules currently in force or to be adopted by Contracting Parties to existing Agreements administered by WP.29.

Throughout the processes of regulatory development or amendment, the GR provides progress reports of its work to WP.29, andwhere directed by WP.29, makes revisions and conducts additional investigations to resolve new issues associated with its work
assignments. When the work is completed, the GR presents a final recommendation for a UN Regulation, UN GTR and UN Ruleor amendment to WP.29.

D. Reviews and Recommendations of the World Forum
When a GR presents a new harmonized or amended UN Regulation, UN GTR or UN Rule, all participants in WP.29 begin a review
and a discussion of the recommendation. In the absence of any substantive objections and requests for further work by a GR,
WP.29 will formally submit the recommendation to the Administrative/Executive Committee of the relevant Agreement(s) for
their consideration for establishment or adoption as an UN Regulation, UN GTR, UN Rule, or as an amendment to any of thoseexisting.

E. Establishment or Adoption of UN Regulations, UN GTRs and UN Rules and Amendments
The Executive Committee of each Agreement (AC.1 for the 1958 Agreement, AC.3 for the 1998 Global Agreement, and AC.4 for the
1997 Agreement on Periodical Technical Inspections) reviews the recommended action for consistency with the provisions andrequirements set forth in the respective Agreement. If consistent, the Executive Committee(s) will vote, in accordance with theterms of their respective Agreements, to establish or adopt the recommended UN Regulation, UN GTR, UN Rule or amendment.
Failure to establish a UN GTR under the 1998 Agreement does not preclude its adoption as an UN Regulation under the 1958
Agreement and vice versa. If established or adopted, the Executive Committee(s) will request the ECE secretariat to forward to
the Secretary-General of the United Nations, the established UN Regulation, UN GTR, UN Rule or amendment with their requestthat it be formally adopted. The ECE secretariat will notify the Contracting Parties of the establishment of amendments to an UN
Regulation. A new UN Regulation adopted under the 1958 Agreement will be designated as E/ECE/TRANS/505/Rev.3/Add.#. A
UN GTR established in the Global Registry under the 1998 Global Agreement be designated as ECE/TRANS/180/Add.#. A UN Ruleestablished under the 1997 Agreement on Periodical Technical inspections shall become ECE/RCTE/CONF./4/Add.#.

F. Information on Regulations
Detailed information on the status of the UN Regulations annexed to the 1958 Agreement, UN GTRs established in the Global
Registry of the 1998 Global Agreement and the UN Rules annexed to the 1997 Agreement on Periodical Technical Inspections arefreely available in the website of WP.29: www.unece.org/trans/main/welcwp29.html
UN Regulations annexed to the 1958 Agreement may be purchased from:
United Nations Publications Customer Service
c/o National Book Network
15200 NBN Way
P.O. Box 190
Blue Ridge Summit, PA 17214 – USA
Toll free phone: 1-888-254-4286
Toll free phone: 1-800-338-4550
Email: unpublications@nbnbooks.com

15

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

CHAPTER V
Special Considerations and Actions of the Agreements
A. “Agreement concerning the establishing of Global Technical Regulations for wheeledvehicles, equipment and parts which can be fitted and/or be used on wheeled vehicles”(1998 Agreement)
The 1998 Agreement includes six unique and significant provisions for the development and establishment of UN GTRs.
•

It provides for the consideration of regulatory development proposals from Contracting Parties to the Agreement. (Article 3)•

It specifies the criteria required for the harmonization of regulations from the Compendium and existing UN Regulations, thedevelopment of new UN GTRs and the amendment of existing ones. (Article 4)•

It requires the establishment of a Compendium of Candidate Global Technical Regulations. The Compendium consists ofexisting national or regional regulations that are selected as candidates for global harmonization. (Article 5)•

It requires the establishment of a Registry of UN GTRs. (Article 6)•

It specifies the process for the amendment of established UN GTRs. (Article 6)•

It requires the consensus of all Contracting Parties for the establishment or amendment of a UN GTR. (Article 6, para. 6.3.)

The Agreement does not oblige Contracting Parties to any specific conformity assessment regime (i.e. type approval, selfcertification, etc.), nor to commit to reciprocal recognition of UN GTRs adopted by other Contracting Parties in their national/
regional legislation nor does it impose an enforcement regime. The Agreement does preserve the sovereign rights of eachContracting Party to implement and enforce the UN GTR in accordance with their own national or regional regulatory process
and/or laws. Annex III provides more details.

B. “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 wheeledvehicles and the conditions for reciprocal recognition of approvals granted on the basis ofthese United Nations Regulations “(1958 Agreement as revised in 2017)
The 1958 Agreement has a long history of regulatory development that was originally designed to facilitate the free movement
and sale of wheeled vehicles across State borders within the region of Europe. To achieve this objective the Agreement included
various provisions to reduce the burden of repetitive regulatory testing and certifications in the Contracting Parties. Subsequent
amendments to the Agreement, as described earlier, have served to expand its scope of activities and to attract the participationof countries outside the original European region, i.e. from other parts of the world. The recent Revision 3 aims to foster a broader
participation from countries of emerging economies and from REIOs in the activities of the World Forum and aims to increase thenumber of Contracting Parties to the Agreement. The unique provisions of the 1958 Agreement include:

16•

Conditions for granting type approval for the verification that a vehicle, equipment or part submitted by a manufacturer
conforms to the requirements of a given UN Regulation. Such type approval verification may be carried out by a competentauthority designated by the certifying Contracting Party. (Article 1)•

Conditions requiring the reciprocal recognition by Contracting Parties of approvals issued by other Contracting Parties.
(Article 1)

CHAPTER V Special Considerations and Actions of the Agreements•

Conditions that result in the adoption of a UN Regulation if, within a period of six months from its notification to Contracting
Parties by the United Nations Secretary-General, not more than one-fifth of the Contracting Parties at the time of notification
have informed the Secretary-General that they disagree with the UN Regulation. (Article 1)•

Conditions that establish the date(s) on which the UN Regulation will enter into force for all Contracting Parties which did
not notify the Secretary-General of disagreement. (Article 1)•

Conditions that any Contracting Party applying a UN Regulation that is annexed to the Agreement shall hold products typeapproved to be in conformity with the legislation of all the Contracting Parties applying the said UN Regulation throughtype approval. (Article 3)•

Conditions that require the notification of the competent authority of the Contracting Party that has issued a type approval
for a product, by a Contracting Party whose competent authority has determined said product does not conform to
the approved type(s) of product. The issuing Contracting Party shall notify all other Contracting Parties applying the UN
Regulation through type approval of the steps it has taken to bring the product into conformity. (Article 4)•

Conditions that Contracting Parties may apply former versions of UN Regulations annexed to the 1958 Agreement.
Contracting Parties are only obliged to accept UN type approvals granted pursuant to the latest version of UN Regulations.

•

Conditions that require the competent authorities of each Contracting Party applying UN Regulations through type approval
to circulate to the other Contracting Parties to the Agreement, type approval documentation as paper copies or as email, orby the secure Database for the Exchange of Type Approval documentation (DETA) that is currently under development andexpected to be established by UNECE in 2020. (Article 5 and Schedule 5) (see also Chapter VII of this publication)•

Conditions that any Contracting Party applying UN Regulation No. 0 on the International Whole Vehicle Type Approval(IWVTA) system may issue approvals for whole vehicle types. (see also Chapter VI of this publication)•

General conditions which strengthen the provisions for the functioning and reliability the type approval procedures and theconditions for their mutual recognition (i.e. assessment of technical services, quality assurance assessment, certification andconformity of production procedures, the tasks, responsibilities and competences of involved parties and aspects related to
enforcement such as ensuring market surveillance and safeguard measures). (Articles 2 to 4 and Schedules 1 to 3)•

Procedures for interpretation issues in applying UN Regulations or in granting approvals pursuant to these UN Regulations(Schedule 6)•

Procedures for exemption approvals for new technologies. (Schedule 7)•

General conditions for virtual testing methods. (Schedule 8)•

Details on the status of the 1958 Agreement are in ECE/TRANS/WP.29/343/… at: https://unece.org/status-1958-agreementand-annexed-regulations

Please refer to Chapters VI, VII and Annex II of this publication for further details about these conditions.

C. “Agreement concerning the adoption of uniform conditions for periodical technicalinspections of wheeled vehicles and the reciprocal recognition of such inspections”(1997 Agreement)
The 1997 Agreement was designed to ensure that vehicles that are in use would be properly maintained and inspected so as
to maintain, throughout their functional life, the performance for which they were guaranteed by type approval or certification,
without an excessive degradation.
The provisions of the 1997 Agreement for establishing the UN Rules to be annexed to the Agreement were closely coordinatedto those of the 1958 Agreement and proved to be practical.
Please refer to Annex IV for more details.

17

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

CHART 5
Consideration and Establishment of UN Regulations, UN GTRs and UN Rules

Justification/rational for a new UN
Regulation / GTR / Rule

LegendProcess

ECE secretariat

Yes
No

Administrative Committee AC.2

WP.29 considers options fordeveloping a new UN Regulation/ GTR / Rule

Mandates

1958
AC.1

1998
AC.3

1997
AC.4

Vote

Vote

Vote

Notificationand Entry
into Force

Establish
in Global
Registry

Notificationand Entry
into Force

New UN Regulation
annexed to the 1958
Agreement

18

Recommends

New UN GTR under the1998 Agreement

GRs to develop a newdraft UN Regulation /GTR / Rule

New UN Rule annexed to
the 1997 Agreement

CHAPTER VI UN Regulation No 0 - International Whole Vehicle Type Approval system

CHAPTER VI
UN Regulation No 0
International Whole Vehicle Type Approval system
Any Contracting Party applying UN Regulation No. 0 on the International Whole Vehicle Type Approval (IWVTA) system may
issue approvals for whole vehicle types to either a limited level (L-IWVTA) or to a wider range of technical topics included in
the universal level (U-IWVTA). Contracting Parties are able to apply the limited or universal IWVTA depending on the nationalsituation. The Universal-IWVTA (U-IWVTA) provides a greater level of certainty for vehicle manufacturers and for Contracting
Parties which apply this Regulation since the approval must be accepted without further assessment of the technical items
covered by the U-IWVTA issued.
Contracting Parties applying UN Regulation No. 0 are not obliged to accept approvals to the limited level (L-IWVTA), but may
do so at their choice. However, Contracting Parties are obliged to accept approvals issued pursuant to U-IWVTA, as stipulated in
Revision 3 to the 1958 Agreement,“Article 1…
The term “whole vehicle type approval” indicates that type approvals granted
pursuant to applicable UN Regulations for wheeled vehicles, equipment and partsof a vehicle are integrated into an approval of the whole vehicle according to theprovisions of the administrative IWVTA system.
…
Notwithstanding other provisions of Article 1 and Article 12, a Contracting Party
applying the UN Regulation on IWVTA shall only be obliged to accept those typeapprovals granted pursuant to the highest level of stringency of the latest versionof the said UN Regulation.
…”

The scope of UN Regulation No. 0 on IWVTA is limited, in a first step, to passenger cars.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

CHAPTER VII
Database for the Exchange of Type Approval documentation, theUnique Identifier and the Declaration of Conformance document(The information below was drafted before the actual development of the database and its extension modules, theUnique Identifier (UI) and the Declaration of Conformance (DoC). The Database for the Exchange of Type Approval (DETA),UI and DoC are still in development.)

A. Database for the Exchange of Type Approval documentation
The World Forum considered ways to modernize the 1958 Agreement. One suggestion was that Type Approvals could be sharedelectronically, via ‘DETA’.
DETA will be the Database for the Exchange of Type Approvals among Authorities. It aims at an efficient exchange of important
information on the construction and the performance of road vehicles. Such information was traditionally shared among therelevant government authorities by conventional or electronic mail, which can be cumbersome, time-consuming and costly.
Governments decided on the digitalization of the information exchange and Germany, as in-kind contribution, sponsored thedevelopment and the pilot run of the software, and is ready to share the results with ECE, as reflected in Revision 3 to the 1958
Agreement:“Article 5
1.

The approval authorities of each Contracting Party applying UN Regulations
shall send upon the request from the other Contracting Parties, a list of thewheeled vehicles, equipment or parts, of which it has refused to grant or has
withdrawn approvals.

2.

In addition, on receiving a request from another Contracting Party applying
a UN Regulation, it shall send forthwith, in accordance with the provisions of
Schedule 5 annexed to this Agreement, to that Contracting Party a copy of all
relevant information on which it based its decision to grant, refuse to grant, or
to withdraw an approval of a wheeled vehicle, equipment or part pursuant tothat UN Regulation.

3.

The paper copy may be replaced by an electronic file in accordance with
Schedule 5 annexed to this Agreement.”“Schedule 5 …
1.

Where an approval authority is required to or is requested to provide a copy ofan 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 databaseestablished by the United Nations Economic Commission for Europe. …”
Germany, as an in-kind contribution, sponsored the development and the pilot
run of the software. DETA is currently hosted by Germany, which is ready toshare the results with ECE.

20

CHAPTER VII Database for the Exchange of Type Approval documentation, the Unique Identifier and the Declaration of Conformance document

B. Unique Identifier and Declaration of Conformance
Revision 3 to the 1958 Agreement requests, as mentioned above, the establishment of an electronic database for the exchangeof type approval documentation between all Contracting Parties to the Agreement and thus supporting the International Whole
Vehicle Type Approval (IWVTA) regime. The significance of the IWVTA introduction cannot be overestimated, since up to now,
type approvals according to UN Regulations could not be granted to whole vehicles but to parts, systems and vehicles regarding
a specific performance e.g. braking, emissions etc. Furthermore, the introduction of the Unique Identifier, establishes a uniquelink between the product and its type approval. The introduction of the Declaration of Conformance document for each vehicle(as specified in UN Regulation No. 0) can serve as a useful basis for its registration.
Simplifying the marking provisions was considered in the context of IWVTA, and also in the context of modernizing the 1958
Agreement. DETA would allow a simplified Type Approval marking by use of an UI. Schedule 5 of Revision 3 to the 1958 Agreement
specifies that:•

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 (UI), unless specified otherwise in the UN Regulations. Such unique
identifier shall be generated by the database automatically.

•

All Contracting Parties applying a UN Regulation shall have access to theinformation for that UN Regulation contained in the database by using theUnique Identifier and this will provide access to the relevant information
relating to the specific approval(s).

21WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

ANNEX I
Terms of Reference and Rules of Procedure of the World Forumfor Harmonization of Vehicle Regulations(Reproduction of document ECE/TRANS/WP.29/690/Rev.1, in a consolidated text)

TERMS OF REFERENCE OF THE WORLD FORUM
1.

2.

22

The World Forum for Harmonization of Vehicle Regulations (hereinafter referred to as WP.29), acting within the frameworkof the policies of the United Nations and the Economic Commission for Europe (hereinafter ECE) and subject to the generalsupervision of the Inland Transport Committee (ITC) shall, provided such actions are in conformity with the Terms ofReference of the ECE (document E/ECE/778/Rev.5) and consistent with the Agreements listed in Annex 1:a.

Initiate and pursue actions aiming at the harmonization or development of technical regulations or amendments
to such regulations, adapted to the technical progress, which may be accepted worldwide, and which are directed
at improving vehicle safety, protecting the environment, promoting energy efficiency and anti-theft performance,
providing uniform conditions for periodical technical inspections and strengthening economic relations world-wide,
according to the objectives laid down in the respective Agreements.

b.

Develop and realize measures on adaptation of legal instruments to the technical progress, achieve coordination
between legal tools, develop the guideline principles for establishment of technical requirements and uniform
procedures for compliance assessment.

c.

Foster the reciprocal recognition of approvals, certificates and periodical technical inspections among Contracting
Parties to the Agreements that expressly provide for such action; development of the Database for Exchange of SelfCertification and Type Approval Documentation.

d.

Serve as the specialised technical body for the relevant Agreements established under the auspices of the United
Nations Economic Commission for Europe, Inland Transport Committee. Its function is to develop recommendations
regarding the establishment or amendment of technical regulations which may be accepted world-wide and regarding
uniform conditions for periodical technical inspections, consistent with the provisions of those Agreements.

e.

Foster world-wide participation in its activities by encouraging cooperation and collaboration with countries andRegional Economic Integration Organizations (REIOs) not yet participating in WP.29 activities, with regard to technicalmatters that come before WP.29.

f.

Encourage all its participants to apply or adopt into their law world-wide harmonized technical regulations andconditions for periodical inspections.

g.

Develop a work programme attending the respective Agreements in a coordinated and coherent manner.

h.

Create a working environment that facilitates the fulfilment by Contracting Parties of their obligations set forth in therespective Agreements.

i.

Ensure openness and transparency during the sessions.

These Terms of Reference and the Rules of Procedure apply to WP.29 and do not modify the provisions of the Agreements
listed in Annex 1.

ANNEX I

Terms of Reference and Rules of Procedure of the World Forum for Harmonization of Vehicle Regulations

RULES OF PROCEDURE OF THE WORLD FORUM
CHAPTER I
Participation
Rule 1a.

Countries which are specified in paragraph 7. of the Terms of Reference of the ECE (document E/ECE/778/Rev.5) shall be
participants.
Countries which are covered by paragraph 11. of the Terms of Reference of the ECE and are Contracting Parties to any of theAgreements listed in Annex 1 shall be participants.
Regional Economic Integration Organizations (REIOs) which are set up by countries that are members of the ECE or membersof the United Nations and are Contracting Parties to any of the Agreements listed in Annex 1 shall be participants.

b.

Countries which are covered by paragraph 11. of the Terms of Reference of the ECE may, after notification to the Secretariat,
participate in a consultative capacity in WP.29 in the consideration of any matter of particular concern to that member.

c.

Agencies and organizations which are covered by paragraphs 12. and 13. of the Terms of Reference of the ECE may, after
notification to the Secretariat, participate in a consultative capacity in WP.29 in the consideration of any matter of particularconcern to those agencies or organizations.

d.

Non-governmental organizations (NGOs) not in consultative status with the Economic and Social Council may participate
in a consultative capacity, subject to prior approval of the Administrative Committee for the Coordination of Work (WP.29/
AC.2). To obtain approval, an NGO shall submit a written application to the secretariat. The application shall contain acommitment to respect the principles set forth in ECOSOC Resolution 1996/31 and shall specify the number(s) of WP.29
session(s) and agenda item(s) under which the NGO would be prepared to make a contribution. The secretariat shall transmit
such applications to the first forthcoming session of WP.29/AC.2. WP.29/AC.2 shall consider any new application received
since its previous session and shall decide whether or not approval may be granted. If granted, approval shall specify its
duration and relevant numbers of WP.29 sessions.

e.

WP.29 may, through its Chairperson, invite other persons to participate in its sessions in a consultative capacity.

CHAPTER II
Sessions
Rule 2
Sessions shall be held on dates fixed by the ECE Executive Secretary.
Rule 3Sessions shall ordinarily be held at the United Nations Office at Geneva (UNOG), Switzerland. If WP.29 decides to hold a particularsession elsewhere, the relevant UN Rules and Regulations shall apply.
Rule 4The Secretariat shall, at least six (6) weeks before the commencement of a session, distribute a notice of the opening date of saidsession, together with a copy of the provisional agenda. The basic documents relating to each item appearing on the provisional
agenda of a session shall be available on the WP.29 website of the Internet and a hard copy shall be transmitted not less than(6) weeks before the opening of the session. In exceptional cases, the Secretariat may distribute basic documents at the session.
Participants, as defined in Rule 1, may distribute informal documents, after the authorization by the Chairperson in consultation
with the Secretariat, prior to or during a session. Such informal documents shall relate to items on the adopted agenda of therespective meeting. Where possible, the Secretariat (see Chapter VI) shall make the informal documents available on the WP.29
website of the Internet.

23

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

CHAPTER III
AgendaRule 5The provisional agenda for each session of WP.29 shall be drawn up by the Secretariat in consultation with the Administrative
Committee for the Coordination of Work (WP.29/AC.2) (see Chapter IX).
Rule 6
The provisional agenda for any session of WP.29 shall include:a.

Items related to any of the Agreements listed in Annex 1.

b.

Items arising from previous sessions of WP.29;

c.

Items proposed by any WP.29 participant and accepted for the programme of work of WP.29;

d.

Items proposed by the Chairperson or Vice-Chairpersons of any subsidiary body of WP.29;e.

Any other items which the Chairperson or Vice-Chairperson of WP.29, or the Secretariat sees fit to include.
Rule 7

The first item upon the provisional agenda for each session shall be the adoption of the agenda.
Rule 8
WP.29 may amend the agenda at any time.
Rule 9The provisional agenda for each session of any subsidiary body of WP.29 (see Chapter X and Annex 2) shall be drawn up by the
Secretariat in consultation with the Chairperson and/or Vice-Chairpersons of that body, and shall correspond with the programmeof work adopted by WP.29. Previous meetings shall, in general, establish the framework for the agenda of the next meeting.

CHAPTER IV
Representation and Credentials
Rule 10Each participant, as defined in Rule 1, shall be represented at sessions of WP.29 and its subsidiary bodies by an accredited
representative(s).
Rule 11
The representative defined in Rule 10 above may be accompanied to the sessions of WP.29 by an alternate representative andadvisors and, when absent, the representative may be replaced by an alternate representative.
Rule 12
The accreditation of each representative appointed to WP.29, together with a designation of an alternate representative, shall be
submitted to the Secretariat prior to the date of each session of WP.29 and its subsidiary bodies.

CHAPTER V
Officers
Rule 13
WP.29 shall, at the end of its last session of the year, elect from the representatives of participants as defined in Rule 1(a) a
Chairperson and Vice-Chairperson(s), who shall take office at the start of the first session of the following year. The number ofVice-Chairpersons may vary from year to year depending upon need. The officers shall be eligible for re-election.

24

ANNEX I

Terms of Reference and Rules of Procedure of the World Forum for Harmonization of Vehicle Regulations

Rule 14
If the Chairperson ceases to represent a participant, or can no longer hold office, one of the Vice-Chairpersons, designated by theparticipants as defined in Rule 1(a), shall become Chairperson for the unexpired portion of the term. In that case, or if one of theVice-Chairpersons ceases to represent a participant, or can no longer hold office, WP.29 shall elect another Vice-Chairperson for
the unexpired portion of the term.
Rule 15
The Vice-Chairperson acting as Chairperson shall have the same powers and carry out the same duties as the Chairperson.
Rule 16
The Chairperson or the Vice-Chairperson acting as Chairperson shall participate in WP.29 in this capacity and not as therepresentative of the participant, as defined in Rule 1(a), by whom he or she was accredited. WP.29 shall admit an alternate
representative to represent that participant, and to exercise its right to vote.

CHAPTER VI
Secretariat
Rule 17
The Secretariat, acting in the framework of the Transport Division of the ECE Secretariat, shall provide administrative support for
all sessions, including preparation of the session reports. Reports of WP.29 shall be adopted at the end of each session. Reportsof the subsidiary bodies of WP.29 shall be prepared by the Secretariat for subsequent consideration and endorsement by WP.29.
Rule 18
During the sessions, the Secretariat shall assist WP.29 and its subsidiary bodies in complying with these Rules of Procedure.

CHAPTER VII
Conduct of Business
Rule 19
The sessions of WP.29 and its subsidiary bodies shall be held in public.
Rule 20
The Secretariat, in consultation with WP.29/AC.2, may decide not to hold a session if the substance of the provisional agenda or
the number of accredited representatives is determined to be insufficient.
Rule 21
The conduct of business shall be in accordance with Rules 27 to 37 of the Rules of Procedure of the ECE, unless otherwise
provided herein.
Rule 22
The Chairperson may limit the time allowed to each speaker.
Rule 23
Every representative has the right to declare his or her position and have it reflected in the session report.

25

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

CHAPTER VIII
VotingRule 24
Each participant, as defined in Rule 1(a), other than REIOs, shall have one vote. REIOs, as defined in Rule 1(a), may only vote in lieu
of their Member States and with the number of votes of their Member States that are participants in WP.29.
Rule 25
Decisions of WP.29 shall be made by a majority of the participants as defined in Rule 1(a), present and voting, and in accordancewith Rule 24 above.
Rule 26
The voting shall be in accordance with Rules 34 to 39 of the Rules of Procedure of the ECE, unless otherwise provided herein.
Rule 27
Voting under the Agreements listed in Annex 1 shall be in accordance with the voting rules specified in the respective Agreement.

CHAPTER IX
Administrative Committee
Rule 28
WP.29 shall form an Administrative Committee for the Coordination of Work, to be known as WP.29/AC.2. In particular, WP.29/AC.2
shall:a.

Develop and recommend a programme of work to WP.29, giving consideration to requests from participants, as defined inRule 1, and the relevance and priority of such requests, in particular with regard to the Agreements listed in Annex 1;b.

Consider the reports and recommendations from the subsidiary bodies, and identify those items that require action by
WP.29 and the time frame for their consideration;c.

Provide recommendations to WP.29 on any other work that is within the scope of WP.29’s activities; andd.

Develop and recommend to WP.29 the provisional agenda for sessions of WP.29.
Rule 29

Participants in WP.29/AC.2 shall be:a.

The Chairperson and the ViceChairperson(s) of WP.29;

b.

The Chairperson and the Vice-Chairperson(s) of the Administrative or Executive Committee attendant to each Agreement
listed in Annex 1, and representatives of the European Community, Japan, and the United States of America; andc.

The Chairperson and the Vice-Chairpersons of each subsidiary body of WP.29 in accordance with Chapter X of these Rulesof Procedure.
Rule 30

WP.29/AC.2 may invite other persons to participate in a consultative capacity.
Rule 31
WP.29/AC.2 shall meet prior to each session of WP.29, with notice given by the Secretariat in accordance with Rule 4.
Rule 32
The meetings of WP.29/AC.2 shall be convened by the Secretariat in consultation with the Chairperson, and the Secretariat shallparticipate in accordance with the Rules of Chapter VI.
Rule 33
The Chairperson of WP.29 shall serve as the Chairperson of WP.29/AC.2 unless decided otherwise by WP.29/AC.2.

26

ANNEX I

Terms of Reference and Rules of Procedure of the World Forum for Harmonization of Vehicle Regulations

CHAPTER X
Subsidiary bodies of WP.29
Rule 34
WP.29 may propose to the ITC to establish a new subsidiary body or to dissolve an existing one, and shall provide justification forsuch action.
Rule 35
Subsidiary bodies of WP.29 shall act within the Terms of Reference of WP.29 and apply the Rules of Procedure of WP.29, asappropriate.
Rule 36
Each subsidiary body shall be comprised of experts accredited by participants, as defined in Rule 1.
Rule 37
Each subsidiary body of WP.29 shall, at the end of its last session of each year, elect from the experts accredited by participants, as
defined in Rule 1(a), a Chairperson, and, if desired, Vice-Chairpersons.
Rule 38
In carrying out its work and developing its recommendations, each subsidiary body shall give consideration to technical issues
as elaborated in the Agreements listed in Annex 1 and other relevant technical matters. Any documentation relating to its
recommendation shall be provided to the Secretariat, and shall be made available to the public.

CHAPTER XI
Amendments
Rule 39
Any of these Rules of Procedure may be amended, in accordance with Rule 25.

27

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

ANNEX 1
List of Agreements administered by WP.29
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, done at Geneva on 20 March 1958 (including the amendments enteredinto force on 14 September 2017)(E/ECE/TRANS/505/Rev.3)
Agreement concerning the Adoption of Uniform Conditions for Periodical Technical Inspections of Wheeled Vehicles and theReciprocal Recognition of such Inspections, done at Vienna on 13 November 1997
(ECE/RCTE/CONF./4)
Agreement concerning the Establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be
Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998
(ECE/TRANS/132 and Corr.1)----------------------------------------------------

ANNEX 2
Subsidiary bodies of WP.29

28

Working Party on Pollution and Energy

GRPE

Working Party on General Safety Provisions

GRSG

Working Party on Automated/Autonomousand Connected Vehicles

GRVA

Working Party on Lighting and Light-Signalling

GRE

Working Party on Passive Safety

GRSP

Working Party on Noise and Tyres

GRBPANNEX II

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 thebasis of these United Nations Regulations

ANNEX II
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, done at Geneva on 20 March 19581
Revision 3(Including the amendments entered into force on 14 September 2017)(reproduction of document E/ECE/TRANS/505/Rev.3)

PREAMBLE
THE CONTRACTING PARTIES,HAVING DECIDED to amend the Agreement Concerning the Adoption of Uniform Conditions of Approval and Reciprocal
Recognition of Approval for Motor Vehicle Equipment and Parts, done at Geneva on 20 March 1958, as amended on 16 October
1995, and
DESIRING to reduce technical barriers to international trade by defining harmonized technical UN Regulations that it will sufficefor certain wheeled vehicles, equipment and parts to fulfil in order to be used in their countries or regions,
RECOGNIZING the importance of safety, environmental protection, energy efficiency and anti-theft performance of wheeledvehicles, equipment and parts, which can be fitted and/or be used on wheeled vehicles for the development of regulations thatare technically and economically feasible and adapted to technical progress,
DESIRING to apply these UN Regulations whenever possible in their countries or regions,
DESIRING to facilitate the acceptance in their countries of the vehicles, equipment and parts, where approved according to these
UN Regulations by the approval authorities of another Contracting Party,
DESIRING to establish an International Whole Vehicle Type Approval scheme (IWVTA) within the framework of the Agreement
to increase the advantages of individual UN Regulations annexed to the Agreement and so create opportunities to simplify
implementation by Contracting Parties and the wider adoption of mutual recognition of type approvals for whole vehicles, and,
DESIRING to increase the number of Contracting Parties to the Agreement by improving its functioning and reliability, and thus
ensure that it remains the key international framework for the harmonization of technical regulations in the automotive sector,
HAVE AGREED as follows:
Article 1
1.
The Contracting Parties shall establish, through an Administrative Committee made up of all the Contracting Parties inconformity with the rules of procedure set out in the Appendix to this Agreement and on the basis of the following articles,
paragraphs, UN Regulations for wheeled vehicles, equipment and parts which can be fitted and/or be used on wheeled vehicles.

1

Former titles of the Agreement:
Agreement concerning the Adoption of Uniform Conditions of Approval and Reciprocal Recognition of Approval for Motor Vehicle Equipment andParts, done at Geneva on 20 March 1958 (original version).
Agreement concerning the Adoption of Uniform Technical Prescriptions 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 Prescriptions, done at Geneva
on 5 October 1995 (Revision 2).

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Conditions for granting type approvals and their reciprocal recognition will be included for use by Contracting Parties whichchoose to implement Regulations through type approval.
For the purposes of this Agreement:
The term “wheeled vehicles, equipment and parts” shall include any wheeled vehicles, equipment and parts whose characteristics
have a bearing on vehicle safety, protection of the environment, energy saving and the performance of anti-theft technology.
The term “type approval pursuant to a UN Regulation” indicates an administrative procedure by which the approval authorities
of one Contracting Party declare, after carrying out the required verifications that a type of vehicle, equipment or part submitted
by the manufacturer conforms to the requirements of the given UN Regulation. Afterwards the manufacturer certifies that eachvehicle, equipment or parts put on the market were produced to be identical with the approved product.
The term “whole vehicle type approval” indicates that type approvals granted pursuant to applicable UN Regulations for wheeledvehicles, equipment and parts of a vehicle are integrated into an approval of the whole vehicle according to the provisions of theadministrative IWVTA system.
The term “version of a UN Regulation” indicates that a UN Regulation, following its adoption and establishment, may subsequently
be amended following the procedures described in this Agreement, in particular Article 12. The unamended UN Regulation as
well as the UN Regulation, after integration of subsequent amendment(s), are considered to be separate versions of that UN
Regulation.
The term “applying a UN Regulation” indicates that a UN Regulation enters into force for a Contracting Party. When doing so,
Contracting Parties have the possibility to keep their own national/regional legislation. If they wish, they may substitute theirnational/regional legislation by the requirements of the UN Regulations they are applying, but they are not bound by theAgreement to do so. However, Contracting Parties shall accept, as an alternative to the relevant part of their national/regional
legislation, UN type approvals granted pursuant to the latest version of UN Regulations applied in their country/region. The rights
and obligations of Contracting Parties applying a UN Regulation are detailed in the various articles of this Agreement.
For the application of the UN Regulations there could be various administrative procedures alternative to type approval. The only
alternative procedure generally known and applied in certain member States of the Economic Commission for Europe is the selfcertification by which the manufacturer certifies, without any preliminary administrative control, that each product put on themarket conforms to the given UN Regulation; the competent administrative authorities may verify by random sampling on themarket that the self-certified products comply with the requirements of the given UN Regulation.
2.
The Administrative Committee shall be composed of all the Contracting Parties in accordance with the rules of procedure
set out in the Appendix.
A UN Regulation, after having been established in accordance with the procedure indicated in the Appendix, shall be
communicated by the Administrative Committee to the Secretary-General of the United Nations, hereinafter called “SecretaryGeneral”. As soon as possible thereafter, the Secretary-General shall give notification of this UN Regulation to the Contracting
Parties.
The UN Regulation will be considered as adopted unless, within a period of six months from its notification by the SecretaryGeneral, more than one-fifth of the Contracting Parties at the time of notification have informed the Secretary-General of theirdisagreement with the UN Regulation.
The UN Regulation shall cover the following:30

a.

Wheeled vehicles, equipment or parts concerned;b.

Technical requirements, which shall be performance oriented wherever appropriate and not design-restrictive, thatgive objective consideration to available technologies, costs and benefits as appropriate, and may include alternatives;c.

Test methods by which any performance requirements are to be demonstrated;d.

Conditions for granting type approval and their reciprocal recognition including administrative provisions, any approvalmarkings and conditions for ensuring conformity of production;e.

The date(s) on which the UN Regulation enters into force, including the date when Contracting Parties applying it canissue approvals pursuant to that UN Regulation, and the date from which they shall accept approvals (if different);f.

An information document to be provided by the manufacturer.

ANNEX II

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 thebasis of these United Nations Regulations

The UN Regulation may, if needed, include references to the laboratories accredited by the approval authorities where acceptancetests of the types of wheeled vehicles, equipment or parts submitted for approval shall be carried out.
In addition to the above-mentioned UN Regulations, this Agreement provides for establishing a UN Regulation to introduce
a system of Whole Vehicle Type Approval. This UN Regulation shall set the scope, administrative procedures, and technicalrequirements that can include different levels of stringency in one version of the said UN Regulation.
Notwithstanding other provisions of Article 1 and Article 12, a Contracting Party applying the UN Regulation on IWVTA shall only
be obliged to accept those type approvals granted pursuant to the highest level of stringency of the latest version of the said
UN Regulation.
This Agreement also includes Schedules of Administrative and Procedural Provisions applicable to all UN Regulations annexed tothis Agreement and to all Contracting Parties applying one or more UN Regulations.
3.
When a UN Regulation has been adopted, the Secretary-General shall so notify as soon as possible all the Contracting
Parties, specifying which Contracting Parties have objected, or have notified their agreement but intention not to begin applying
the UN Regulation at the date of entry into force, and in respect of which the UN Regulation shall not enter into force.
4.
The adopted UN Regulation shall enter into force on the date(s) specified therein as a UN Regulation annexed to thisAgreement for all Contracting Parties which have not notified either their disagreement, or their intention not to apply it on thatdate.
5.
When depositing its instrument of accession, any new Contracting Party may declare that it will not apply certain UN
Regulations then annexed to this Agreement or that it will not apply any of them. If, at that time, the procedure laid down inparagraphs 2, 3, and 4 of this Article is in progress for a draft or adopted UN Regulation, the Secretary-General shall communicate
such draft or adopted UN Regulation to the new Contracting Party and it shall enter into force as a UN Regulation for the newContracting Party unless this Contracting Party notifies its disagreement with the adopted UN Regulation within a period of six
months after the deposit of its instrument of accession. The Secretary-General shall notify all the Contracting Parties of the dateof such entry into force. The Secretary-General shall also communicate to them all declarations concerning the non-applicationof certain UN Regulations that any Contracting Party may make in accordance with the terms of this paragraph.
6.
Any Contracting Party applying a UN Regulation may at any time notify the Secretary-General, subject to one year’s
notice, about its intention to cease applying that UN Regulation. Such notification shall be communicated by the SecretaryGeneral to the other Contracting Parties.
Approvals previously granted pursuant to that UN Regulation by that Contracting Party shall remain valid unless they arewithdrawn in accordance with the provisions of Article 4.
If a Contracting Party ceases to issue approvals to a UN Regulation it shall:a.

Maintain proper supervision on conformity of production of products for which it previously granted type approval;b.

Take the necessary steps set out in Article 4 when advised of non-conformity by a Contracting Party that continues toapply the UN Regulation;c.

Continue to notify the other Contracting Parties of withdrawal of approvals as set out in Article 5;d.

Continue to grant extensions to existing approvals.

7.
Any Contracting Party not applying a UN Regulation may at any time notify the Secretary-General that it intends
henceforth to apply it and the UN Regulation will then enter into force for this Party on the sixtieth day after this notification. The
Secretary-General shall notify all the Contracting Parties of every entry into force of a UN Regulation for a new Contracting Party
affected in accordance with the terms of this paragraph.
8.
The Contracting Parties for which a UN Regulation is in force shall hereinafter be referred to as “the Contracting Parties
applying a UN Regulation”.
Article 2
1.
Each Contracting Party applying UN Regulations largely through type approval shall grant the type approvals and approvalmarkings described in any UN Regulation for the types of wheeled vehicles, equipment or parts covered by the UN Regulation,
provided that it has the technical competence and is satisfied with the arrangements for ensuring conformity of the product withthe approved type. Each Contracting Party which grants type approval shall take the necessary measures as set out in Schedule 1

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

annexed to this Agreement to verify that adequate arrangements have been made to ensure that wheeled vehicles, equipment
and parts are manufactured in conformity with the approved type.
2.
Each Contracting Party issuing type approvals pursuant to a UN Regulation shall specify an approval authority for the UN
Regulation. The approval authority shall have the responsibility for all aspects of type approval pursuant to the said UN Regulation.
This approval authority may designate technical services to carry out on its behalf the testing and inspections necessary for theverifications required in paragraph 1 of this article. Contracting Parties shall ensure that technical services are assessed, designatedand notified in accordance with the requirements set out in Schedule 2 annexed to this Agreement.
3.
The type approvals, approval markings and identifiers for the types of wheeled vehicles, equipment and parts shall be
specified in the UN Regulation and granted in accordance with the procedures set out in Schedules 3 to 5 annexed to thisAgreement.
4.
Each Contracting Party applying a UN Regulation shall refuse to grant the type approvals and approval markings coveredby the UN Regulation if the above-mentioned conditions are not complied with.
Article 3
1.
Wheeled vehicles, equipment or parts for which type approvals have been issued by a Contracting Party in accordancewith Article 2 of this Agreement, shall be held to be in conformity with the relevant part of the national legislation of all theContracting Parties applying the said UN Regulation.
2.
Contracting Parties applying UN Regulations shall, by mutual recognition, accept for the placement in their markets, andsubject to the provisions of Articles 1, 8 and 12 as well as any special provisions within these UN Regulations, type approvals
granted pursuant to these UN Regulations, without requiring any further testing, documentation, certification or marking
concerning these type approvals.
Article 4
1.
Should a Contracting Party applying a UN Regulation find that certain wheeled vehicles, equipment or parts bearing
approval markings issued under the said UN Regulation by one of the Contracting Parties, do not conform to the approved types
or the requirements of the said UN Regulation, they shall advise the approval authority of the Contracting Party which issued theapproval.
The Contracting Party that issued the approval shall take the necessary steps to ensure that the non-conformity is rectified.
2.
When the non-conformity is due to non-compliance with the technical requirements specified in a UN Regulation, as
referred to in Article 1.2.(b), the Contracting Party that issued the approval shall immediately inform all other Contracting Parties
about the situation and shall provide regular advice to Contracting Parties of the steps it is taking, which may include, if necessary,
the withdrawal of the approval.
After having considered the potential impact on vehicle safety, protection of the environment, energy saving or the performanceof anti-theft technology, Contracting Parties may prohibit the sale and use of such wheeled vehicles, equipment or parts intheir territory until this non-conformity is rectified. In such a case, these Contracting Parties shall inform the secretariat of the
Administrative Committee of the measures taken. For resolution of disputes between the Contracting Parties, the procedureprovided in Article 10.4 shall apply.
3.
Notwithstanding the provisions of paragraph 1 of this Article, if a non-conforming product, as referred to in paragraph
2 of this Article, has not been brought into conformity within a period of three months, the Contracting Party responsible forthe approval shall temporarily or permanently withdraw the approval. By exception, this period may be extended by a period
not exceeding three months unless one or more Contracting Parties applying the concerned UN Regulation object. When the
period is being extended, the Contracting Party that issued the approval shall, within the initial three-month period, notify all
Contracting Parties applying the concerned UN Regulation of their intention to extend the period in which the non-conformity
shall be rectified and provide a justification for such extension.
When the non-conformity is due to non-compliance with the administrative provisions, approval markings, conditions
4.
for conformity of production or the information document specified in a UN Regulation, as referred to in Article 1.2.(d) and 1.2.(f ),the Contracting Party that issued the approval shall temporarily or permanently withdraw the approval if the non-conformity has
not been rectified within a period of six months.

32

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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 thebasis of these United Nations Regulations

5.
Paragraphs 1 to 4 of this Article also apply in the situation where the Contracting Party responsible for issuing of theapproval itself finds that certain wheeled vehicles, equipment or parts bearing approval markings do not conform to the approved
types or the requirements of a UN Regulation.
Article 5
1.
The approval authorities of each Contracting Party applying UN Regulations shall send upon the request from the other
Contracting Parties, a list of the wheeled vehicles, equipment or parts, of which it has refused to grant or has withdrawn approvals.
2.
In addition, on receiving a request from another Contracting Party applying a UN Regulation, it shall send forthwith,in accordance with the provisions of Schedule 5 annexed to this Agreement, to that Contracting Party a copy of all relevant
information on which it based its decision to grant, refuse to grant, or to withdraw an approval of a wheeled vehicle, equipment
or part pursuant to that UN Regulation.
3.

The paper copy may be replaced by an electronic file in accordance with Schedule 5 annexed to this Agreement.
Article 6

1.
Countries members of the Economic Commission for Europe, countries admitted to the Commission in a consultative
capacity in accordance with paragraph 8 of the Commission’s Terms of Reference, and regional economic integration organizations
set up by countries members of the Economic Commission for Europe to which their member States have transferred powers
in the fields covered by this Agreement, including the power to make binding decisions on their member States, may become
Contracting Parties to this Agreement.
For the determination of the number of votes referred to in Article 1, paragraph 2 and in Article 12, paragraph 2, regional economic
integration organizations vote with the number of votes of their member States being members of the Economic Commission
for Europe.
2.
Countries members of the United Nations as may participate in certain activities of the Economic Commission for Europe
in accordance with paragraph 11 of the Commission’s Terms of Reference and regional economic integration organizations ofsuch countries to which their member States have transferred powers in the fields covered by this Agreement including power
to make binding decisions on their member States may become Contracting Parties to this Agreement.
For the determination of the number of votes referred to in Article 1, paragraph 2 and in Article 12, paragraph 2, regional economic
integration organizations vote with the number of votes of their member States being members of the United Nations.
3.
Accession to this Agreement by new Contracting Parties which are not Parties to the 1958 Agreement shall be effectedby the deposit of an instrument with the Secretary-General, after the entry into force of this Agreement.
Article 71.
This Agreement shall be deemed to enter into force nine months after the date of its transmission by the SecretaryGeneral to all the Contracting Parties to the 1958 Agreement.
2.
This Agreement shall be deemed not to enter into force if any objection from the Contracting Parties to the 1958
Agreement is expressed within a period of six months following the date of its transmission to them by the Secretary-General.
3.
For any new Contracting Party acceding to this Agreement, this Agreement shall enter into force on the sixtieth day after
the deposit of the instrument of accession.
Article 8
1.

Any Contracting Party may denounce this Agreement by notifying the Secretary-General.

2.

Denunciation shall take effect twelve months after the date of receipt by the Secretary-General of such notification.

3.
Any type approvals granted by the Contracting Party shall remain valid for a period of twelve months after the denunciation
has taken effect in accordance with Article 8.2.
Article 91.
Any Contracting Party as defined in Article 6 of this Agreement may, at the time of accession or at any time thereafter,
declare by notification addressed to the Secretary-General that this Agreement shall extend to all or any of the territories forwhose international relations it is responsible. The Agreement shall extend to the territory or territories named in the notification
as from the sixtieth day after its receipt by the Secretary-General.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

2.
Any Contracting Party as defined in Article 6 of this Agreement which has made a declaration in accordance withparagraph 1 of this Article extending this Agreement to any territory for whose international relations it is responsible may
denounce the Agreement separately in respect of that territory, in accordance with the provisions of Article 8.
Article 101.
Any dispute between two or more Contracting Parties concerning the interpretation or application of this Agreement
shall, so far as possible, be settled by negotiation between them.
2.
Any dispute which is not settled by negotiation shall be submitted to arbitration if any one of the Contracting Parties
in dispute so requests and shall be referred accordingly to one or more arbitrators selected by agreement between the Parties
in dispute. If within three months from the date of the request for arbitration the Parties in dispute are unable to agree on theselection of an arbitrator or arbitrators, any of those Parties may request the Secretary-General to nominate a single arbitrator towhom the dispute shall be referred for decision.
3.
The decision of the arbitrator or arbitrators appointed in accordance with paragraph 2 of this Article shall be binding on
the Contracting Parties in dispute.
4.
Any dispute between two or more Contracting Parties concerning the interpretation or application of UN Regulations
annexed to this Agreement shall be settled by negotiation in accordance with the procedure set out in Schedule 6 annexed tothis Agreement.
Article 11
1.
Any Contracting Party may, at the time of acceding to this Agreement, declare that it does not consider itself bound byparagraphs 1 to 3 of Article 10 of the Agreement. Other Contracting Parties shall not be bound by paragraphs 1 to 3 of Article 10
in respect of any Contracting Party which has entered such a reservation.
2.
Any Contracting Party having entered a reservation as provided for in paragraph 1 of this Article may at any time withdraw
such reservation by notifying the Secretary-General.
3.
No other reservation to this Agreement, its Appendix, Schedules and the UN Regulations annexed thereto shall bepermitted; but any Contracting Party may, in accordance with the terms of Article 1, paragraph 5, declare that it does not intend
to apply certain of the UN Regulations or that it does not intend to apply any of them.
Article 12
The UN Regulations annexed to this Agreement may be amended in accordance with the following procedure:
1.
Amendments to UN Regulations shall be established by the Administrative Committee as described in Article 1, paragraph
2 and in accordance with the procedure indicated in the Appendix.
An amendment to the UN Regulation, after having been established, shall be communicated by the Administrative Committee
to the Executive Secretary of the United Nations Economic Commission for Europe. As soon as possible thereafter, the Executive
Secretary of the United Nations Economic Commission for Europe shall give notification of this amendment to the Contracting
Parties applying the UN Regulation and the Secretary-General.
An amendment to a UN Regulation will be considered to be adopted unless, within a period of six months from its
2.
notification by the Executive Secretary of the United Nations Economic Commission for Europe, more than one-fifth of theContracting Parties applying the UN Regulation at the time of notification have informed the Secretary-General of theirdisagreement with the amendment. When an amendment to a UN Regulation is adopted, the Secretary-General shall as soon as
possible declare the amendment as adopted and binding upon those Contracting Parties applying the UN Regulation.
Amendments to a UN Regulation may include transitional provisions relating to the entry into force of the amended
3.
UN Regulation, the date up to which Contracting Parties shall accept approvals pursuant to the preceding version of the UN
Regulation and the date as from which Contracting Parties shall not be obliged to accept type approvals issued pursuant to thepreceding version of the amended UN Regulation.
Notwithstanding that transitional provisions in any version of UN Regulations may have stipulated otherwise, Contracting
4.
Parties to this Agreement which are applying UN Regulations may, subject to compliance with the provisions of Article 2,nevertheless issue type approvals pursuant to earlier versions of UN Regulations. However, subject to paragraph 3 of this Article,

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ANNEX II

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 thebasis of these United Nations Regulations

Contracting Parties applying a UN Regulation shall not be obliged to accept type approvals issued pursuant to these earlier
versions.
5.
All Contracting Parties applying a UN Regulation, except for Contracting Parties which notified the Secretary-Generalof their intention to cease applying the UN Regulation, shall accept approvals granted pursuant to the latest version of that UN
Regulation. A Contracting Party which notified the Secretary-General of its intention to cease applying a UN Regulation shall,during the one-year period mentioned in paragraph 6 of Article 1, accept approvals granted pursuant to the version(s) of the UN
Regulation applicable for that Contracting Party at the instance of its notification to Secretary-General.
6.
A Contracting Party applying a UN Regulation may grant an exemption approval pursuant to a UN Regulation for a single
type of wheeled vehicle, equipment or part which is based on a new technology, when this new technology is not coveredby the existing UN Regulation, and is incompatible with one or more requirements of this UN Regulation. In such a case, theprocedures set out in Schedule 7 annexed to this Agreement shall apply.
Should a new Contracting Party accede to this Agreement between the time of the notification of the amendment to a
7.
UN Regulation by the Executive Secretary of the United Nations Economic Commission for Europe and its entry into force, the UN
Regulation in question shall enter into force for that Contracting Party unless, within a period of six months from its notificationof accession by the Secretary-General, that Party has informed the Secretary-General of its disagreement with the amendment.
Article 13
The text of the Agreement itself and of its Appendix may be amended in accordance with the following procedure:
1.
Any Contracting Party may propose one or more amendments to this Agreement and its Appendix. The text of any
proposed amendment to the Agreement and its Appendix shall be transmitted to the Secretary-General, who shall transmit it to
all Contracting Parties and inform all other countries referred to in paragraph 1 of Article 6 thereof.
2.
Any proposed amendment circulated in accordance with paragraph 1 of this Article shall be deemed to be accepted if
no Contracting Party expresses an objection within a period of nine months following the date of circulation of the proposed
amendment by the Secretary-General.
3.
The Secretary-General shall, as soon as possible, notify all Contracting Parties whether an objection to the proposed
amendment has been expressed. If an objection to the proposed amendment has been expressed, the amendment shallbe deemed not to have been accepted, and shall be of no effect whatsoever. If no such objection has been expressed, theamendment shall enter into force for all Contracting Parties three months after the expiry of the period of nine months referred
to in paragraph 2 of this Article.
Article 13 bis
1.
The Schedules of Administrative and Procedural Provisions annexed to this Agreement may be amended in accordancewith the following procedure:
1.1. Amendments to the Schedules of Administrative and Procedural Provisions shall be established by the
Administrative Committee as referred to in Article 1.1 and in accordance with the procedure indicated in Article 7 of the
Appendix to this Agreement.
1.2. An amendment to the Schedules of Administrative and Procedural Provisions shall be communicated by the
Administrative Committee to the Secretary-General. As soon as possible thereafter, the Secretary-General shall give
notification of this amendment to the Contracting Parties applying one or more UN Regulations.
2.
An amendment to the Schedules of Administrative and Procedural Provisions will be considered to be adopted if, withina period of six months from its notification by the Secretary-General, no Contracting Party applying one or more UN Regulations
has informed the Secretary-General of its disagreement with the amendment.
3.
The Secretary-General shall, as soon as possible, notify all Contracting Parties to the Agreement applying one or more UN
Regulations whether an objection to the proposed amendment has been expressed. If an objection to the proposed amendment
has been expressed, the amendment shall be deemed not accepted, and shall be of no effect whatsoever. If no such objection
has been expressed, the amendment shall enter into force for all Contracting Parties applying one or more UN Regulations threemonths after the expiry of the period of six months referred to in paragraph 2 of this Article.
A new schedule shall be considered as an amendment to the Schedules of Administrative and Procedural Provisions and,4.
therefore, established according to the same procedure as specified in this Article.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Article 141.

In accordance with the provisions of this Agreement, the Secretary-General shall notify the Contracting Parties of:a.

Accessions in accordance with Article 6;b.

The dates of entry into force of this Agreement in accordance with Article 7;c.

Denunciations in accordance with Article 8;d.

Notifications received in accordance with Article 9;e.

Declarations and notifications received in accordance with paragraphs 1 and 2 of Article 11;f.

The entry into force of any new UN Regulation and any amendment to an existing UN Regulation in accordance withparagraphs 2, 3, 5 and 7 of Article 1, and paragraph 2 of Article 12;g.

The entry into force of any amendment to the Agreement, its Appendix or to the Schedules of Administrative andProcedural Provisions in accordance with paragraph 3 of Article 13 or with paragraph 3 of Article 13 bis, respectively;h.

The cessation of application of UN Regulations by Contracting Parties in accordance with paragraph 6 of Article 1.

2.
In accordance with the provisions of this Agreement and the annexed Schedules of Administrative and Procedural
Provisions, the Executive Secretary of the United Nations Economic Commission for Europe shall notify:a.

The Secretary-General and the Contracting Parties of the establishment of an amendment to a UN Regulation inaccordance with paragraph 2 of Article 12;b.

The Contracting Parties of the decision by Administrative Committee on an exemption approval request and,
subsequently, of its adoption in accordance with paragraph 5 of Schedule 7.
Article 15

1.
If at the date the above provisions come into effect the procedures envisaged in Article 1, paragraphs 3 and 4 of theprevious version of the Agreement are under way for adopting a new UN Regulation, the said new UN Regulation shall enter into
force under the provisions of paragraph 4 of the said Article.
2.
If at the date the above provisions come into effect, the procedures envisaged in Article 12, paragraph 1 of the previous
version of the Agreement are under way for the adoption of an amendment to a UN Regulation, the said amendment shall enter
into force under the provisions of the said Article.
3.
If all Contracting Parties to the Agreement agree, any UN Regulation adopted under the terms of the previous version of
the Agreement may be treated as though it were a UN Regulation adopted under the terms of the above provisions.
Article 16
This Agreement was done at Geneva in a single copy in the English, French and Russian languages, each text being equallyauthentic.

.

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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 thebasis of these United Nations Regulations

APPENDIX
Composition and rules of procedure of the Administrative Committee
Article 1
The members of the Administrative Committee shall be composed of all the Contracting Parties to the amended Agreement.
Article 2
The Executive Secretary of the United Nations Economic Commission for Europe shall provide the Committee with secretariat
services.
Article 3
The Committee shall, at its first session each year, elect a chairman and vice-chairman.
Article 4
The Secretary-General of the United Nations shall convene the Committee under the auspices of the Economic Commission
for Europe whenever a new UN Regulation, an amendment to a UN Regulation, a notification according to the procedure foran exemption approval for new technologies (set out in Schedule 7) or an amendment to the Schedules of Administrative andProcedural Provisions is required to be established.
Article 5
Proposed new UN Regulations shall be put to the vote. Each country, Contracting Party to the Agreement shall have one vote.
A quorum consisting of not less than half of the Contracting Parties is required for the purposes of taking decisions. For thedetermination of the quorum regional economic integration organizations, being Contracting Parties to the Agreement, votewith the number of votes of their member States. The representative of a regional economic integration organization may deliver
the votes of its constituent sovereign countries. New draft UN Regulations shall be established by a four-fifths majority of thosepresent and voting.
Article 6
Proposed amendments to UN Regulations shall be put to the vote. Each country, Contracting Party to the Agreement applying
the UN Regulation shall have one vote. A quorum of not less than half of the Contracting Parties applying the UN Regulation isrequired for the purposes of taking decisions. For the determination of the quorum, regional economic integration organizations,being Contracting Parties to the Agreement, vote with the number of votes of their member States. The representative of aregional economic integration organization may deliver the votes of those of its constituent sovereign countries which apply the
UN Regulation. Draft amendments to UN Regulations shall be established by a four-fifths majority of those present and voting.
Article 7
Proposed amendments to the Schedules of Administrative and Procedural Provisions annexed to this Agreement shall be put tothe vote. Each Contracting Party to the Agreement applying one or more UN Regulations shall have one vote. A quorum of notless than half of the Contracting Parties to the Agreement applying one or more UN Regulations is required for the purposes oftaking decisions. For the determination of the quorum, regional economic integration organizations, being Contracting Parties
to the Agreement, vote with the number of votes of their member States. The representative of a regional economic integration
organization may deliver the votes of those of its constituent sovereign countries which apply one or more UN Regulations. Draft
amendments to the Schedules of Administrative and Procedural Provisions shall be established by unanimous vote of thosepresent and voting.
Article 8
The request of a Contracting Party for an authorization to grant a proposed exemption approval concerning new technologies
shall be put to the vote. Each Contracting Party applying the UN Regulation shall have one vote. A quorum of not less than halfof the Contracting Parties applying the UN Regulation is required for the purposes of taking decisions. For the determination of
the quorum, regional economic integration organizations, being Contracting Parties to the Agreement, vote with the number ofvotes of their member States. The representative of a regional economic integration organization may deliver the votes of thoseof its constituent sovereign countries which apply the UN Regulation. The authorization to grant an exemption approval for thesaid Contracting Party shall be established by a four-fifths majority of those present and voting.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Schedules of Administrative and Procedural Provisions
The following Schedules of Administrative and Procedural Provisions (SAPP) are annexed to the 1958 Agreement2 and specify theadministrative 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 withPart 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

238

Agreement concerning the Adoption of Harmonized Technical United Nations Regulations for Wheeled Vehicles, Equipment and Parts which canbe 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.

ANNEX II

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 thebasis 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” andverification 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 satisfactoryarrangements 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 forauditing 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 productconformity arrangements in section 2 below, taking into account as necessary one of the arrangements described inparagraphs 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 thatapproval authority.
1.3.1.1.

1.3.2.

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 performedby 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.

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 uponwhich 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 ofcompliance 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 typeapproved.

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 astatement.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

1.3.2.3.

1.3.3.

40

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 M1 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).

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 equivalentaccreditation 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 the1958 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 toverify 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 eachapproved 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 productcharacteristics, 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 prescribedin 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 thecorresponding 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 ineach production facility.

ANNEX II

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 thebasis of these United Nations Regulations

3.1.1.

The normal arrangements shall be to monitor the continued effectiveness of the procedures laid down inparagraphs 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 requiredin 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 accordancewith 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. Thismethodology 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 thetechnical 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 carriedout 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 ensurethat 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 orinspections 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 thatthe products for which UN type approval is requested are adequately verified for their compliance with the requirementsof 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 forcontrolling conformity of production;(d)Category D: Technical services which supervise or perform tests or inspections in the framework of the surveillanceof conformity of production.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

1.4.

Technical services shall demonstrate appropriate skills, specific technical knowledge and proven experience in thespecific 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 aredesignated.
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. Wherean approval authority acting as a technical service has been appointed by national law of a Contracting Party and isfinanced by the latter, the provisions of this Schedule or equivalent rules to the provisions in paragraphs 1, 2 and 3.4 ofthis Schedule shall be complied with. The same applies for technical services that have been appointed by national lawof 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 technicalservice 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 toin 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 authority.3
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 thisSchedule.
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. Suchauditors 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 therelevant 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 thecategory 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.

3

42

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.

“Competent authority” means either the approval or designated authority, or an appropriate accreditation body acting on their behalf respectively.

ANNEX II

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 thebasis of these United Nations Regulations

3.3.

The same technical service may be designated and notified by several Contracting Parties, irrespective of the categoryof 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 andaccurately findings and conclusions.

3.

Auditor skills

3.1.

The assessments may only be conducted by auditors with the technical and administrative knowledge necessary forsuch purposes.

3.2.

The auditors shall have been trained specifically for assessment activities. In addition, they shall have the specificknowledge of the technical area in which the technical service will exercise its activities.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

3.3.

Without prejudice to the provisions of paragraphs 3.1 and 3.2 above, the assessment referred to in paragraph 2.5 ofPart one of this Schedule shall be conducted by auditors independent of the activities for which the assessment isconducted.

4.

Application for designation

4.1.

A duly authorized representative of the applicant technical service shall make a formal application to the competentauthority. 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 andtechnical 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 theirability 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 asapplicable 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 theapplicable 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 accordancewith 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, itscompetence 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:

7.2.

44

(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.

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.

ANNEX II

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 thebasis of these United Nations Regulations

7.3.

The competent authority shall agree, together with the technical service and the assigned assessment team, on thedate and timetable for the assessment. However, it remains the responsibility of the competent authority to pursue adate 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 andthe on-site assessment. This analysis shall be sufficient to allow the team to determine the extent of competence andconformity 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 fromthe 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 thetechnical service. This assessment report shall contain comments on competence and conformity, and shallidentify non-conformities, if any, that need to be resolved in order to conform to all of the requirements fordesignation.

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 designationon the basis of the report(s) and any other relevant information.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

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 betaken 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 thetechnical service.

46

11.3.

When, during surveillance or reassessments, non-conformities are identified, the competent authority shall define stricttime 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 informthe latter by registered mail, and shall inform the UNECE secretariat thereof accordingly. In any case, the competentauthority shall adopt all the necessary measures to ensure the continuity of the activities already undertaken by thetechnical 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.

ANNEX II

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 thebasis of these United Nations Regulations

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 thedecision-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 thespecific 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 therequest 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 4annexed to the 1958 Agreement and an approval mark shall be assigned to each type in accordance with the specificprovisions 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;

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT(e)

A statement of compliance with the conformity of the production requirements of Schedule 1 annexed to the1958 Agreement, detailing which of the arrangements referred to in paragraph 1.3 of Schedule 1 annexed to the1958 Agreement have been taken into account as the basis for the initial assessment as well as the date of theinitial 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 theContracting Party that issued the UN type approval of any change in the particulars of the type as recorded in theinformation 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 inparagraphs 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 theoriginal 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 theContracting 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 descriptionof the modification, shall be deemed to meet this requirement.

2.6.

48

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 theContracting 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 beamended 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.

ANNEX II

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 thebasis of these United Nations Regulations

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 inany 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 eachwheeled 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.

3.1.

The definition of the sections for all UN Regulations, except UN Regulation No. 0 on International Whole Vehicle TypeApproval, is:Section 1:

The capital letter ‘E’ followed by the distinguishing number of the Contracting Party which has granted thetype 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 thetechnical 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 theseries 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 to six 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.
3.2.

The definition of the sections of the approval number for an International Whole Vehicle Type Approval is given in
UN Regulation No. 0.

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 ofcategory M, N1 class I with regard to the emission of pollutants according to engine fuel requirements:
E11*83R03/00/J*2439*01

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

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 shallsend the documents as paper copies, or by e-mail in electronic format, or by utilizing the secure internet databaseestablished 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 thesymbol UI , 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 containedin the database by using the Unique Identifier and this will provide access to the relevant information relating to thespecific 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 tothe access rights as defined by the Contracting Parties.

SCHEDULE 6
Procedures for resolving interpretation issues in relation to the application of UN Regulations andgranting 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 applicationof 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, thisshould be done via electronic media. A period of fourteen days shall be allowed for replies from the other approval authorities.

2.

(a)

The approval authority having taken account of any comments received, can then grant approvals in accordancewith 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.

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 thefollowing procedures shall be followed.
In the first instance, the Contracting Parties concerned shall seek to resolve the issue by mutual agreement. This will requireliaison and for each Contracting Party to review the procedures used to test and approve the wheeled vehicles, equipment andparts being the subject of the interpretation dispute. The following procedures will be applied:50

ANNEX II

3.

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 thebasis of these United Nations Regulations(a)

In the event of an error being acknowledged by an approval authority, the approval authority shall take an actionin 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 typeapprovals in accordance with the new interpretation;(c)

Where agreement cannot be reached, then the Contracting Parties concerned shall seek further review by thearbitration 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 theWorld 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 ofinterpretations.

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 todemonstrate 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 thesubsidiary 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.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

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 areincompatible 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 withthe 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 thegranting 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 beconsidered to be authorized unless, within a period of one month from the notification by the Executive Secretary of theUnited 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 thendeliver the exemption approval pursuant to the UN Regulation. The exemption approval shall be accepted by theContracting 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.

52

The Administrative Committee shall specify any restrictions in the authorization decision. Time limits shall not be lessthan 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,

ANNEX II

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 thebasis of these United Nations Regulations

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 thenext 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 orinform 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 inparagraph 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 proceduredescribed 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 specifiedin 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 fromthe 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.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

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 thewheeled 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 approvalauthority.
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 thenecessary 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.

54

ANNEX III

Agreement concerning the establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be
Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998

ANNEX III
Agreement concerning the establishing of Global TechnicalRegulations for Wheeled Vehicles, Equipment and Parts which canbe Fitted and/or be Used on Wheeled Vehicles, done at Geneva
on 25 June 1998
(Reproduction of documents ECE/TRANS/132 and Corr.1)

PREAMBLE
THE CONTRACTING PARTIES,HAVING DECIDED to adopt an Agreement to establish a process for promoting the development of global technical regulations
ensuring high levels of safety, environmental protection, energy efficiency and antitheft performance of Wheeled Vehicles,
Equipment and Parts which can be fitted and/or be used on Wheeled Vehicles;
HAVING DECIDED that such process shall also promote the harmonization of existing technical regulations, recognizing theright of subnational, national and regional authorities to adopt and maintain technical regulations in the areas of health, safety,
environmental protection, energy efficiency and anti-theft performance that are more stringent than those established at the
global level;
HAVING AUTHORIZATION to enter into such an Agreement under paragraph 1(a) of the Terms of Reference of the UN/ECE andChapter XIII of the Rules of Procedure of the UN/ECE, Rule 50;
RECOGNIZING that this Agreement does not prejudice the rights and obligations of a Contracting Party under existing
international agreements on health, safety and environmental protection;
RECOGNIZING that this Agreement does not prejudice the rights and obligations of a Contracting Party under the agreements
under the World Trade Organization (WTO), including the Agreement on Technical Barriers to Trade (TBT), and intending toestablish global technical regulations under this agreement, as a basis for their technical regulations in a manner consistent withthese agreements;
INTENDING that Contracting Parties to this Agreement use the global technical regulations established under this Agreement
as a basis for their technical regulations;
RECOGNIZING the importance to public health, safety and welfare of continuously improving and seeking high levels of safety,
environmental protection, energy efficiency and anti-theft performance of wheeled vehicles, equipment and parts which can
be fitted and/or be used on wheeled vehicles, and the potential value to international trade, consumer choice and productaffordability of increasing convergences in existing and future technical regulations and their related standards;
RECOGNIZING that governments have the right to seek and implement improvements in the level of health, safety andenvironmental protection, and to determine whether the global technical regulations established under this Agreement aresuitable for their needs;
RECOGNIZING the important harmonization work already carried out under the 1958 Agreement;
RECOGNIZING the interest and expertise in different geographic regions regarding safety, environmental, energy and anti-theft
problems and methods of solving those problems, and the value of that interest and expertise in developing global technicalregulations to aid in achieving those improvements and in minimizing divergences;
DESIRING to promote the adoption of established global technical regulations in developing countries, taking into account the
special issues and circumstances for those countries, and in particular the least developed of them;55

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

DESIRING that the technical regulations applied by the Contracting Parties be given due consideration through transparent
procedures in developing global technical regulations, and that such consideration include comparative analyses of benefits andcost effectiveness;
RECOGNIZING that establishing global technical regulations providing high levels of protection will encourage individual
countries to conclude that those Regulations will provide the protection and performance needed within their jurisdiction;
RECOGNIZING the impact of the quality of vehicle fuels on the performance of vehicle environmental controls, human health,and fuel efficiency; andRECOGNIZING that the use of transparent procedures is of particular importance in developing global technical regulations
under this Agreement and that this development process must be compatible with the regulatory development processes of theContracting Parties to this Agreement;
HAVE AGREED as follows:
Article 1
Purpose1.1.

1.2.

The purpose of this Agreement is:1.1.1.

To establish a global process by which Contracting Parties from all regions of the world can jointly develop
global technical regulations regarding the safety, environmental protection, energy efficiency, and antitheftperformance of wheeled vehicles, equipment and parts which can be fitted and/or be used on wheeledvehicles;

1.1.2.

To ensure that, in developing global technical regulations, due and objective consideration is given to theexisting technical regulations of Contracting Parties, and to the UN/ECE Regulations;1.1.3.

To ensure that objective consideration is given to the analysis of best available technology, relative benefits
and cost effectiveness as appropriate in developing global technical regulations;1.1.4.

To ensure that the procedures used in developing global technical regulations are transparent;

1.1.5.

To achieve high levels of safety, environmental protection, energy efficiency, and anti-theft performancewithin the global community, and to ensure that actions under this Agreement do not promote, or result in,a lowering of these levels within the jurisdiction of Contracting Parties, including the subnational level;

1.1.6.

To reduce technical barriers to international trade through harmonizing existing technical regulations ofContracting Parties, and UN/ECE Regulations, and developing new global technical regulations governing
safety, environmental protection, energy efficiency and anti-theft performance of wheeled vehicles, equipment
and parts which can be fitted and/or be used on wheeled vehicles, consistent with the achievement of highlevels of safety and environment protection and the other above-stated purposes; and1.1.7.

To ensure that, where alternative levels of stringency are needed to facilitate the regulatory activities of certain
countries, in particular developing countries, such needs are taken into consideration in developing andestablishing global technical regulations.

This Agreement is to operate in parallel with the 1958 Agreement, without affecting the institutional autonomy of either
Agreement.
Article 2Contracting Parties and consultative status

56

2.1.

Countries that are members of the Economic Commission for Europe (UN/ECE), regional economic integration
organizations that are set up by ECE member countries and countries that are admitted to the ECE in a consultative
capacity in accordance with paragraph 8 of the ECE’s Terms of Reference, may become Contracting Parties to thisAgreement.

2.2.

Countries that are members of the United Nations and that participate in certain activities of the ECE in accordancewith paragraph 11 of the ECE’s Terms of Reference, and regional economic integration organizations set up by suchcountries, may become Contracting Parties to this Agreement.

ANNEX III

2.3.

Agreement concerning the establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be
Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998

Any specialized agency and any organization, including intergovernmental organizations and non-governmentalorganizations, that have been granted consultative status by the Economic and Social Council of the United Nations,may participate in that capacity in the deliberations of any Working Party during consideration of any matter of particularconcern to that agency or organization.
Article 3
Executive Committee

3.1.

The representatives of Contracting Parties shall constitute the Executive Committee of this Agreement and shall meetat least annually in that capacity.

3.2.

The Rules of Procedure of the Executive Committee are set forth in Annex B to this Agreement.

3.3.

The Executive Committee shall:
3.3.1.

Be responsible for the implementation of this Agreement, including the setting of priorities for activity under
this Agreement;

3.3.2.

Consider all recommendations and reports by Working Parties regarding the establishment of global technicalregulations under this Agreement; and3.3.3.

Fulfil such other functions as may be appropriate under this Agreement.

3.4.

The Executive Committee shall have the final authority to decide whether to list regulations in the Compendium of
Candidate global technical regulations and to establish global technical regulations under this Agreement.

3.5.

The Executive Committee shall, in discharging its functions, use information from all relevant sources when theCommittee deems it appropriate to do so.
Article 4
Criteria for technical regulations

4.1.

To be listed under Article 5 or established under Article 6, a technical regulation shall meet the following criteria:
4.1.1.

Provide a clear description of the wheeled vehicles, equipment and/or parts which can be fitted and/or beused on wheeled vehicles and which are subject to the regulation.

4.1.2.

Contain requirements that:

4.1.3.

4.2.

4.1.2.1.

Provide for high levels of safety, environmental protection, energy efficiency or anti-theftperformance; and4.1.2.2.

Wherever appropriate, are expressed in terms of performance instead of design characteristics.

Include:4.1.3.1.

The test method by which compliance with the regulation is to be demonstrated;

4.1.3.2.

For regulations to be listed under Article 5, where appropriate, a clear description of approval or
certification markings and/or labels requisite for type approval and conformity of production or for
manufacturer self-certification requirements; and4.1.3.3.

If applicable, a recommended minimum period of lead time, based upon considerations ofreasonableness and practicability, that a Contracting Party should provide before requiring compliance.

A global technical regulation may specify alternative non-global levels of stringency or performance, and appropriate test
procedures, where needed to facilitate the regulatory activities of certain countries, in particular developing countries.
Article 5Compendium of candidate global technical regulations

5.1.

A compendium of technical regulations of Contracting Parties other than UN/ECE Regulations that are candidates forharmonization or adoption as global technical regulations (to be known as the Compendium of Candidates) shall becreated and maintained.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

5.2.

Listing technical regulations in the Compendium of Candidates

Any Contracting Party may submit a request to the Executive Committee for the listing in the Compendium of Candidates of any
technical regulation that such Contracting Party has applied, is applying or has adopted for future application.
5.2.1.

5.3.

The request specified in paragraph 5.2. shall contain:
5.2.1.1.

A copy of such regulation;

5.2.1.2.

Any available technical documentation supporting such regulation, including documentation
concerning best available technology, relative benefits, and cost effectiveness; and5.2.1.3.

The identification of any known existing or imminent relevant international voluntary standards.

5.2.2.

The Executive Committee shall consider all requests that satisfy the requirements of Article 4 and paragraph5.2.1. of this Article. The technical regulation shall be listed in the Compendium of Candidates if supported byan affirmative vote in accordance with paragraph 7.1. of Article 7 of Annex B. The documentation submittedwith the request for that regulation shall be appended to the listed technical regulation.

5.2.3.

The requested regulation shall be considered to be listed by the Secretary-General on the date on which it is
supported by an affirmative vote under paragraph 5.2.2. of this Article.

Removing listed technical regulations from the Compendium of Candidates

A listed technical regulation shall be removed from the Compendium of Candidates either:

5.4.

5.3.1.

Upon the establishment in the Global Registry of a global technical regulation embodying productrequirements addressing the same elements of performance or design characteristics as the listed technicalregulation;

5.3.2.

At the end of the 5-year period following the regulation’s listing under this Article, and at the end of eachsubsequent 5-year period, unless the Executive Committee reaffirms, by an affirmative vote in accordancewith paragraph 7.1. of Article 7 of Annex B, the listing of the technical regulation in the Compendium of
Candidates; or

5.3.3.

In response to a written request from the Contracting Party at whose request the technical regulation was
originally listed. Such request shall include the bases for the removal of the regulation.

Availability of documents

All documents considered by the Executive Committee under this Article shall be publicly available.
Article 6
Registry of global technical regulations
6.1.

A registry shall be created and maintained for the global technical regulations developed and established under this
Article. The registry shall be known as the Global Registry.

6.2.

Establishing global technical regulations in the Global Registry through harmonization of existing regulations

A Contracting Party may submit a proposal to develop a harmonized global technical regulation concerning elements ofperformance or design characteristics addressed either by technical regulations listed in the Compendium of Candidates, or by
any UN/ECE Regulations, or both.
6.2.1.

58

The proposal specified in paragraph 6.2. shall contain:
6.2.1.1.

An explanation of the objective of the proposed global technical regulation.

6.2.1.2.

A narrative description or, if available, the draft text of the proposed global technical regulation;

6.2.1.3.

Available documentation that may facilitate the analysis of the issues to be addressed in the reportrequired by paragraph 6.2.4.2.1. of this Article;

6.2.1.4.

A list of all technical regulations in the Compendium of Candidates, and any UN/ECE Regulations,that address the same elements of performance or design characteristics to be addressed by the
proposed global technical regulation; andANNEX III

Agreement concerning the establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be
Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998

6.2.1.5.

The identification of any known existing relevant international voluntary standards.

6.2.2.

Each proposal specified in paragraph 6.2.1. of this Article shall be submitted to the Executive Committee.

6.2.3.

The Executive Committee shall not refer to any Working Party any proposal that it determines does notsatisfy the requirements of Article 4 and paragraph 6.2.1. of this Article. It may refer all other proposals to an
appropriate Working Party.

6.2.4.

In response to a proposal referred to it for developing a global technical regulation through harmonization,
the Working Party shall use transparent procedures to:
6.2.4.1.

Develop recommendations regarding a global technical regulation by:
6.2.4.1.1. Giving consideration to the objective of the proposed global technical regulation and theneed for establishing alternative levels of stringency or performance;
6.2.4.1.2. Reviewing all technical regulations that are listed in the Compendium of Candidates, andany UN/ECE Regulations, that address the same elements of performance;
6.2.4.1.3. Reviewing any documentation that is appended to the regulations specified inparagraph 6.2.4.1.2. of this Article;
6.2.4.1.4. Reviewing any available assessments of functional equivalence relevant to theconsideration of the proposed global technical regulation, including assessments ofrelated standards;
6.2.4.1.5. Verifying whether the global technical regulation under development satisfies the statedobjective of the regulation and the criteria in Article 4; and6.2.4.1.6. Giving due consideration to the possibility of the technical regulation being establishedunder the 1958 Agreement.

6.2.4.2.

Submit to the Executive Committee:
6.2.4.2.1. A written report that presents its recommendation regarding the global technicalregulation, includes all technical data and information that were considered in thedevelopment of its recommendation, describes its consideration of the information
specified in paragraph 6.2.4.1. of this Article, and sets forth the rationale for its
recommendations, including an explanation for rejecting any alternative regulatory
requirements and approaches considered; and6.2.4.2.2. The text of any recommended global technical regulation.

6.2.5.

The Executive Committee shall, using transparent procedures:
6.2.5.1.

Determine whether the recommendations regarding the global technical regulation,and the report are based upon a sufficient and thorough performance of the activities
specified in paragraph 6.2.4.1. of this Article. If the Executive Committee determines thatthe recommendations, report and/or the text of the recommended global technicalregulation, if any, are inadequate, it shall return the regulation and report to the Working
Party for revision or additional work.

6.2.5.2.

Consider the establishment of a recommended global technical regulation in accordancewith the procedures set forth in paragraph 7.2. of Article 7 of Annex B. A consensus vote by
the Executive Committee in favour of the regulation shall establish the Regulation in the
Global Registry.

6.2.6.

The global technical regulation shall be considered to be established in the Global Registry on the date of theconsensus vote by the Executive Committee in favour of the regulation.

6.2.7.

The Secretariat shall, upon the establishment of a global technical regulation by the Executive Committee,
append copies of all relevant documentation, including the proposal submitted pursuant to paragraph 6.2.1.
of this Article and the recommendations and report required by paragraph 6.2.4.2.1. of this Article, to that
regulation.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

6.3.

Establishing new global technical regulations in the Global Registry

A Contracting Party may submit a proposal to develop a new global technical regulation concerning elements of performance ordesign characteristics not addressed by technical regulations in the Compendium of Candidates or UN/ECE Regulations.
6.3.1.

The proposal specified in paragraph 6.3. shall contain:
6.3.1.1.

An explanation of the objective of the proposed new global technical regulation, based on objective
data to the extent possible;

6.3.1.2.

A narrative description or, if available, the draft text of the proposed new global technical regulation;

6.3.1.3.

Any available documentation that may facilitate the analysis of the issues to be addressed in thereport required by paragraph 6.3.4.2.1. of this Article; and6.3.1.4.

The identification of any known existing relevant international voluntary standards.

6.3.2.

Each proposal specified in paragraph 6.3.1. of this Article shall be submitted to the Executive Committee.

6.3.3.

The Executive Committee shall not refer to any Working Party any proposal that it determines does notsatisfy the requirements of Article 4 and paragraph 6.3.1. of this Article. It may refer all other proposals to an
appropriate Working Party.

6.3.4.

In response to a proposal referred to it for developing a new global technical regulation, the Working Party
shall use transparent procedures to:
6.3.4.1.

Develop recommendations regarding a new global technical regulation by:
6.3.4.1.1. Giving consideration to the objective of the proposed new global technical regulation andthe need for establishing alternative levels of stringency or performance;
6.3.4.1.2. Considering technical feasibility;
6.3.4.1.3. Considering economic feasibility;
6.3.4.1.4. Examining benefits, including those of any alternative regulatory requirements andapproaches considered;
6.3.4.1.5. Comparing potential cost effectiveness of the recommended regulation to that of thealternative regulatory requirements and approaches considered;
6.3.4.1.6. Verifying whether the new global technical regulation under development satisfies thestated objective of the Regulation and the criteria in Article 4; and6.3.4.1.7. Giving due consideration to the possibility of the technical regulation being establishedunder the 1958 Agreement.

6.3.4.2.

Submit to the Executive Committee:
6.3.4.2.1. A written report that presents its recommendation regarding the new global technicalregulation, includes all technical data and information that were considered in thedevelopment of its recommendation, describes its consideration of the information
specified in paragraph 6.3.4.1. of this Article, and sets forth the rationale for its
recommendations, including an explanation for rejecting any alternative regulatory
requirements and approaches considered; and6.3.4.2.2. The text of any recommended new global technical regulation.

6.3.5

The Executive Committee shall, using transparent procedures:
6.3.5.1.

60

Determine whether the recommendations regarding the new global technical regulationand the report are based upon a sufficient and thorough performance of the activities
specified in paragraph 6.3.4.1. of this Article. If the Executive Committee determines thatthe recommendations, report and/or the text of the recommended new global technicalregulation, if any, are inadequate, it shall return the regulation and report to the Working
Party for revision or additional work.

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Agreement concerning the establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be
Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998

6.3.5.2.

6.4.

Consider the establishment of a recommended new global technical regulation inaccordance with the procedures set forth in paragraph 7.2. of Article 7 of Annex B. A
consensus vote by the Executive Committee in favour of the regulation shall establish theRegulation in the Global Registry.

6.3.6.

The global technical regulation shall be considered to be established in the Global Registry on the date of theconsensus vote by the Executive Committee in favour of the regulation.

6.3.7.

The Secretariat shall, upon the establishment of a new global technical regulation by the Executive Committee,
append copies of all relevant documentation, including the proposal submitted pursuant to paragraph 6.3.1.
of this Article and the recommendations and report required by paragraph 6.3.4.2.1. of this Article, to that
Regulation.

Amending established global technical regulations

The process for amending any global technical regulation established in the Global Registry under this Article shall be theprocedures specified in paragraph 6.3. of this Article for establishing a new global technical regulation in the Global Registry.
6.5.

Availability of documents

All documents considered or generated by the Working Party in recommending global technical regulations under this Article
shall be publicly available.
Article 7
Adoption, and notification of application, of established global technical regulations
7.1

A Contracting Party that votes in favour of establishing a global technical regulation under Article 6 of this Agreement
shall be obligated to submit the technical Regulation to the process used by that Contracting Party to adopt such atechnical Regulation into its own laws or regulations and shall seek to make a final decision expeditiously.

7.2.

A Contracting Party that adopts an established global technical regulation into its own laws or regulations shall notify
the Secretary-General in writing of the date on which it will begin applying that Regulation. The notification shall be
provided within 60 days after its decision to adopt the Regulation. If the established global technical regulation contains
more than one level of stringency or performance, the notification shall specify which of those levels of stringency or
performance is selected by the Contracting Party.

7.3.

A Contracting Party that is specified in paragraph 7.1. of this Article and that decides not to adopt the established global
technical regulation into its own laws or regulations, shall notify the Secretary-General in writing of its decision and thebasis for its decision. The notification shall be provided within sixty (60) days after its decision.

7.4.

A Contracting Party that is specified in paragraph 7.1. of this Article and that has not, by the end of the one-year period
after the date of the establishment of the Regulation in the Global Registry, either adopted that technical regulation
or decided not to adopt the Regulation into its own laws or regulations, shall provide a report on the status of theRegulation in its domestic process. A status report shall be submitted for each subsequent one-year period if neither of
those actions has been taken by the end of that period. Each report required by this paragraph shall:
7.4.1.

include a description of the steps taken during the past year to submit the Regulation and make a final
decision and an indication of the anticipated date of such a decision; and7.4.2.

be submitted to the Secretary-General not later than 60 days after the end of the one-year period for which
the report is submitted.

7.5.

A Contracting Party that accepts products that comply with an established global technical regulation without adoptingthat Regulation into its own laws or regulations shall notify the Secretary-General in writing of the date on which it
began to accept such products. The Contracting Party shall provide the notification within sixty (60) days after the
beginning of such acceptance. If the established global technical regulation contains more than one level of stringency
or performance, the notification shall specify which of those levels of stringency or performance is selected by theContracting Party.

7.6.

A Contracting Party that has adopted into its own laws or regulations an established global technical regulation may
decide to rescind or amend the adopted Regulation. Prior to making that decision, the Contracting Party shall notify

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

the Secretary-General in writing of its intent and the reasons for considering that action. This notice provision shall also
apply to a Contracting Party that has accepted products under paragraph 7.5. and that intends to cease accepting
such products. The Contracting Party shall notify the Secretary-General of its decision to adopt any amended or new
regulation within 60 days after that decision. Upon request, the Contracting Party shall promptly provide copies of such
amended or new regulation to other Contracting Parties.
Article 8
Issue resolution
8.1.

Questions concerning the provisions of an established global technical regulation shall be referred to the Executive
Committee for resolution.

8.2.

Issues between two or more Contracting Parties concerning the interpretation or application of this Agreement shall,so far as possible, be resolved through consultation or negotiation between or among them. Where this process fails
to resolve the issues, the Contracting Parties concerned may agree to request the Executive Committee to resolve theissue as provided in paragraph 7.3. of Article 7 of Annex B.
Article 9
Becoming a Contracting Party

9.1.

Countries and regional economic integration organizations specified in Article 2 may become Contracting Parties tothis Agreement by either:
9.1.1.

Signature without reservation as to ratification, acceptance or approval;

9.1.2.

Signature subject to ratification, acceptance or approval, followed by ratification, acceptance or approval;

9.1.3.

Acceptance; or

9.1.4.

Accession.

9.2.

The instrument of ratification, acceptance, approval or accession shall be deposited with the Secretary-General.

9.3

Upon becoming a Contracting Party:

9.4.

9.3.1.

After this Agreement has entered into force, each country or regional integration organization shall give
notification in accordance with Article 7 as to which, if any, global technical regulation(s) established pursuant
to Article 6 it will adopt, and as to any decision to accept products that comply with any of those global
technical regulations, without adopting those Regulations into its own laws or regulations. If the establishedglobal technical regulation contains more than one level of stringency or performance, the notification shallspecify which of those levels of stringency or performance is adopted or accepted by the Contracting Party.

9.3.2.

Each regional economic integration organization shall declare in matters within its competence that its
Member States have transferred powers in fields covered by this Agreement, including the power to makebinding decisions on their Member States.

Regional economic integration organizations that are Contracting Parties shall cease being Contracting Parties when
they lose the powers declared in accordance with paragraph 9.3.2. of this Article and shall inform the Secretary-General
thereof.
Article 10
Signature

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10.1.

This Agreement shall be open for signature beginning 25 June 1998.

10.2.

This Agreement shall remain open for signature until its entry into force.

ANNEX III

Agreement concerning the establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be
Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998

Article 11
Entry into force
11.1.

This Agreement and its Annexes, which constitute integral parts of the Agreement, shall enter into force on the thirtieth(30) day following the date on which a minimum of five (5) countries and/or regional economic integration organizations
have become Contracting Parties pursuant to Article 9. This minimum of five (5) must include the European Community,
Japan, and the United States of America.

11.2.

If, however, paragraph 11.1 of this Article is not satisfied fifteen (15) months after the date specified in paragraph 10.1.,
then this Agreement and its Annexes, which constitute integral parts of the Agreement, shall enter into force on thethirtieth (30) day following the date on which a minimum of eight (8) countries and/or regional economic integration
organizations have become Contracting Parties pursuant to Article 9. Such date of entry into force shall not be earlier
than sixteen (16) months after the date specified in paragraph 10.1. At least one (1) of these eight (8) must be either theEuropean Community, Japan or the United States of America.

11.3.

For any country or regional economic integration organization that becomes a Contracting Party to the Agreement
after its entry into force, this Agreement shall enter into force sixty (60) days after the date that such country or regional
economic integration organization deposits its instrument of ratification, acceptance, approval or accession.
Article 12
Withdrawal from Agreement

12.1.

A Contracting Party may withdraw from this Agreement by notifying the Secretary-General in writing.

12.2.

Withdrawal from this Agreement by any Contracting Party shall take effect one year after the date on which theSecretary-General receives notification pursuant to paragraph 12.1. of this Article.
Article 13
Amendment of Agreement

13.1.

A Contracting Party may propose amendments to this Agreement and the Annexes to this Agreement. Proposed
amendments shall be submitted to the SecretaryGeneral, who shall transmit them to all Contracting Parties.

13.2.

A proposed amendment transmitted in accordance with paragraph 13.1. of this Article shall be considered by the
Executive Committee at its next scheduled meeting.

13.3.

If there is a consensus vote in favour of the amendment by the Contracting Parties present and voting, it shall be
communicated by the Executive Committee to the Secretary-General who shall then circulate the amendment to all
Contracting Parties.

13.4.

An amendment circulated under paragraph 13.3. of this Article shall be deemed to be accepted by all Contracting
Parties if no Contracting Party expresses an objection within a period of six (6) months after the date of such circulation.
If no such objection has been expressed, the amendment shall enter into force for all Contracting Parties three (3)months after the expiry of the period of the six (6) months referred in this paragraph.

13.5.

The Secretary-General shall, as soon as possible, notify all Contracting Parties whether an objection to the proposed
amendment has been expressed. If such objection has been expressed, the amendment shall be deemed not to havebeen accepted, and shall be of no effect whatever.
Article 14
Depositary

The Depositary of this Agreement shall be the SecretaryGeneral of the United Nations. In addition to other depositary functions,
the Secretary-General shall, as soon as possible, notify the Contracting Parties of:
14.1.

The listing or removing of technical regulations under Article 5.

14.2.

The establishing or amending of global technical regulations under Article 6.

14.3.

Notifications received in accordance with Article 7.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

14.4.

Signatures, acceptances, and accessions in accordance with Articles 9 and 10.

14.5.

Notifications received in accordance with Article 9.

14.6.

The dates on which this Agreement shall enter into force for Contracting Parties in accordance with Article 11.

14.7.

Notifications of withdrawal from this Agreement received in accordance with Article 12.

14.8.

The date of entry into force of any amendment to this Agreement in accordance with Article 13.

14.9.

Notifications received in accordance with Article 15 regarding territories.
Article 15
Extension of Agreement to territories

15.1.

This Agreement shall extend to any territory or territories of a Contracting Party for whose international relations
such Contracting Party is responsible, unless the Contracting Party otherwise specifies, prior to entry into force of theagreement for that Contracting Party.

15.2.

Any Contracting Party may denounce this Agreement separately for any such territory or territories in accordance with
Article 12.
Article 16
Secretariat

The Secretariat of this Agreement shall be the Executive Secretary of the UN/ECE. The Executive Secretary shall carry out thefollowing secretariat functions:

64

16.1.

Prepare the meetings of the Executive Committee and the Working Parties;

16.2.

Transmit to the Contracting Parties reports and other information received in accordance with the provisions of thisAgreement; and16.3.

Discharge the functions assigned by the Executive Committee.

ANNEX III

Agreement concerning the establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be
Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998

ANNEX A
Definitions
For the purposes of this Agreement, the following definitions shall apply:
1.

With regard to the global technical regulations developed under this Agreement, the term “accept” means the action by aContracting Party of allowing the entry of products that comply with a global technical regulation into its market without
having adopted that global technical regulation into its respective laws and regulations.

2.

With regard to the global technical regulations developed under this Agreement, the term “adopt” means the promulgationof a global technical regulation into the laws and regulations of a Contracting Party.

3.

With regard to the global technical regulations developed under this Agreement, the term “apply” means the action ofrequiring compliance with a global technical regulation by a Contracting Party as of a certain date; in other words, theeffective date of the regulation within a Contracting Party’s jurisdiction.

4.

The term “Article” means an article of this Agreement.

5.

The term “consensus vote” means a vote on a matter in which no Contracting Party present and voting objects to the matterin accordance with paragraph 7.2. of Article 7 of Annex B.

6.

The term “Contracting Party” means any country, or regional economic integration organization, that is a Contracting Party
to this Agreement.

7.

The term “equipment and parts which can be fitted and/or be used on wheeled vehicles” means equipment or parts whosecharacteristics have a bearing on safety, environmental protection, energy efficiency, or anti-theft performance. Suchequipment and parts include, but are not limited to, exhaust systems, tyres, engines, acoustic shields, anti-theft alarms,
warning devices, and child restraint systems.

8.

The term “established global technical regulation” means a global technical regulation that has been placed on the Global
Registry in accordance with this Agreement.

9.

The term “listed technical regulation” means a national or regional technical regulation that has been placed on theCompendium of Candidates in accordance with this Agreement.

10.

The term “manufacturer self-certification” means a Contracting Party’s legal requirement that a manufacturer of wheeledvehicles, equipment and/or parts which can be fitted and/or be used on wheeled vehicles must certify that each vehicle,
item of equipment or part that the manufacturer introduces into commerce satisfies specific technical requirements.

11.

The term “regional economic integration organization” means an organization which is constituted by, and composed of,sovereign countries, and which has competence in respect of matters covered by this Agreement, including the authority
to make decisions binding on all of its Member Countries in respect of those matters.

12.

The term “Secretary-General” means the Secretary-General of the United Nations.

13.

The term “transparent procedures” means procedures designed to promote the public awareness of and participation in theregulatory development process under this Agreement. They shall include the publication of:(1) Notices of meetings of the Working Parties and of the Executive Committee; and(2) Working and final documents.
They shall also include the opportunity to have views and arguments represented at:(1) Meetings of Working Parties through organizations granted consultative status; and(2) Meetings of Working Parties and of the Executive Committee through pre-meeting consulting with representativesof Contracting Parties.

14.

The term “type approval” means written approval of a Contracting Party (or competent authority designated by a Contracting
Party) that a vehicle and/or any item of equipment and/or part that can be fitted and/or be used on a vehicle, satisfies
specific technical requirements, and is used as a precondition to the introduction of the vehicle, equipment or part into
commerce.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

15.

The term “UN/ECE Regulations” means United Nations/Economic Commission for Europe Regulations adopted under the1958 Agreement.

16.

The term “Working Party” means a specialized technical subsidiary body under the ECE whose function is to develop
recommendations regarding the establishment of harmonized or new global technical regulations for inclusion in the
Global Registry and to consider amendments to the global technical regulations established in the Global Registry.

17.

The term “1958 Agreement” means the Agreement concerning the Adoption of Uniform Technical Prescriptions 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 Prescriptions.

ANNEX B
Composition and rules of procedure of the Executive Committee
Article 1
Membership in the Executive Committee shall be limited to Contracting Parties.
Article 2
All Contracting Parties shall be members of the Executive Committee.
Article 3
3.1.

Except as provided in paragraph 3.2. of this Article, each Contracting Party shall have one vote.

3.2.

If a regional economic integration organization and one or more of its Member States are Contracting Parties to thisAgreement, the regional economic integration organization shall, in matters within its competence, exercise its right tovote with a number of votes equal to the number of its Member States that are Contracting Parties to this Agreement.
Such an organization shall not exercise its right to vote if any of its Member States exercises its right, and vice versa.
Article 4

In order to cast its own vote, a Contracting Party shall be present. A Contracting Party need not be present for the casting of avote by its regional economic integration organization.
Article 5
5.1.

A quorum consisting of not less than half of all the Contracting Parties shall be present for the taking of a vote.

5.2.

For purposes of determining a quorum under this Article, and determining the number of Contracting Parties needed
to constitute one-third of the Contracting Parties present and voting under paragraph 7.1. of Article 7 of this Annex, aregional economic integration organization and its Member States shall be counted as one Contracting Party.
Article 6

66

6.1.

The Executive Committee shall, at its first session each calendar year, elect a Chairman and ViceChairman from its
membership. The Chairman and ViceChairman shall be elected by a two-thirds affirmative vote of all Contracting Parties
present and voting.

6.2.

Neither the Chairman, nor the Vice-Chairman, shall come from the same Contracting Party more than two years insuccession. In any year, the Chairman and Vice-Chairman shall not come from the same Contracting Party.

ANNEX III

Agreement concerning the establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be
Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998

Article 7
7.1.

A national or regional regulation shall be listed in the Compendium of Candidates by an affirmative vote of either at
least one-third of the Contracting Parties present and voting (as defined in Article 5.2. of this Annex), or one-third of thetotal number of votes cast, whichever is more favourable to achieving an affirmative vote. In either case, the one-third
shall include the vote of either the European Community, Japan or the United States, if any of them are Contracting
Parties.

7.2.

Establishing a global technical regulation in the Global Registry, amending an established global technical regulation
and amending this Agreement shall be by a consensus vote of the Contracting Parties present and voting. A present
and voting Contracting Party that objects to a matter for which a consensus vote is necessary for adoption shall provide
a written explanation of its objection to the Secretary-General within sixty (60) days from the date of the vote. If such
Contracting Party fails to provide such explanation during that period, it shall be considered as having voted in favourof the matter on which the vote was taken. If all Contracting Parties that objected to the matter so fail, the vote on thematter shall be considered to have been a consensus vote in favour of the matter by all persons present and voting. In
that event, the date of the vote shall be considered to be the first day after that 60day period.

7.3.

All other matters requiring resolution may, at the discretion of the Executive Committee, be resolved by the voting
process set forth in paragraph 7.2. of this Article.
Article 8Contracting Parties that abstain from voting are considered as not voting.
Article 9
The Executive Secretary shall convene the Executive Committee whenever a vote is required to be taken under Article 5, 6 or 13of this Agreement or whenever necessary to conduct activities under this Agreement.

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ANNEX IV
Agreement concerning the Adoption of Uniform Conditions for
Periodical Technical Inspections of Wheeled Vehicles and theReciprocal Recognition of Such Inspections, done at Vienna
on 13 November 1997
(Reproduction of document ECE/RCTE/CONF/4 as corrected and amended)1

PREAMBLE
THE CONTRACTING PARTIES,RECOGNIZING the growth of road traffic and the resultant increase in danger and nuisance which presents all Contracting Parties
with safety and environmental problems of a similar nature and seriousness;
DESIRING to achieve greater uniformity in the rules adapted to the technical progress governing international road traffic and toensure a higher level of safety and protection of the environment;
DESIRING to define for this purpose uniform conditions on Periodical Technical Inspections of wheeled vehicles that it will sufficefor these vehicles to fulfil in order to be certified in their countries;
WHEREAS the time needed to carry out such Periodical Technical Inspections of certain wheeled vehicles and the expense
thereby incurred are factors which can affect the competitive conditions between road-transport operators in the territories of
the Contracting Parties; whereas the present systems of testing vary from one territory to another;
WHEREAS it is therefore necessary to harmonize as far as possible the frequency of tests and the compulsory items to be tested;
WHEREAS the fixing of the date of application of the measure referred to in this Agreement should allow time for the administrative
and technical arrangements required for carrying out the tests to be set up or extended in scope;
HAVE AGREED as follows:
Article 1
The Contracting Parties shall establish Rules for periodical technical inspections of wheeled vehicles registered in their territoryand shall reciprocally recognize the inspections carried out in accordance with those Rules. The Rules shall be establishedthrough an Administrative Committee made up of all the Contracting Parties in conformity with the Rules of Procedure set out inAppendix 1 and on the basis of the following paragraphs and articles.
For the purposes of this Agreement,
The term “wheeled vehicles” shall include any motor vehicles and their trailers;
The term “technical inspection” shall include the inspection of any equipment and parts which are used on wheeled vehicles
and whose characteristics have a bearing on road safety, protection of the environment and energy saving; the term “rules forperiodical technical inspections of wheeled vehicles” shall include provisions for the proof of the periodical uniform procedureby which the competent authorities of a Contracting Party declare, after the required verifications have been carried out, that thewheeled vehicle conforms to the requirements of the given Rules. As proof shall serve a technical inspection certificate the modelof which is reproduced in Appendix 2 to this Agreement.

1

68

Amendments to the Agreement notified by the Russian Federation to the Office Of Legal Affairs at the time of drafting this publication (Seenotification: C.N.xxx.2018.TREATIES-XI.B.31) are inserted in square brackets.

ANNEX IV

Agreement concerning the Adoption of Uniform Conditions for Periodical Technical Inspections of Wheeled Vehicles and theReciprocal Recognition of Such Inspections, done at Vienna on 13 November 1997

The term “roadworthiness” means a property of vehicles to be in a suitable operating condition to be used on public roads,
compliant with safety and environmental characteristics as prescribed by the Rules.
The term “approval” means a procedure whereby it can be certified that a vehicle satisfies the relevant administrative provisions
and technical requirements referred to in the Regulations annexed to the 1958 Geneva Agreement or by national / regional
legislation;
The term “deficiencies” means technical defects and other instances of non-compliance found during a technical inspection;
The term “inspector” means a person authorised by a Contracting Party or by its competent authority to carry out technicalinspection in a testing centre or, where appropriate, on behalf of a competent authority;
The term “competent authority” means an authority or public body entrusted by a Contracting Party with responsibility for
managing the system of technical inspection, including, where appropriate, the carrying-out of technical inspections;
The term “testing centre” means a public or private body or establishment authorised by a Contracting Party to carry out technicalinspections;
The term “supervising body” means a body or bodies set up by a Contracting Party, responsible for the supervision of testing
centres. A supervising body can be part of the competent authority or competent authorities.
Article 2
1.
A Rule, after having been established in accordance with the procedure indicated in Appendix 1, shall be communicatedby the Administrative Committee to the Secretary-General of the United Nations, hereinafter called “Secretary-General”. As soon
as possible thereafter the Secretary-General shall give notification of this Rule to the Contracting Parties.
The Rule will be considered as adopted unless, within a period of six months from its notification by the Secretary-General, morethan one-third of the Contracting Parties at the time of notification have informed the Secretary-General of their disagreementwith the Rule.
The Rule shall cover the following:a.

The categories of wheeled vehicles concerned and the frequency of its inspection;b.

The equipment and/or parts to be inspected;

c.

Test methods, and equipment by which any performance requirements are to be demonstrated;d.

Conditions for granting inspection certificate;e.

The date(s) on which the Rule enters into force.

The Rule may, if needed, include references to the test centres accredited by the competent authorities where the inspectionsof wheeled vehicles may be carried out.
2.
When a Rule has been adopted the Secretary-General shall so notify as soon as possible all the Contracting Parties,
specifying which Contracting Parties have objected and in respect of which the Rule shall not enter into force.
3.
The adopted Rule shall enter into force on the date(s) specified therein as a Rule annexed to this Agreement for all
Contracting Parties which did not notify their disagreement.
4.
Any new Contracting Party may, when depositing its instrument of accession, declare that it is not bound by certain Rules
then annexed to this Agreement or that it is not bound by any of them. If, at that time, the procedure laid down in paragraphs 1, 2
and 3 of this Article is in progress for a draft rule, the Secretary-General shall communicate such draft rule to the new Contracting
Party and the draft shall enter into force as a Rule for the new Contracting Party only on the conditions specified in paragraph 3 ofthis Article, the time allowed being counted from the date of the communication of the draft to that Party. The Secretary-Generalshall notify all the Contracting Parties of the date of such entry into force. He shall also communicate to them all declarations
concerning the non-application of certain Rules that any Contracting Party may make in accordance with the terms of thisparagraph.
Any Contracting Party applying a Rule may at any time notify the Secretary-General, subject to one year’s notice, that5.
its administration intends to cease applying it. Such notification shall be communicated by the Secretary-General to the other
Contracting Parties.

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6.
Any Contracting Party not applying a Rule may at any time notify the Secretary-General that it intends henceforth to apply
it, and the Rule will then enter into force for this Party on the sixtieth day after this notification. The Secretary-General shall notify
all the Contracting Parties of every entry into force of a Rule for a new Contracting Party effected in accordance with the termsof this paragraph.
7.

The Contracting Parties for which a Rule is in force shall hereinafter be referred to as “the Contracting Parties applying a Rule.”

8.

The Rules annexed to this Agreement as Addenda to this Agreement shall form an integral part thereof.
Article 3

The Rules annexed to this Agreement may be amended in accordance with the following procedure:
1.
Amendments to Rules shall be established by the Administrative Committee as described in Articles 1 and 2 and inaccordance with the procedure indicated in Appendix 1. An amendment to the Rule, after having been established, shall be
communicated by the Administrative Committee to the Secretary-General. As soon as possible thereafter the Secretary-Generalshall give notification of this amendment to the Contracting Parties applying the Rule.
2.
An amendment to a Rule will be considered to be adopted unless, within a period of six months from its notification by the
Secretary-General, more than one-third of the Contracting Parties applying the Rule at the time of notification have informed
the Secretary-General of their disagreement with the amendment. If, after this period, the Secretary-General has not received
declarations of disagreement of more than one-third of the Contracting Parties applying the Rule, the Secretary-General shallas soon as possible declare the amendment as adopted and binding upon those Contracting Parties applying the Rule who did
not declare themselves opposed to it. When a Rule is amended and at least one-fifth of the Contracting Parties applying theunamended Rule subsequently declare that they wish to continue to apply the unamended Rule, the unamended Rule will be
regarded as an alternative to the amended Rule and will be incorporated formally as such into the Rule with effect from the dateof adoption of the amendment or its entry into force. In this case the obligations of the Contracting Parties applying the Rule shallbe the same as set out in paragraph 1.
3.
Should a new Contracting Party accede to this Agreement between the time of the notification of the amendment toa Rule by the Secretary-General and its entry into force, the Rule in question shall not enter into force for that Contracting Party
until two months after it has formally accepted the amendment or two months after the lapse of a period of six months since thecommunication to that Party by the Secretary-General of the proposed amendment.
Article 4
1.
Countries members of the Economic Commission for Europe, countries admitted to the Commission in a consultative
capacity in accordance with paragraph 8 of the Commission’s Terms of Reference, and regional economic integration organizations
set up by countries members of the Economic Commission for Europe to which their Member States have transferred powers
in the fields covered by this Agreement, including the power to make binding decisions on their Member States, may become
Contracting Parties to this Agreement.
For the determination of the number of votes referred to in Article 2, paragraph 1 and in Article 3, paragraph 2, regional economic
integration organizations vote with the number of votes of their Member States being members of the Economic Commission
for Europe.
Countries Members of the United Nations as may participate in certain activities of the Economic Commission for Europe2.
in accordance with Paragraph 11 of the Commission’s Terms of Reference and regional economic integration organizations ofsuch countries to which their Member States have transferred powers in the fields covered by this Agreement including power
to make binding decisions on their Member States may become Contracting Parties to this Agreement.
For the determination of the number of votes referred to in Article 2, paragraph 1 and in Article 3, paragraph 2, regional economic
integration organizations vote with the number of votes of their Member States being Members of the United Nations.
3.

70Countries under paragraphs 1 and 2 of this Article may become Contracting Parties to the Agreement:a.

By signing it without reservation to a ratification;b.

By ratifying it after signing it subject to ratification;c.

By acceding to it.

ANNEX IV

4.

Agreement concerning the Adoption of Uniform Conditions for Periodical Technical Inspections of Wheeled Vehicles and theReciprocal Recognition of Such Inspections, done at Vienna on 13 November 1997

Ratification or accession shall be effected by the deposit of an instrument with the Secretary-General of the United Nations.

5.
The Agreement shall be open for signature from 12 November 1997 until 30 June 1998 inclusive. Thereafter, it shall be open
for accession.
Article 51.
This Agreement shall come into force on the sixtieth day after five of the countries referred to in paragraph 1 of Article 4
thereof have signed it without reservation of ratification or have deposited their instruments of ratification or accession.
2.
For any country ratifying or acceding to the Agreement after its entry into force this Agreement shall enter into force on thesixtieth day after the said country has deposited its instrument of ratification or accession.
Article 6
1.

Any Contracting Party may denounce this Agreement by so notifying the Secretary-General of the United Nations.

2.

Denunciation shall take effect twelve months after the date of receipt by the Secretary-General of such notification.
Article 71.
Any country may, at the time of signing this Agreement without reservation of ratification or of depositing its instrumentof ratification or accession or at any time thereafter, declare by notification addressed to the Secretary-General of the United
Nations that this Agreement shall extend to all or any of the territories for the international relations of which it is responsible.
The Agreement shall extend to the territory or territories named in the notification as from the sixtieth day after its receipt by the
Secretary-General or, if on that day the Agreement has not yet entered into force, as from its entry into force.
2.
Any country which has made a declaration in accordance with paragraph 1 of this Article extending this Agreement to any
territory for whose international relations it is responsible may denounce the Agreement separately in respect of that territory, in
accordance with the provisions of Article 6.
Article 81.
Any dispute between two or more Contracting Parties concerning the interpretation or application of this Agreement
shall, so far as possible, be settled by negotiation between them.
2.
Any dispute which is not settled by negotiation shall be submitted to arbitration if any one of the Contracting Parties
in dispute so requests and shall be referred accordingly to one or more arbitrators selected by agreement between the Parties
in dispute. If within three months from the date of the request for arbitration the Parties in dispute are unable to agree on theselection of an arbitrator or arbitrators, any of those Parties may request the Secretary-General of the United Nations to nominate
a single arbitrator to whom the dispute shall be referred for decision.
3.
The decision of the arbitrator or arbitrators appointed in accordance with paragraph 2 of this Article shall be binding on
the Contracting Parties in dispute.
Article 91.
Each Contracting Party may, at the time of signing, ratifying or acceding to this Agreement, declare that it does notconsider itself bound by Article 8 of the Agreement. Other Contracting Parties shall not be bound by Article 8 in respect of any
Contracting Party which has entered such a reservation.
2.
Any Contracting Party having entered a reservation as provided for in paragraph 1 of this Article may at any time withdraw
such reservation by notifying the Secretary-General of the United Nations.
3.
No other reservation to this Agreement or to the Rules annexed thereto shall be permitted; but any Contracting Party may,in accordance with the terms of Article 1, declare that it does not propose to apply certain of the Rules or that it does not propose
to apply any of them.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Article 10
The text of the Agreement itself and of its Appendices may be amended in accordance with the following procedure:
1.
Any Contracting Party may propose one or more amendments to this Agreement and its Appendices. The text of any
proposed amendment to the Agreement and its Appendices shall be transmitted to the Secretary-General, who shall transmit it
to all Contracting Parties and inform all other countries referred to in paragraph 1 of Article 4 thereof.
2.
Any proposed amendment circulated in accordance with paragraph 1 of this Article shall be deemed to be accepted
if no Contracting Party expresses an objection within a period of six months following the date of circulation of the proposed
amendment by the Secretary-General.
3.
The Secretary-General shall, as soon as possible, notify all Contracting Parties whether an objection to the proposed
amendment has been expressed. If an objection to the proposed amendment has been expressed, the amendment shall bedeemed not to have been accepted, and shall be of no effect whatever. If no such objection has been expressed, the amendment
shall enter into force for all Contracting Parties three months after the expiry of the period of six months referred to in paragraph
2 of this Article.
Article 11
In addition to the notification provided for in Articles 2, 3 and 5 of this Agreement, the Secretary-General of the United Nations
shall notify the Contracting Parties of:a.

Signatures, ratifications and accessions in accordance with Article 4;b.

The dates of entry into force of this Agreement in accordance with Article 5;c.

Denunciations in accordance with Article 6;d.

Notifications received in accordance with Article 7;e.

Declarations and notifications received in accordance with paragraphs 1 and 2 of Article 9;f.

The entry into force of any amendment in accordance with paragraphs 1 and 2 of Article 3;g.

The entry into force of any amendment in accordance with paragraph 3 of Article 10.
Article 12

Bodies or establishments designated and directly supervised by the Contracting Party may carry out periodical technicalinspections in accordance with this Agreement on behalf of another Contracting Party provided both the Contracting Party
where the vehicle is registered and the Contracting Party where the inspections are to take place are in agreement.
Article 13
After 30 June 1998 the original of this Agreement shall be deposited with the Secretary-General of the United Nations, who shalltransmit certified true copies to each of the countries mentioned in paragraphs 1 and 2 of Article 4 thereof.

* * *IN WITNESS WHEREOF, the undersigned, being duly authorized thereto, have signed this Agreement.
DONE at Vienna on 13 November 1997 in a single copy in the English, French and Russian languages, each text being equallyauthentic.

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ANNEX IV

Agreement concerning the Adoption of Uniform Conditions for Periodical Technical Inspections of Wheeled Vehicles and theReciprocal Recognition of Such Inspections, done at Vienna on 13 November 1997

APPENDIX 1
Composition and rules of procedure of the Administrative Committee
Article 1
The members of the Administrative Committee shall be composed of all the Contracting Parties to the Agreement.
Article 2
The Executive Secretary of the United Nations Economic Commission for Europe shall provide the Committee with secretariat
services.
Article 3
The Committee shall, at its first session each year, elect a Chairman and Vice-Chairman.
Article 4
The Secretary-General of the United Nations shall convene the Committee under the auspices of the Economic Commission for
Europe whenever a new Rule or an amendment to a Rule is required to be established.
Article 5
Proposed new Rules shall be put to the vote. Each country, Contracting Party to the Agreement shall have one vote. A quorum
consisting of not less than half of the Contracting Parties is required for the purposes of taking decisions. For the determinationof the quorum regional economic integration organizations, being Contracting Parties to the Agreement, vote with the numberof votes of their Member States. The representative of a regional economic integration organization may deliver the votes of its
constituent sovereign countries. New Draft Rules shall be established by a two-thirds majority of those present and voting.
Article 6
Proposed amendments to Rules shall be put to the vote. Each country, Contracting Party to the Agreement applying the Rule
shall have one vote. A quorum of not less than half of the Contracting Parties applying the Rule is required for the purposes oftaking decisions. For the determination of the quorum, regional economic integration organizations, being Contracting Parties
to the Agreement, vote with the number of votes of their Member States. The representative of a regional economic integration
organization may deliver the votes of those of its constituent sovereign countries which apply the Regulation. Draft Amendments
to Rules shall be established by a two-thirds majority of those present and voting.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

APPENDIX 2
International Technical Inspection Certificate
1.
Accredited Testing Centres are responsible for conducting the inspection tests, granting the confirmation of compliancewith the inspection requirements of the relevant Rule(s) annexed to the 1997 Vienna Agreement, and specifying the latest dateof next inspection to be indicated in line No. 12.5 of the International Technical Inspection Certificate, the model of which is
reproduced hereafter;
2.
The International Technical Inspection Certificate shall contain the information indicated hereafter. It may be a booklet informat A6 (148x105 mm), with a green cover and white inside pages, or a sheet of green or white paper of format A4 (210x197)
folded to format A6 in such a way that the section containing the distinguishing sign of the state or of the United Nations forms
the top of the folded Certificate.
The certificate may also be in electronic form, provided a certified printout of the certificate is made available when required.
3.
Items of the certificate and their content shall be printed in the national language of the issuing Contracting Party by
maintaining the numbering.
4.
The periodical inspection reports which are in use in the Contracting Parties to the Agreement may be used as an alternative.
A sample of them shall be transmitted to the Secretary-General of the United Nations for information to the Contracting Parties.
5.
Handwritten, typed or computer generated entries on the International Technical Inspection Certificate to be madeexclusively by the competent authorities, shall be in Latin characters.

Content of the International Technical Inspection Certificate

Space for the
distinguishing sign ofthe state or of the UN( Competent authority)

1

CERTIFICAT INTERNATIONAL DE CONTRÔLE TECHNIQUE 2

1
2

74

Title “INTERNATIONAL TECHNICAL INSPECTION CERTIFICATE” in national language.
Title in French.

ANNEX IV

Agreement concerning the Adoption of Uniform Conditions for Periodical Technical Inspections of Wheeled Vehicles and theReciprocal Recognition of Such Inspections, done at Vienna on 13 November 1997

INTERNATIONAL TECHNICAL INSPECTION CERTIFICATE
1.

Licence plate (Registration) No....................................................................................................................................................................................

2.

Vehicle identification No..................................................................................................................................................................................................

3.

First registration after the manufacture (State, Authority)......................................................................................................................... 3

4.

Date of first registration after the manufacturer..............................................................................................................................................

5.

Date of the technical inspection...............................................................................................................................................................................

6.

Odometer reading in the moment of the last inspection (if available) ......................................................................................... ]CERTIFICATE OF COMPLIANCE
7.

This certificate is issued for the vehicle identified under Nos. 1 and 2 which complies at the date under No 5 with
the Rule(s) annexed to the 1997 Agreement on the Adoption of Uniform Conditions for Periodical TechnicalInspections of Wheeled Vehicles and the Reciprocal Recognition of such Inspections.

8.

The vehicle has to undergo its next technical inspection according to the Rule(s) under No 6 not later than:4

Date: ([day/]month/year)................................................................................................................................................................................................
9.

Issued by...................................................................................................................................................................................................................................

10.

At (Place)...................................................................................................................................................................................................................................

11.

Date..............................................................................................................................................................................................................................................

12.

Signature..................................................................................................................................................................................................................................
5

3
4
5

If available, authority and state where the vehicle was registered for the first time after its manufacture.
It applies the last day of the month when the day is not stated.
Seal or stamp of the authority issuing the certificate.

13.

6Subsequent periodical technical inspection(s)................................................................................................................................................

13.1. Done by (Testing Centre)............................................................................................................................................................................................... 7
13.2. ........................................................................................................................................................................................................................................................
Stamp
13.3. Date..............................................................................................................................................................................................................................................
13.4. Signature..................................................................................................................................................................................................................................
13.5. Next inspection due not later than (month/year)..........................................................................................................................................
13.6. Odometer reading in the moment of the last inspection (if available).............................................................................................

6
7

Items 13.1 to 13.5 to be repeated if the Certificate is to be used for subsequent annual periodical technicalinspections.
Name, Address, State of the Testing Centre accredited by the competent Authority.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

APPENDIX 3
Conformity of periodical technical inspection process
Each Contracting Party or its competent authority must verify before the authorisation of testing centres the existence ofsatisfactory arrangements and procedures for ensuring the objectivity and the high quality of the technical inspections,
undertaken in accordance with the recommended methods specified in the Rules.
With a view to ensuring that a high quality of testing is maintained over time, Contracting Party should set up a system that covers theprocesses of authorisation, supervision, withdrawal, suspension or cancellation of authorisation to carry out technical inspections.
The arrangements and procedures shall cover the following minimum requirements. In order to ensure high standards oftechnical inspections, Contracting Parties are allowed to lay down additional requirements.

1.

Testing facilities and equipment

1.1.

Contracting Parties shall ensure that testing equipment used for carrying out technical inspections comply with the minimum
technical requirements laid down in the Rules.This may include, where applicable, the use of mobile test units.

1.2.

According to the vehicle category technical inspections shall be carried out by using appropriate test facility with adequate
space for the evaluation of vehicles which meets the necessary health and safety requirements.

1.3.

Contracting Parties shall ensure that the testing centres or, if relevant, the competent authority maintain the testing
facilities and equipment in accordance with the specifications provided by the manufacturers.

1.4.

Equipment used for measurements shall be periodically calibrated and verified in accordance with the specifications
provided by the Contracting Party concerned or by the manufacturer of the equipment.

2.

Testing centres

2.1.

Testing centres in which inspectors perform technical inspections shall be authorised by a Contracting Party or by its
competent authority.

2.2.

To meet minimum requirements in terms of quality management, testing centres shall comply with the requirements
laid down by the authorising Contracting Party. Testing centres shall ensure the objectivity and the high quality of thetechnical inspections.

3.

Inspectors

3.1.

Before an inspector may carry out periodic technical inspections, it shall be verified that that person has the appropriate
knowledge, experience and skills.

3.2.

Contracting Parties or competent authorities shall ensure that inspectors receive the appropriate initial and refresher
training or undergo appropriate examination, including in theoretical and practical elements, to enable them to beauthorised to carry out technical inspections.

3.3.

Inspectors, when carrying out technical inspections, should act independently and their judgement should not beaffected by conflicts of interest, including those of an economic or personal nature.

3.4.

The person presenting the vehicle for testing shall be informed of any deficiencies identified in the vehicle which need tobe rectified.

3.5.

The results of a technical inspection should not be altered for commercial purposes. The results of a technical inspection
may only be modified, where appropriate, by the supervising body, or in accordance with the procedure set up by thecompetent authority, if the findings of the technical inspection are manifestly incorrect.

4.

Supervision of testing centres

4.1.

Contracting Parties shall ensure that testing centres are supervised. Contracting Parties shall specify the rules andprocedures covering the organisation, tasks and requirements, including the independence requirements applicable tothe personnel of a supervising body.

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ANNEX V

List of Non-Governmental Organizations which Regularly Participate in the Activities of the World ForumANNEX V
List of Non-Governmental Organizations which
Regularly Participate in the Activities of the World ForumAAPC

American Automotive Policy Council - www.americanautocouncil.org/

AECC

Association for Emissions Control by Catalyst - www.aecc.eu/

BIPAVER

Bureau International Permanent des Associations de Vendeurs et Rechaperas de Pneumatiques - bipaver.org/

CAETS

International Council of Academies of Engineering and Technological Science, Inc. - www.caets.org/

CEFIC – ATC

Technical Committee of Petroleum Additive Manufacturers in Europe - www.atc-europe.org/

CEMA

European Committee of Associations of Manufacturers of Agricultural Machinery- www.cema-agri.org/

CI

Consumers International - www.consumersinternational.org/

CITA

International Motor Vehicle Inspection Committee - citainsp.org/

CLCCR

International Association of the Body and Trailer Building Industry - www.clccr.org/

CLEPA

European Association of Automotive Suppliers - clepa.eu/

EGEA

European Garage Equipment Association - www.egea-association.eu/

EIC

Environmental Industries Commission - www.eic-uk.co.uk/

EMA

Truck and Engine Manufacturers Association - www.truckandenginemanufacturers.org/

ETRMA

European Tyre and Rubber Manufacturers’ AssociationE- www.etrma.org/

ETRTO

European Tyre and Rim Technical Organization - www.etrto.org/

EUROMOT

European Association of Internal Combustion Engine Manufacturers – www.euromot.eu/

FEM

European Materials Handling Federation - www.fem-eur.com/

FEMFM

Federation of European Manufacturers of Friction Materials - www.femfm.com/

FIAInternational Automobile Federation - www.fia.com/

FIA
Foundation

Foundation for the Automobile and Society - www.fiafoundation.org/

Global NCAP

Global New Car Assessment Programme - www.globalncap.org/

GTB

International Automotive Lighting and Light-Signalling Expert Group - www.gtb-lighting.org/

ICCTInternational Council on Clean Transportation - www.theicct.org/

IEC

International Electrotechnical Commission - www.iec.ch/

IMMAInternational Motorcycle Manufacturers Association - www.immamotorcycles.org/

IRU

International Road Transport Union - www.iru.org/

ISOInternational Organization for Standardization - www.iso.org/

ITMA

Imported Tyre Manufacturers Association - itma-europe.com/

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

78

JAPIA

Japan Auto Parts Industries Association - www.japia.or.jp/

LG Europe

Liquid Gas Europe - www.aegpl.eu/

MEMA

Motor and Equipment Manufacturers Association - www.mema.org/

NGV Global

Natural Gas Vehicle Knowledge Base - www.iangv.org/

NGVA Europe

Natural Gas Vehicle Association Europe - www.ngva.eu/

OICA

International Organization of Motor Vehicle Manufacturers - www.oica.net/

RV

Recreation Vehicle Industry Association - www.rvia.org/

SAE
International

Society of Automotive Engineers - www.sae.org/

T&E

Transport & Environment - www.transportenvironment.org/

USTMA

U.S. Tire Manufacturers Association - www.ustires.org/

UTIP

International Association of Public Transport - www.uitp.org/

WBIA

World Bicycle Industry Association – wbia.ch

WBU

World Blind Union - www.worldblindunion.org/

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

ANNEX VIInternational, National and Regional Regulatory Development
and Enforcement

SECTION 1 – CANADASECTION 2 – CHINASECTION 3 – INDIASECTION 4 – JAPANSECTION 5 – REPUBLIC OF KOREASECTION 6 – RUSSIAN FEDERATIONSECTION 7 – UNITED STATES OF AMERICASECTION 8 – EUROPEAN UNION

79WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

SECTION 1

THE REGULATORY PROCESS IN CANADA

The federal regulatory process in Canada is defined by specific legal requirements set out in the Statutory Instruments Act and by
policy requirements that are in the Cabinet Directive on Streamlining Regulation.

Regulations as a Policy Instrument
In Canada, regulations are made by the Governor in Council, a minister, or an administrative agency, to whom Parliament hasdelegated its authority in an act. Regulations are a form of law–they have a binding legal effect and usually set out general rules
rather than specific ones that are directed toward persons or situations.
The process described herein assumes that officials have evaluated the range of instruments available to them for achieving agiven policy objective and have determined that regulation is a necessary part of the instrument mix.

Overview of the Federal Regulatory Development Process
The federal regulatory development process is structured so as to provide a consistent approach to making regulations acrossgovernment while ensuring that the policy commitments and legal obligations of the Government of Canada are met.
Step 1: Informal Public Consultation
The document provides a non-technical synthesis of information that allows the public to understand the issue that the
government is considering to address through regulations. This provides the public with the opportunity to comment on theissues and the regulatory approaches being considered to address those issues. It informs and engages Canadians on the natureand implications of the public policy issue based on available evidence, science, or knowledge. It also includes Canadians indeveloping policy objectives.
Step 2: The Triage Statement
The first step in the regulatory development process is to assess the level of impact of the regulatory proposal, prepare a Triage
Statement, and have the statement approved by Treasury Board Secretariat.
It is also at this stage that the potential impact of a proposal on international trade will be determined. In cases where a regulatingorganization cannot adequately assess such impact, Treasury Board Secretariat consults with the Global Affairs Canada.
Step 3: Analysis and Development of the Regulatory Impact Analysis Statement
The Cabinet Directive on Streamlining Regulation requires regulatory organizations to conduct detailed analyses and undertake
thorough consultations when developing a regulatory proposal. The results of these processes are summarized and presented
to decision makers and the public in the Regulatory Impact Analysis Statement. This document provides a cogent, non-technicalsynthesis of information that allows the various audiences to understand the issue that is being regulated, the reason the issue
is being regulated, the government’s objectives, and the costs and benefits of the regulation and who will be affected, who wasconsulted in developing the regulation, and how the government will evaluate and measure the performance of the regulation
against its stated objectives.
The regulatory organizations identify parties that may be interested in or affected by a regulatory proposal and provides theseparties with opportunities to take part in open consultations at all stages of the regulatory process.
When undertaking consultations regarding the proposed regulatory development, the regulatory organization does thefollowing:
Informs and engage Canadians on the nature and implications of the public policy issue based on available evidence, science,or knowledge;

80•

Includes Canadians in developing policy objectives;•

Sets out the process and timelines in a clear manner so that affected parties can organize and provide input; and•Provides timely feedback to Canadians and affected parties on the outcome of the consultations and on the priorities
considered in decision-making.

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

Step 4: Drafting the Regulations
Drafting instructions are prepared in both Canadian official languages (English and French).
Step 5: Examination by the Department of Justice Canada Legislative Counsel and Stamping
The Department of Justice conducts a legal examination of all proposed regulations to ensure that the following:•

The regulation is authorized by the enabling act.

•

The regulation does not constitute an unusual or unexpected use of the authority under which it is to be made.

•The regulation does not trespass unduly on existing rights and freedoms and is not inconsistent with the Charter of Rights
and Freedoms or with the Constitution Act, 1982.

•

The form and drafting of the regulation is in accordance with established standards.

Step 6: Signed Submission Goes to Privy Council Office – Order in Council
Regulatory proposals, once approved for submission by the sponsoring minister, are forwarded to Privy Council Office – Order in
Council, which is responsible for putting the proposal before the Treasury Board.
Step 7: Treasury Board Meeting and Decision
Treasury Board Secretariat is responsible for briefing Treasury Board ministers on regulatory proposals. Officials of the regulatoryorganization are sometimes required to be available during the meeting to provide additional information.
The Treasury Board, as a Cabinet committee, may make any of the following decisions:•

Approve or reject pre-publication of the proposed regulation;•

Approve or reject requests for exemptions from pre-publication;•

Send the item to Cabinet or one of its other committees for consideration;•

Refer the matter back to the responsible minister for further consideration and information; and•Defer the item to another meeting.

Step 8: Pre-Publication in the Canada Gazette, Part I
If the approval of the Treasury Board is obtained, Privy Council Office – Order in Council forwards the proposed regulation andthe accompanying Regulatory Impact Analysis Statement to the Canada Gazette Directorate of Public Works and Government
Services Canada.
The proposed regulation and the Regulatory Impart Analysis Statement are then pre-published in the Canada Gazette, Part I.
It is through publication in Part I that the government includes Canadians in the regulatory process. Pre-publication gives all
Canadians a chance to submit their comments about a proposed regulation before it is made.

Seeking Final Approval, Publication, and Registration
Following the pre-publication period, many of the same steps are undertaken again in a modified form to complete the regulatory
development process.
Step 9: Post-Pre-Publication Analysis
All comments received during the pre-publication period are given careful consideration to determine whether changes to thetext are warranted.
If changes are required to the proposed regulation, the Department of Justice Legislative Counsel will examine them and makethose appropriate changes. In addition to public and stakeholder comments, any changes that may have occurred, domesticallyor internationally, that could affect the wording or intent of the proposed regulation are considered.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Step 10: Examination by the Department of Justice Legislative Counsel and Stamping
The Department of Justice Legislative Counsel performs the same legal examination function at this stage as during the prepublication stage (see Step 4).
Step 11: Final Regulatory Submission Goes to Privy Council Office – Order in Council
Once the final regulatory proposal has been approved by the responsible minister(s), the relevant documents are sent to theAssistant Clerk of the Privy Council. Unless specified otherwise, all documents are required in both official languages of Canada(English and French).
Step 12: Making of the Regulation by the Governor in Council
The Governor in Council is the Governor General of Canada acting on the advice of Cabinet. Since December 2003, the Treasury
Board has provided advice to the Governor General on behalf of the Queen’s Privy Council.
Similar to proposals seeking pre-publication, Treasury Board Secretariat briefs Treasury Board ministers on submissions seeking
final approval. The ministers consider the results of pre-publication along with other information in the regulatory submission
and decide whether to recommend that the Governor General make the regulations as presented in their final form.
Step 13: Registering, Coming into Force, Publishing in Canada Gazette, Part II

Registration
Although it is required that a regulation be transmitted to the Clerk for registration within seven days, the registration is usually
done within 48 hours of the Treasury Board meeting at which the regulation is considered. The regulation is assigned a number,preceded by the acronym SOR, which stands for statutory orders and regulations, or SI, which stands for statutory instruments.

Coming into ForceRegulations that must be registered generally come into force at midnight on the date of registration or on a day after registrationthat is specified in the regulations.

Publication
Regulations are published in the Canada Gazette, Part II, within 23 days of their registration (Part II is published every second
Wednesday).

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ANNEX VI

International, National and Regional Regulatory Development and Enforcement

SECTION 2I.

THE ADMINISTRATION OF THE AUTOMOTIVE INDUSTRYAND THE STANDARDS AND REGULATIONS IN CHINA

Administration System of Automotive Industry in China

The Administration of the automotive industry in China is mainly involved in investment project management, manufacturing
enterprises and products market access, new vehicle registration, insurance, vehicle annual inspection, import and export
trade, market supervision and recall, scrapped vehicle recycling and disassembling as a whole process with the corresponding
competent authorities including National Development and Reform Commission (NDRC),The Ministry of Industry and Information
Technology (MIIT),The Ministry of Ecology and Environment (MEE),The Ministry of Public Security (MPS),The Ministry of Transport(MOT), The Ministry of Commerce (MOFCOM), the State Administration for Market Regulation (SAMR), etc.
From the basis of automotive industry administration, the involved laws and regulations mainly include:
Road Traffic Safety Law of the People’s Republic of China
Highway Law of the People’s Republic of China
Law of the People’s Republic of China on Energy Conservation
Law of the People’s Republic of China on the Prevention and Control of Atmospheric Pollution
Law of the People’s Republic of China on the Prevention and Control of Environmental Noise Pollution
Standardization Law of the People’s Republic of China
Law of the People’s Republic of China on Product Quality
Law of the People’s Republic of China on the Protection of the Rights and Interests of Consumers
Regulations of the People’s Republic of China on Certification and Accreditation
Regulations of the People’s Republic of China on Road Transportation

II.

China Automotive Standards and Regulations System(a) China Automotive Standards and Regulations System
Since the publication of the “Standardization Law of the People’s Republic of China” in September, 1988, China national standards
are divided into mandatory standards and recommended standards following international practice. In terms of auto products,
mandatory standards refer to those in safety, environment protection, energy saving, anti-theft system field, which are equivalent
to the international technical regulations. While recommended standards refer to the basic ones like general test method,interchangeability, connection dimension, general materials, and a few of standards related to product technical condition,
which are not mandatory. China auto mandatory standard system is established on the basis of researching and analysing global
typical vehicle technical regulation system and specific content, and with ECE Regulation (renamed as UN Regulation) issued
by Economic Commission for Europe, United Nations as the main reference at the beginning. Over the years, China has carriedout effective administration and control on the performance of vehicle safety, environment protection and energy saving andhas continuously upgraded the auto product technology and quality through the establishment and improvement of auto
mandatory standard system.
Up to July of 2018, a complete auto standard system framework composed of mandatory standards, recommended standards
and industrial standards has been established in China, including the published standards as follows:
Mandatory standards (GB): 121 items, including 99 items for motor vehicle, 22 items for motorcycle;
Recommended standards (GB/T): 370 items, including 344 items for motor vehicle, remaining items for motorcycle;
Industrial standards (QC/T): 802 items, including 724 items for motor vehicle, remaining items for motorcycle;
Figure 1 is the present China’s auto standard system and quantity in classification (The plus sign means the standard quantity of
motor vehicle plus that of motorcycle).

83

items for motorcycle;
Industrial standards (QC/T): 802 items, including 724 items for motor vehicle, remaining items
for motorcycle;

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Figure 1 is the present China's auto standard system and quantity in classification (The plus sign means thestandard quantity of motor vehicle plus that of motorcycle).
FIGURE 1
ChinaSystem
Auto Standard
System Classification
and Quantity
Figure 1 China Auto Standard
Classification
and Quantity(b) The Procedure of Auto Standard Formulation and Revision in China
The procedure of auto standard formulation in China generally
includes:- 125- project establishment, project approval, drafting,opinions soliciting, draft review, submission for approval, approval and publication, periodic review.
Take the mandatory standard for example, which is equivalent to the international technical regulation. The period from projectapproval to the standard approval and publication shall be not more than 36 months. The project can be delayed by applicationin special circumstances. The period of each delay shall be no more than one year. For every standard, a maximum of two delays
can be applied.
Project establishment and approval: National Technical Committee of Auto Standardization (NTCAS) and corresponding
subcommittees will assess on the collected projects. With the agreement of MIIT and the approval of SAC, the standard
formulation and revision plan can be issued.
Drafting: According to the national mandatory standard formulation and revision plan, NTCAS will set up the Standard
Drafting Working Group composed of representatives and experts from the government departments, associations,enterprises, institutions, inspection agencies, certification and accreditation bodies, and consumers, and carry out
drafting based on the standard compilation rules.
Opinion soliciting: After sufficient discussion on the draft, the working group shall reach consensus and form the Draft
for Comments, submit to the relevant subcommittee for formal examination and opinion, and solicit public opinions
for a period of one month.
Draft review: The corresponding subcommittee and the working group are responsible to deal with the opinions fromall sides and to amend the Draft for Comments forming the Draft for Review. After the agreement of MIIT, the Draft text
will be reviewed through the meeting.

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ANNEX VI

International, National and Regional Regulatory Development and Enforcement

Submission for approval: After the review meeting, the Draft for Approval will be formed. The technical committee will
recheck and submit to MIIT and SAC for approval.
Approval and publication: Only by the examination of SAC Committee Meeting can the mandatory standard be
approved, and will be published by SAC.
Periodic review: After the implementation of the mandatory standard, the standard periodic review is necessary basedon the science and technology improvement as well as the need of economic and social development. The period ofreviewing is usually less than 5 years.
Figure 2 below is the flow chart of auto standard formulation and revision in China. Figure 3 shows the organization chart of
NTCAS and its 30 subcommittees responsible for the standards formulation and revision in respective field.

FIGURE 2
The Flow Chart of Auto Standard Formulation and Revision in China

Figure 2 The Flow Chart of Auto Standard Formulation and Revision in China

Figure 3 The Organization Chart of NTCAS and its 30 Subcommittees

85

86

Figure 3 The Organization Chart of NTCAS and its 30 Subcommittees

The Organization Chart of NTCAS and its 30 Subcommittees

FIGURE 3WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

SECTION 3
I.

THE AUTOMOBILE SECTOR AND THE REGULATORY REGIME IN INDIA

Motor Vehicles Act and its history

The first enactment of law relating to motor vehicle was the Indian Motor Vehicles Motor Act, 1914. It was subsequently replacedby the Motor Vehicles Act, 1939 and later by Motor Vehicle Act 1988 (MVA). The technical requirements of construction andmaintenance of the vehicle are covered by the MVA. Under this Act, specific mandatory requirements in the form of Rules areframed by the Ministry of Road Transport and Highways (MoRTH) from time to time. These Rules are issued as notification and are
titled as Central Motor Vehicle Rules (CMVR), 1989.

II.

Government Policies and Intensions and Progress of Automotive Sector

Transportation sector plays a major role in the development of the vast and diverse country like India. The Indian economy isgrowing at a rate of over 7 per cent per annum, and with the progressive policies by the Government spurring investment andgrowth, India aspire to reach double digit figures. The estimated contribution of the automotive sector in our GDP is nearly 7 to
8 per cent.
Government of India has adopted the policies for establishing adequate and safe road infrastructure and safe, consumer andenvironmentally friendly, technology driven vehicles. These polices are reviewed continuously to meet India’s aspirations andrealizing the potential of the auto sector.
With Auto Fuel Policy finalized in the year 2002 and Automotive Mission Plan in the year 2006, India made significant progressin the area of emission and safety norms, improvement in fuel quality, promotions of new technologies, promotion of public
transport, infrastructure development etc.
•

Automotive Mission Plan (AMP) 2016-2026
India has now finalized the Automotive Mission Plan (AMP) for the next ten years - 2016-2026. Growth is expected inall sectors viz., passenger cars, commercial vehicles, two and three wheelers, and agriculture tractors. India envisage
significant progress in green technologies with focus on e-mobility, hybrids and even biofuels considering environment
concerns. India will focus on sustainable development, and enhancement of road and vehicular safety.

•

Make in India Campaign
This program is designed for transforming India into a vibrant economy and global manufacturing hub. Twenty fivesectors are identified as priority areas, including Automobile. This programme includes major new initiatives designed tofacilitate investment, foster innovation, protect intellectual property and built best in class Manufacturing Infrastructure.

•

Infrastructure Development
To meet rapid growth in automotive sector and mixed traffic plying on roads, development of required infrastructure,highways are in progress to ensure safe transport. Intelligent Transport System (ITS) suitable to Indian situation is underdiscussion.

•

Use of Alternate Fuels/Technology
Government of India has introduced FAME (Faster Adoption and Manufacturing of Electric and Hybrid Electric Vehicles)
scheme under National Mission for Electric Mobility. This scheme envisaged introduction of 6-7 million electric andhybrid electric vehicles in the country by 2020. Recently MoRTH has notified use of Liquefied Natural Gas (LNG), Ethanol,
Bio-Compressed Natural Gas (Bio-CNG), Bio-diesel etc. Further, Methanol, Di-Methyl Ether (DME), dual-fuel (diesel-CNG,
diesel-LNG), hydrogen enriched CNG (HCNG), and Hydrogen are under discussion for their use as alternate automotive
fuels.
Towards the measures for fuel efficient vehicles, Government has implemented fuel efficiency norms for M1 category
vehicles norms from 1st April 2017 and Constant Speed Fuel Consumption norms for diesel vehicles of category M3and N3 with Gross Vehicle Weight (GVW) greater than 12 ton from 1st April 2018.

•

Inspection and Certification (I&C) of in-use vehicles
Improvement in maintenance culture leading to reduction in Fuel Consumption, Road Accidents, and Atmosphericpollutions from vehicles is envisaged. Setting up automated I&C centres at identified places is in progress under MoRTH
initiative.

87WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT•

End of Life Vehicles
India has formulated national standards specifying requirements for end of life vehicles. The standard covers
requirements for the dismantling centres as well as the vehicle manufacturers. To supplement the end of life vehicle
regime Government is also working on fleet modernization scheme for disposing old vehicles.

•

Vehicle Recall Code
Although the subject is relatively new in India, voluntary vehicle recall instances over last few years exhibit quite
encouraging trends and there is an increased awareness and initiatives coming from vehicle manufacturers to perform
recall when necessary. At the same time, some recalls need to be closely monitored and supervised by the Governmentor the agency nominated by the Government as Nodal Agency.

•

New Test Facilities under NATRiP
India’s homologation testing, research and development infrastructure is witnessing large investments in sync with theanticipated growth of the auto sector. This national level project covers test facilities for the following at various test
centres: ARAI (Pune), ICAT (Manesar), VRDE (Ahmednagar), GARC (Chennai), NATRAX (Indore), NIAIMT (Silchar), NCVRS(Raebareily). Most of these facilities are completed and ready for use.

•

Automotive Standards
Standards related to testing and approval of vehicles / components and subsystems, are prepared by the technicalexpert committees. UN Regulations and UN GTRs, which are formulated under WP.29, form strong basis of automotive
regulatory development in India.

III. Emission and Safety Regulations in India•

Standing Committee on Implementation of Emission Legislation (SCOE)
Realizing the need for a permanent body to coordinate the emission regulations and their implementation Ministry ofRoad Transport and Highways (MoRTH), in 1991, appointed this committee with Jt. Secretary MoRTH as chairman toadvise the Government in the matters related to emission regulations.
Development of IDC (Indian Driving Cycle) was carried out by Automotive Research Association of India (ARAI) in theyear 1985. The mass emission norms were based on this driving cycle and they were notified under CMVR in 1989. The
first mass emission norms for vehicles were enforced from 1st April 1991 for Petrol vehicles and from 1st April 1992 forDiesel vehicles. Since then, progressively emission norms have been tightened.
India has notified migration to Bharat Stage VI (BS VI) emissions norms for 2, 3 and 4 wheeled vehicles from 1st April
2020. For Agricultural Tractors, Construction Equipment Vehicles and Combine Harvesters (vehicles having power
exceeding 37 kW) next stage emission norms Bharat Stage (CEV/TREM) – IV) are notified from 1 October 2020 and
Bharat Stage (CEV/TREM) – V) from 1st April 2024.

•

CMVR - Technical Standing Committee (CMVR-TSC)
A permanent Committee was constituted by government in year 1997. This Committee advises Ministry on various
technical aspects related to CMVR. This Committee has representatives from various stakeholder organizations. The
Committee has played a major role in development of the Safety Regulations for vehicles and auto components in
India. The Committee is chaired by Joint Secretary (Transport), Ministry of Road Transport and Highways, Governmentof India.

•

Automotive Industry Standards Committee (AISC)CMVR-TSC is assisted in preparing the technical standards related to Safety by the Automotive Industry Standards
Committee (AISC). The Committee is chaired by Director, ARAI. Additionally to address subjects related to vehicles withmore than 3.5 ton GVW another Committee has been constituted, under chairmanship of Director, CIRT. More than 150
AIS standards have been published by AISC so far.

•Bureau of Indian Standards
The Bureau of Indian Standards (BIS) as the National Standards Body of India has been successfully promoting andnurturing the standardization movement in the country since 1947. Amongst the umbrella of varied activities,
formulation of Indian Standards (IS) for various disciplines such as Transport Engineering, Mechanical Engineering,Electro technical, Food and Agriculture etc. is major function of BIS. The standards, which are related to automotive

88

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

sector, are dealt by Transport Engineering Division Council of BIS. Presently Director, ARAI is the chairperson of thisCouncil.
Safety Standards (AIS) that are formulated under AISC, as stated earlier, are adopted by BIS as per their approval
procedure.
•

National Level Standing Committee on Harmonization of Regulation under WP.29
Recognizing the importance of harmonization of regulations at international level in October 2002, Union cabinet
approved India’s joining of UNECE WP.29 as an observer country. Also, Government constituted a National Level Standing
Committee under the Chairmanship of Joint Secretary, MoRTH. The Secretarial service is provided by Automotive
Research Association of India (ARAI). Various stakeholders such as concerned ministries, test agencies and industry are
members of the standing committee. India joined 1998 Agreement with effect from April 2006.

•

Implementation of Safety Standards
Central Motor Vehicles Rules, 1989 were introduced in the country to enhance safe transport through implementing
General and Active Safety norms. Over last 25 years phase wise implementation of several safety norms for vehicle,
vehicle systems and components was done for various categories of vehicles. Some of the key notifications recently
notified are as follows:-

Revised Crash norms: Head-on Collision, Offset Frontal Collision and Lateral Collision for M1 and N1 category vehicles.

-

Protection of Pedestrian and other Vulnerable Road Users in the event of a collision with a Motor Vehicle ((M1 andN1) < 2.5 Ton GVW).

-

Additional safety features requirements viz. speed alert system to alert driver in case of over speeds, seat belt
reminder, manual override for central locking system for doors, airbag for driver etc. for M1 category vehicles andvehicle reverse parking alert for all M and N category vehicles.

-

Phase wise implementation of Testing and Approval of Buses (Code of practice for Bus Body Design and Approval)
and Truck Body Code.

-

Testing and approval of Sleeper Coaches, Double Decked Buses, Automotive Trailers, Special Purpose Vehicles
namely Motor Caravan and Road Ambulance.

-

Anti-theft Devices, Vehicle Alarm Systems (VAS) and Immobilizers for 4 wheeled vehicles.

-

Automatic Headlamp ON (AHO) function or Daytime Running Lamp (DRL) on two wheeled vehicles to improve theconspicuity.

-

Introduction of Vehicle Location Tracking Device and Alert Button in passenger transport vehicles.

-

ABS (Anti-lock braking system) for new models M1 and M2.

-

ABS (Anti-lock braking system) and CBS (Combined braking system) 2 wheeled vehicles.

IV. Overview of Current Regulatory Structure in India
As outlined above, the Regulatory Structure for Automotive Sector in India has emerged over the decades. Mandatory norms andtest procedures for approval of motor vehicles are notified by Ministry of Road Transport and Highways under CMVR.
•

Legal Procedure for notifying new standard
Technical requirements and test procedures are established in the form of a new standard by the technical committees.
The concerned ministry (MORTH) issues draft notification, inviting comments from the stakeholders. After the
stakeholder consultation, the ministry issues notification under Motor Vehicle Act and CMVR.

•

Enforcement of Law
Ministry of Road Transport and Highways is the nodal agency for enforcement of the Motor Vehicle Act and CMVR.
Registration of vehicles is under the purview of State Ministries.

•

Certification System
India has adopted 3rd party type approval system. Under CMVR, various test agencies are authorized to carry out testing
and grant approvals on behalf of Government of India. Vehicle manufacturer is responsible to ensure compliance tosafety, emission and other requirements as notified under CMVR from time to time.

89

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Type approval certificate is mandatory for any new model, approval for any engineering changes in running models orfor compliance to any newly notified requirement.
Continued compliance to the mandatory requirements (Conformity of Production) is verified by carrying out testing/verification of the randomly selected vehicle/engine and component (as the case may be).
Exchange of Reports
India is not a Contracting Party to the 1958 Agreement hence it is under no obligation to accept Type Approvals issued byauthorities other than Indian.

For further Information please contact:
1. Mr. Abhay Damle, IRS
Joint Secretary, Government of India
Ministry of Road Transport and Highways,
Transport Bhavan, 1, Parliament Street,
New Delhi 110 001, India
Tel: +91 11 2371 9209
Email: js-tpt@gov.in or abhay.damle@gov.in
URL: www.morth.nic.in
2.
Director, Automotive Research Association of India
Survey No. 102, Off Paud Road, Vetal Hill,
Pune 411 004, India
Tel: +91 20 3023 1100
Fax: +91 20 2543 4190, 3023 1104
Email: director@araiindia.com
URL: www.araiindia.com

90

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

Section 4
SECTION 4

REGULATORY DEVELOPMENT AND THE ENFORCEMENT PROCESS IN JAPAN

Regulatory Development and the Enforcement Process in Japan1.

Safety Regulations

1.1.
Traffic
Accidents
1. Trends in Road
SafetyRegulations
The number of fatalities (those who died within 24 hours) resulting from traffic accidents in 2017 was 3,694. The number of
1.1.
Trends in Road Traffic Accidents
fatalities has been on a declining trend in recent years. The number for 2017 is less than one-fourth of the 16,765 fatalities in 1970,
which was the year when traffic fatalities reached a peak. In addition, the number of traffic accidents resulting in injury or death
The number of fatalities (those who died within 24 hours) resulting from traffic accidents inand the number of injured persons has decreased for the thirteenth consecutive year since 2004, when the numbers were at2017 was 3,694. The number of fatalities has been on a declining trend in recent years. The number for 2017
their worst.

is less than one-fourth of the 16,765 fatalities in 1970, which was the year when traffic fatalities reached apeak. In addition, the number of traffic accidents resulting in injury or death and the number of injured
persons has decreased for the thirteenth consecutiveFIGURE
year since
1 2004, when the numbers were at their worst.
in roadtraffictraffic
accidents
in JapanFigure 1Trends- Trends
in roadaccidents
in Japan

1.2.

Policy on Traffic Safety

1.2. Policy on Traffic
JapanSafety
has a low rate of road traffic fatalities per 100,000 population, which was 2.9 in 2017, but

as a hasfurther
ambitious
targetsper
wereestablishedin theTenthSafetyJapana lowstep,
rate twoof roadtraffic fatalities
100,000
population,
which
was Fundamental
2.9 in 2017, butTraffic
as a further
step,Program
two ambitiousfor2016-2020:
toreducethenumberoffatalities
to
below
2,500
and
the
numberof
injuriesandfatalities
to totargets were established in the Tenth Fundamental Traffic Safety Program for 2016 -2020: to reduce the numberof fatalities
below
500,000
by
2020
in
order
to
achievetheworld'ssafestroad
traffic.
Based
on
this
Program,thenational
below 2,500 and the number of injuries and fatalities to below 500,000 by 2020 in order to achieve the world’s safest road traffic.
governmentis promoting
road government
traffic safetyis promoting
measures inthreeaspects:
humans,inroads,
vehicles.
This
Based
on this Program,the nationalroadtraffic
safety measures
three andaspects:
humans,roads, andProgramseeks
toimplement
measuresthat
activelyutilizeadvanced
technology
in
order
to
respondtoa newvehicles. This Program seeks to implement measures that actively utilize advanced technology in order to respond to a new era,
era, while expanding and reinforcing conventional measures.
while expanding and reinforcing conventional measures.
Meanwhile, the roadtransport theenvironment
is changing
greatly dueistochanging
the advancement
theto
aging
and the introduction
Meanwhile,road transport
environment
greatlyofdue
the society
advancementof theofaging
new technologies
includingtheautomated
drivingtechnology.
society and the introduction of new technologies including the automated driving technology.
Based on these factors and a report compiled by the Council for Transport Policy, the Ministry of Land, Infrastructure, Transport
Based on these factors and a report compiled by the Council for Transport Policy, the Ministry
and Tourism (MLIT) is working on a target to reduce the number of fatalities by 1,000 by 2020 from the number for 2011 byof Land, Infrastructure, Transport and Tourism (MLIT) is working on a target to reduce the number of
implementing vehicle safety measures and leading to the spread of advanced safety technologies such as automated driving,fatalities by 1,000 by 2020 from the number for 2011 by implementing vehicle safety measures and leadingand evaluating their effect, etc.

to the spread of advanced safety technologies such as automated driving, and evaluating their effect, etc.

The pillars of the measures include the following:(1)

Response to traffic accidents involving children andsenior- 133- citizens(2)

Safety measures for pedestrians and bicycle riders91

(4) Response to new technologies such as automated driving''
1.3.

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Effective Vehicle Safety Measures

To spread active safety and other safety technologies and to enhance development, it is
Response to serious accidents involving large-sized vehicles
necessary not only
to establish safety regulations, but also to implement various rational measures. These(4)
to new technologies
such asof
automated
driving’’
Responseshould be based on quantitative
assessment
the effects
and performance as well as the required costs.
(3)

1.3. Effective Vehicle Safety Measures

Therefore,
is promoting
safetydevelopment,
measuresitthroughorganic
betweenthe
To spread
active safetytheandMLITother safety
technologies vehicle
and to enhanceis necessary
not onlylinkage
to establish
safetyregulations,
but
also
to
implement
variousrational
measures.
Theseshouldbe
basedonquantitative
assessmentoftheeffects
safety regulations, the Advanced Safety Vehicle (ASV) project and the New Car Assessment Programand performance as well as the required costs.
(NCAP).

Therefore, the MLIT is promoting vehicle safety measures through organic linkage between the safety regulations, the Advanced
Safety Vehicle (ASV) project and the New Car Assessment Program (NCAP).
(I)
(II)

(I)

Development of vehicle assessment based on the current trends in safety regulations andof vehicle assessment
Development
dissemination
schemes based on the current trends in safety regulations and dissemination schemes
Linkage with NCAP in view of the dissemination of ASV technology

Linkageof within andviewof the dissemination
technology(III)(II)Establishment
safety NCAP
regulations
dissemination
schemes basedof
onASV
practical
application and dissemination
trends in ASV technology(III) Establishment of safety regulations and dissemination schemes based on practicalapplication and dissemination trends
in2ASV technology
FIGURE
Linkage of safety measures

Figure 2 - Linkage of safety measures

1.4.

Enhancement of Safety Regulations

Safety regulations are being tightened, reflecting the work of two study groups of academic
experts and other specialists from various stakeholders and ensuring transparency: the Accident Analysis
Expert Group is analysing the conditions of traffic accidents, and the Safety Regulation Expert Group is- 134 92

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

1.4. Enhancement of Safety Regulations

studying
the enhancement of safety regulations, taking into consideration both importance and technological
Safety regulations are being tightened, reflecting the work of two study groups of academic experts and other specialists
maturity,
andstakeholders
also assessing
their effects.
BasedtheonAccident
their results,
MLIT
selects
itemsthetoconditions
be introduced
intofrom various
and ensuringtransparency:
Analysis theExpertGroup
is analysingof trafficthesafetyregulations
after
conducting
researchincooperation
withresearch
institutes.
Whenthesafetyaccidents, and the Safety Regulation Expert Group is studying the enhancement of safety regulations, taking into consideration
regulations
are andintroduced,
thematurity,
objectiveof assessing
international
harmonizationis results,
also thethoroughly
considered.
both importancetechnologicaland also
their effects.
Based on their
MLIT selects
items toAccordingly,
the
MLIT
is
actively
contributing
tothedevelopmentofUN
Regulations
and
UN
GTRs
withinbe introduced into the safety regulations after conducting research in cooperation with research institutes. When the safety
WP.29
at
the
UnitedNations.
regulations are introduced, the objective of international harmonization is also thoroughly considered. Accordingly, the MLIT is
actively contributing
to theUN Regulations
and UN
within WP.29
at the United
Nations.
studying
thedevelopment
enhancement ofof
safetyregulations, taking
into GTRs
consideration
both importanceand technologicalmaturity,
also assessing
their effects.
Based on their results,
the MLIT
selectsand
items after
to be introduced
into
Figure3 and- Safety
regulation
enhancement
process
beforerulemaking
the safety regulations after conducting research in cooperation with research institutes. When the safety
regulations are introduced, the objective of international harmonization is also thoroughly considered.
FIGURE
3
Accordingly, the MLIT is actively contributing to
the developmentof UN Regulations and UN GTRs within
WP.29 at the United Nations.

Accident Analysis Expert Group

Safetyregulation
enhancement process before and after rulemaking
・Overview
Analysis
Figure 3 - Safety regulation enhancement process before and after rulemaking

・Specific Analysis

Safety Regulation Expert Group
AnalysisofAnalysis
Accidents
Accident
Expert Group・Overview Analysis
・Specific Analysis

Analysis of Accidents

・Selection of prospective regulation items
・Overall study for future measures
SafetyRegulation
ExpertGroup・Assessmentof theeffectof each measure
・Selection of prospective regulation items
・Overall study for future measures
・Assessment of the effect of each measure

Cycle of Vehicle
Cycle
VehicleCycleofofa Vehicle
SafetyMeasuresCycle
of a Vehicle
SafetyMeasureSafetyMeasures
Safety Measureof effects
EvaluationEvaluationof effects

2.

Environmental Regulations

Implementation of safety measures
Implementationof safety measures

Implementation of safety measures
Implementation
safety measures
・Enforcement (type approvalof& inspection)
・Issue of safety regulations
・Enforcement (type approval & inspection)
・Issue of safety regulations

2.1.
Trends in Emissions from the Transport Sector
2.2. Environmental
Environmental
Regulations
Regulations
CO emissions from the transportation sector for 2016 were approximately 220 million tons

2
2.1. Trends in Emissions
from theTransport Sector(accounting for about 18 per cent of Japan's total). Steady measures for further reduction of emissions are

2.1.

Trends in Emissions from the Transport Sector

being implemented in accordance with the Paris Agreement.'
the transportation sector for 2016 were approximately 220 million tons (accounting for about 18 per cent of
CO2 emissions fromJapan’s total). Steadymeasures for fromfurtherthe
reductionof emissions
are
being
implemented
in accordancewith the220
Paris Agreement.
’
fromthefortransport
Figure4 - COtransportation
2016sector
wereapproximately
million tons
CO2 emissions
2 emissionssector(accounting for about 18 per cent of Japan's total). Steady measures for further reduction of emissions arebeing implemented in accordance with the Paris Agreement.'
FIGURE 4

fromthe transport
sectorFigure 4CO- CO
2 emissions
emissionsfrom thetransport
sector2- 135 -

- 135 -

93

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Based on the Air Pollution Control Act, air pollution is constantly monitored by prefectural governments and other institutions.
andsuspended monitored
particulate matters(SPM) have
The rates for Basedmeetingon
environmental
quality standards
for Act,
nitrogen(NO2)isthe Air Pollution
Control
airdioxide
pollution
constantly
by prefectural
been at high levels,or nearlyinstitutions.
100 per cent. That
meeting
standardsenvironmental
for fine particulatematters standards(PM2.5) is improving,which
governments
and other
Theforrates
for themeeting
qualityfor nitrogen
was
88.3
per
cent
for
2016
as
measuredatautomobile
exhaustgas
measuringstations.
on the Air particulate
Pollution Control
airhavepollution) and suspended
matters Act,
(SPM)
been isat constantly
high levels,monitoredor nearly by
100prefectural
per cent.
dioxide (NO2Basedgovernments
andtheotherinstitutions.
rates formeetingenvironmental
qualitystandards
That for meeting
standards
for fineTheparticulatematters(PM2.5)is improving,which
was 88.3for
pernitrogencent formatters(SPM)
have been at high levels, or nearly 100 per cent.
dioxide(NO2) andatsuspended
2016 as measured
automobileparticulate
exhaust gas
measuringstations.
FIGURE 5
That for meeting the standards for fine particulate matters (PM2.5) is improving, which was 88.3 per cent for
and regulations
SPM regulations(2006–2016)
5 - Achievement
ratio
of NO
2016 as measuredFigure
at automobile
exhaust gas
measuringand2 stations.
SPM(2006–2016)
Achievement
ratio
of NO
2

Achievement ratio (%)

Achievement ratio (%)

Figure 5 - Achievement ratio of NO2 and SPM regulations (2006–2016)

Year

Year

In addition, based on the Noise Regulation Law, noise pollution is also monitored by prefectural
In addition, basedon the Noise
Law, noiseThepollutionis alsomonitoredby prefectural standards
governments,
governments,
municipalities,
andRegulation
other institutions.
rate formeeting
the environmentalhasmunicipalities,
and
other
institutions.
The
rate
for
meetingtheenvironmental
standards
has
been
gradually
In improving
addition, basedon theNoise Regulation Law, noise pollution is also monitored by prefectural
been graduallyin recentyears.
improving inmunicipalities,
recent years. and other institutions. The rate for meeting the environmental standards has
governments,
been gradually improving in recent years.
Figure 6 - Achievement ratio of noise regulations (2006–2016)
FIGURE 6908090

Figure 6 - Achievement
Achievement
ratio
of noiseregulations(2006–2016)
ratio
of noiseregulations(2006–2016)

Average (%)
Average (%)

70
80
60
70
50
60
40
50
General area
Areas facing roads
General area
Areas facing roads

30
40
20
30

FY

10
20
0
10
0

94

95

96

97

98

99

00

01

02

03

04

05

06

07

FY
08

95

96

97

98

99

00

01

02

03

04

05

06

07

08

- 136 - 136 -ANNEX VI

International, National and Regional Regulatory Development and Enforcement

2.2. Policy on Vehicle Environment
2.2.1.

Global Warming Policies

In 2015, the United Nations Framework Convention on Climate Change 21st Conference of the Parties (COP21) adopted theParis Agreement. Before this COP21, Japan decided that its greenhouse gas (GHG) emission reduction target was at the level ofa reduction of 26.0 per cent by 2030 from 2013 (25.4 per cent reduction from 2005) under its Intended Nationally Determined
Contributions (INDC).
The Climate Change Policy Plan developed based on this INDC and the Paris Agreement prescribes target values for thetransportation sector and measures such as the improvement of vehicle fuel efficiency.
Japan’s fuel efficiency regulations are determined based on vehicles with the optimum performance (“top-runner vehicles”)
in the national market and other factors such as the fuel efficiency improvement technology in the future. The average fuelefficiency of gasoline passenger vehicles sold in 2012 is 21.9 km/l, already achieving the fuel efficiency regulatory limits for 2020.
In 2018, consideration on new fuel efficiency regulations for passenger vehicles began. In the same year, new fuel efficiency
regulations for heavy vehicles were established for the first time in the world with 2025 as the target year.
2.2.2.

Air Pollution and Noise Policies

Exhaust emission regulations have been gradually tightened for NOx, PM and other pollutants from trucks, buses, and passenger
vehicles. In 2016, the Worldwide Harmonized Heavy-Duty test Cycle (WHDC) was introduced to the regulations for trucks andbuses, and in 2018, the Worldwide harmonized Light vehicles Test Procedure (WLTP) will be introduced to those for passenger
vehicles.
As noise control, Japan introduced the UN Regulation on noise for two-wheeled vehicles (UN Regulation No. 41) in 2013, theUN Regulation that stipulates noise limits for four-wheeled vehicles (UN Regulation No. 51) in 2016, and the UN Regulation that
stipulates noise limits for tyres only (UN Regulation No. 117) in 2015.
2.3. Implementation of Effective Vehicle Environmental Measures‘Vehicles that produce lower emissions than the newest regulation can obtain certification as low emission vehicles dependingon the level of reduction. In addition, the MLIT evaluates and publishes each vehicle’s fuel efficiency levels in order to enableconsumers to identify and select fuel efficient vehicles easily.
The tax rate has also been lowered for vehicles that have excellent fuel efficiency and reduced exhaust emissions, and the rate
has been raised for vehicles that are over a certain age.
2.4. Enhancement of Environmental Regulations
The expert meeting consisting of academic experts and others considers the enhancement of the environmental regulations
based on the current environmental situation and other factors, ensuring transparency. Based on the consideration of themeeting, the national government collaborates with related government ministries and agencies to tighten the regulations.
Before introducing any new regulations, thorough consideration is also made on international harmonization, which is one ofthe purposes. Therefore, Japan is making an active contribution to the development of UN Regulations and UN GTRs at WP.29.

3.

Vehicle Registration and Inspection System

A motor vehicle is not allowed on the road until it has passed the motor vehicle inspection conducted by the MLIT and obtained
a valid motor vehicle inspection certificate.
The MLIT mainly conducts the following types of inspection. The technical vehicle inspections are handled by the National
Agency for Automobile and Land Transport Technology (NALTEC). For light motor vehicles, the Light Motor Vehicle Inspection
Organization (LMVIO) conducts inspections and related business on behalf of the MLIT.
(1)

Initial inspection
New motor vehicles are subject to this inspection, and used vehicles that have been off the road for a certain period
are also subject to this inspection. (As for type-designated motor vehicles, the technical inspection conducted by the
NALTEC or LMVIO can be exempted.)95

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT(2)Periodic inspection
Motor vehicles are subject to this inspection when they are to be operated continually after the motor vehicle inspection
certificate has expired. (Regarding motor vehicles for which conformity with regulations is certified at a designatedmaintenance service shop, the technical inspection conducted by the NALTEC or LMVIO can be exempted.)(3)

Modification inspection
This inspection is required for motor vehicles that have been modified, i.e., change in length, width, height, maximum
loading capacity and so forth.

4.

Certification Systems

4.1. Type Designation System
The Type Designation system is applied to cases where a large number of identical model vehicles and other vehicles are produced
or imported for sale in Japan. Under this system, sample vehicles having the same structure, equipment, and performance as
those of the vehicles intended for sale are examined for compliance with the safety and environmental regulations by the National
Traffic Safety and Environment Laboratory (NTSEL), National Agency for Automobile and Land Transport Technology (NALTEC); in
addition, the uniformity of the structure of vehicles, equipment, and performance is examined by the MLIT through an inspectionof the applied documents. A vehicle type is designated to identical model vehicles that comply with the regulations. After theapproval of the vehicle type designation, in order to confirm the conformity of production of the vehicles, the MLIT regularly
audits manufacturers’ plants where vehicle type designation holders conduct completion inspections.
When a completion inspection certificate is submitted by the vehicle manufacturer, individual type-designated vehicles are
exempted from the technical part of the initial inspection conducted by the NALTEC or LMVIO.
4.2. Type Notification System
The Type Notification system is widely used for heavy-duty vehicles such as trucks and buses in which many different specifications
are required. Under this system, examination of compliance with the safety and environmental regulations for common systems
and devices of the base vehicles (sample vehicles) is conducted by the NTSEL. Consequently, the initial inspection for individual
motor vehicles can be effectively performed by NALTEC or LMVIO based on the obtained test results. Thus, this system has been
provided to rationalize the initial inspection.
The main difference from the vehicle type designation system is that this system does not require conformity of vehicle products(i.e., quality control system) or the completion inspection conducted by the manufacturer system. Therefore, each motor vehicle
under this system must pass the initial technical part of the vehicle inspection conducted by the NALTEC or LMVIO. It is advisable
to streamline the initial inspection by utilizing the Equipment Type Designation system described below along with this system.
This system will be abolished in March 2021 and integrated into the type designation system for common structures (multispecification vehicles), which will be discussed later.
4.3. Preferential Handling Procedure (PHP)The PHP has been provided to promote the import of motor vehicles. This system applies to imported vehicles that will be soldin small numbers in Japan.
Examinations will be carried out by the MLIT solely using the documents on conformity with Safety Regulations by the NTSEL andon the appropriateness of the quality control system.
In this system, the documents to be included with the application have been greatly simplified, and the time required for
examination has also been reduced. Furthermore, there is no need to present the motor vehicle itself for examination. Therefore,
this system is advantageous for motor vehicles sold in small quantity. Nevertheless, each motor vehicle under the PHP must pass
the initial technical inspection conducted by the NALTEC or the LMVIO.
This system applies to motor vehicles to be sold in Japan up to 5000 units per year per type.
4.4. Mutual Recognition, Equipment Type Designation System and Common Structure Type Designation Systems
Japan has participated in WP.29 as an observer since 1977 and has contributed to the global harmonization of brake and lighting
regulations. In November 1998, Japan became the first Contracting Party outside Europe to accede to the UNECE 1958 Agreement,
thus moving toward the globalization of certification systems. As a result, certain equipment that have received certification byother Contracting Party are now exempt from certification in Japan.

96

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

Concurrently with the accession to the UNECE 1958 Agreement, Japan introduced the equipment type designation system
in response to the increased use of the same equipment in multiple vehicle models. Certain equipment that has received
equipment type designation is entitled to mutual recognition by all Contracting Parties to the Agreement. In Japan, equipmentthat has received equipment type designation is exempt from the examination for vehicle type designation process.
The government of Japan proposes amendments to the UN Regulations when necessary in order to ensure vehicle safety
and environmental conservation. Based on these amendments, Japan intends to increase the number of adoption of the UN
Regulations.
In response to the International Whole Vehicle Type Approval (IWVTA), which was initially proposed by Japan and continually
discussed under the chairmanship of Japan, and which expands the mutual recognition of approval on vehicles from “on thebasis of equipment” to “on the basis of whole vehicle,” Japan introduced a Common Structure Type Designation System. Typedesignated common structures are entitled to mutual approval by all the Contracting Parties of the 1958 Agreement, the sameas equipment. In Japan, the inspection of equipment that has obtained a common structure type designation is waived during
examinations in the vehicle type designation process.
In addition, for heavy-duty vehicles widely used for large-sized vehicles such as trucks and buses for which many different
specifications are required, the Common Structure (multi-specification vehicles) Type Designation System began in June 2016
with the same concept about common structures, and the system transition is taking place toward March 2021, when the Type
Notification System will be abolished.
Under this system, the common structures and equipment of base vehicles (sample vehicles) are examined for compliance withthe safety and environmental regulations by NTSEL. Consequently, the initial inspection for individual motor vehicles can beeffectively performed based on the obtained test results. In addition, the uniformity of the construction of common structures(multi-specification vehicles), equipment, and performance is examined by the MLIT through an inspection of the applied
documents. After designation, in order to confirm the conformity of production of the common structures (multi-specification
vehicles), the MLIT regularly audits manufacturers’ plants where they conduct shipment inspections of the common structures.
After shipment inspection by manufacturers, the common structures (multi-specification vehicles) will be completed as trucks
and buses through the bodywork process. They should pass the technical part of the initial vehicle inspection for bodywork
performed after shipment, which is conducted by NALTEC or LMVIO based on the manufacturer’s certificate of shipment
inspection.

5.

Recall System

The motor vehicle recall system was established in 1969 to prevent accidents and pollution caused by malfunctions attributableto vehicle design or manufacturing process. Motor vehicle manufacturers or importers who manufacture or import motor
vehicles must notify the MLIT when conditions will likely not comply with the safety or environmental regulations or conditions
are not presently complying with those regulations, and when precautionary measures are to be taken to comply with thoseregulations for certain types of motor vehicle.
Furthermore, in 2004, a recall system was expanded for replacement equipment such as tyres and child restraint systems.
In 2015, equipment manufacturers were also added to the subject of the collection of report and on-the-spot inspection which
are necessary for recall.

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SECTION 5				1.

MOTOR VEHICLE SAFETY STANDARDS ENACTMENT/REVISION PROCEDURE 		FOR THE AUTOMOBILE MANAGEMENT ACT AND SELF-CERTIFICATION 			SYSTEM IN THE REPUBLIC OF KOREA

Overview

Korean ‘Automobile Management Act’ specifies the new, change, transfer and attachment registration of vehicles, assignmentof registration number and license plate, markings of vehicle identification number, safety standards and self-certification,correction of manufacturing deficits, operation restriction and enforcement, vehicle inspection and automobile managementbusiness for the purpose of improving public welfare through the security of performance and safety of vehicles as well as
efficient management of vehicles.
The automobile management act consists of 88 articles over 10 chapters and supplementary provisions including generalrules, vehicle registration, safety standards and self-certification of vehicles, examination and maintenance of vehicles, vehicle
inspection, management of motorcycle, automobile management business, supplementary provision, penalty and special cases
for violation of law. (refer to Figure 1)
The Korea Motor Vehicle Safety Standards (KMVSS) consists of total four chapters, where chapter 1 is general rules, chapter 2
is safety standards for vehicles and motorcycles, chapter 3 is safety standards for manufactured vehicles, chapter 3-2 is safety
standards for vehicle parts and chapter 4 contains supplementary provisions.
Chapter 1 contains 3 Articles including purpose, definition and security of structure and equipment safety, chapter 2 contains
104 Articles including safety standards for vehicles and motorcycles, chapter 3 contains 38 Articles about safety criteria
for manufactured vehicles, chapter 3-2 contains 12 Articles for vehicle parts and chapter 4 contains 4 Articles including thenotifications on passenger capacity, maximum loading capacity, special rules on rule application and tolerance and test methodsof specification. (refer to Figure 2)
Korea has adopted self-certification system since 2003 in relation to the follow-up service. Under the self-certification system,
government provides the safety standards for manufactured vehicles for securing the safety of vehicles and manufacturers certify
themselves whether the manufactured vehicles meet the safety standards internally and sell them. And government conducts
self-certification compliance test later and orders recall if there is an item that does not meet the safety standards.

2.

Automobile Management Act

The ‘Road Traffic Act’ was modified and ‘Automobile Management Act’ was established as of December 31, 1986 for the purpose of
improving public welfare through the regulations on the registration of vehicles, safety standards, self-certification, correction of
manufacturing defects, examination, maintenance, inspection and automobile management business (sales, maintenance andscrapping business) as a law for securing the performance and safety and systematic maintenance of vehicles.

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ANNEX VI

International, National and Regional Regulatory Development and Enforcement

FIGURE 1
Configuration of Automobile Management Acts

Automobile Management Act
General Rules
VehicleRegistration

Vehicle Safety
standards and SelfCertification

Vehicle Examinationand MaintenanceManagementofMotorcycle

VehicleInspection

Automobile
Management
Business

Supplementary Rules
Penalty
Special Cases of Handling Violation Acts

FIGURE 2
Configuration of Korea Motor Vehicle Safety Standards

Regulations on Vehicle
Safety Standards

1. General Rules• Purpose• Definition Structure

2. Safety Standard of
Vehicle and Motorcycles• Length, width and height• Gross vehicle weight, etc.
• Driving devices• Control devices• Lighting devices

3. Safety Standard of
Manufactured Vehicles• Scope• Acceleration control device• Brake device• Collision impact protection
device• Pedestrian safety

4. Supplementary Rules• Passenger capacity,
Maximum loading capacity• Special case of criterion
application• Tolerance of dimension• Notification of test method

3-2. Safety Standard ofvehicle parts• Brake hose, Seat belts,
Headlamps, Safety glazingetc.

Supplementary Provisions• Enforcement date
• Interim measures

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

Korea has operated the automatic management system as shown in Figure 3 and Automobile Management Act is configured asfollowings for this purpose.
There are several lower level regulations under the Automobile Management Act including “Enforcement Decree of theAutomobile Management Act” as Presidential decree, “Automobile Management Enforcement Regulations” and “Rules on Vehicles
Safety Standards” as Enforcement Ordinance of the Ministry of Land, Infrastructure and Transport (MOLIT), and “Regulations
for Execution of Automobile Safety Standards”, “Automobile Self-Certification Procedure” and “Automobile Safety Evaluation
Procedure” as notifications of the MOLIT.
Certification during manufacturing stages and management system during operation stages are governed by these regulations.
Self-certification system, a safety standards certification system, is applicable to newly manufactured vehicles for securing thesafety, while scheduled inspection, computerized management and vehicle management system are in operation for the safetyof existing vehicles.
FIGURE 3
Vehicle Management System• Administration Data
Network• Vehicle Registration

Possession

Operation• Inspection and
Maintenance• Scrapping
Obliteration

VehicleManagement

Manufacturing

Policy• Self-Certification(Safety Standards)

3.

• Self-Certification(Safety Standards)

Safety Standards Enactment and Revision Procedure

The procedure for enactment and/or revision of Korea Motor Vehicle Safety Standards (KMVSS) is as shown in the Table 1 and thedetails are described in paragraphs 3.1. to 3.10. below.
3.1. Consideration of enactment and/or revision
Items of enactment and/or revision of safety standards are received through various channels and main sources are as followings.
In case of improvement of the regulations, items are evaluated and actions are taken.

100-

Government policies on system improvement: social issues, improvement, etc.

-

Opinions from the Korea Automobile Testing and Research Institute (KATRI): Safety standards improvement plan, othersupplemental measures in the operation of safety standards.

-

Request of system improvement from manufacturers and end users: Mitigation of standards, applications of newtechnologies, etc.

-

Accommodation of changes in environment including technology development.

-

Improvement requests by international agreements or trade negotiation.

-

Other improvement needed in the operation of regulations.

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

TABLE 1
Enactment and Revision Procedure

Opinions of Government

Opinions of Korea
Automobile Testing andResearch institute (KATRI)

Initiation of Enactment /Revision

Opinions of Manufacturers
and Relevant Institutions

Request of considerationfrom the Ministry of Land,
Infrastructure andTransport (MOLIT)

KATRI
Receives the Request

noDetailed Review ofEnactment / Revision Case

Collection of Opinions
From Manufacturers andRelevant Institutions

Prepare Draft ofEnactment/Revision
yes
Submission to the
MOLIT Affairs

Effect evaluation and
WTO Circular notice

Collection of Opinions
From Manufacturers andRelevant Institutions

Prepare Draft for Advance
Legislation Notification
and Advance Notification

Prepare Regulation Effect
Assessment

Regulation DeliberationnoSupplementation andExplanationnoSupplementation andExplanation

yes
Deliberation by Office oflegislation Prepare final
amendments
yes
Proclaim final rule andTransmit WTO TBT
Notification

Submission National
Assembly101

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3.2. Government Proposal
When there is an enactment and/or revision of vehicle safety standards involving the Automobile Management Act, MOLIT
provides a proposal to KATRI.
MOLIT handles the case internally for policy decision or other matters that do not require technical consideration.
3.3. Receives and processes the request
KATRI receives and processes the work order from the MOLIT, and makes assessment for submission due date and evaluation
strategy through the discussion on the background and the importance of the case with the MOLIT in advance.
The strategy will be determined through the meeting of the committee if the case is critical or overall consideration by KATRI is
required.
3.4. Detailed consideration (Investigation/Research)
After assigning the execution department and contact person, a technical evaluation will be conducted, and the evaluation
should include the following items at least. Opinions from manufacturers and relevant institutions should be collected andreflected through the discussion with them, if necessary.
-

Current status of the system and operation conditions for the case-

Issues-Examples of other countries-

Provide improvement plan-

Include reference

3.5. Preparation and consideration of draft standard enactment/revisionPrepare the draft standard enactment/revision draft with sufficient considerations for the stance of government, end users andmanufacturers. Secure sufficient explanation reference and data along with the comparison table between old and new articles
for the enactment and/or revised statement when submitting the draft to the MOLIT.
3.6. Preparation and execution of advance legislation notification
When the final advance legislation notification details are determined through the discussion with the MOLIT, opinions on theadvance legislation notification should be collected, evaluation result and explanation materials should be prepared for thecollected opinions, and the decision should be made about whether to reflect the advance legislation notification throughthe discussion with the MOLIT, and the documents should be prepared in accordance with the form of advance legislation
notification and submitted to the MOLIT.
3.7. Preparation of documents of the assessment of the effects of the draft
Assessment of the effects of the draft should be conducted for the items with reinforced safety standard by the establishment/
revision and it should be prepared in accordance with the form of effects assessment results and submitted to the MOLIT. This
assessment should be conducted at almost same point as the advance legislation notification.
Upon receiving the request of meeting attendance or supplementary data from the MOLIT during this evaluation, they should
be handled promptly and submitted.
3.8. Preparation and deliberation of draft for the office of legislation
When the assessment of draft effects is completed, the MOLIT will be subject to the deliberation by the officers in the Office ofLegislation for detailed and interpretative assessment about the revised statements for the final safety standards establishment/
revision draft.
Deliberation of the office of legislation demands highly accurate and clear description as it is about the statements that will be
included in the law eventually.
3.9. Proclamation of safety standards enactment/revision
When the final draft is ready through the deliberation of the Office of Legislation, it should be proclaimed within few days. KATRI
directly notifies the information to the relevant contact people inside KATRI, circulate the information to all employees andestablish the plan for future works.

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ANNEX VI

3.10.

International, National and Regional Regulatory Development and Enforcement

TBT notification transmission

Since the established/revised safety standards will become part of the non-tariff barrier, TBT notification should be prepared andsent according to the agreement with WTO member countries.

4.

Self-certification compliance test

4.1. Definition
Korean government has adopted self-certification system for securing the safety of vehicles. Under the self-certification system,
government provides the safety standards for manufactured vehicles for securing the safety of vehicles and manufacturers certify
whether the manufactured vehicles meet the safety criteria internally and sell them. And government conducts self-certification
compliance test later and orders recall if there is an item that does not meet the safety standards.
4.2. Execution procedure
Procedure of manufacturer self-certification is as shown in Figure 4.
4.2.1.

Manufacturer registration

Personal details of the president of the manufacturer and the safety test facilities should be registered to the MOLIT in order toenforce the responsibility of follow-up service including recall to the companies conducting self-certification, and the decision
to grant self-certification will be made based on the contents of the registration submission material.
In case of imported vehicles, if the Korea representative of the foreign manufacturer is designated, the corresponding manufacturer
is assumed to have the self-certification capability.
4.2.2.

Self-certification marking

The evidence of certification should be displayed in the vehicle if the self-certification is completed by the manufacturer.
4.2.3.

Notification of specification

Upon the completion of the self-certification by manufacturer, the specification of the vehicle to be on the market should bemanaged by the automotive management computer system so that it can be notified to KATRI. In the automotive management
computer system, the original registration is used in order for proving the ownership of the vehicle, inspection, structuralequipment change, tax imposition and checking criminal acts.

FIGURE 4
Procedure of manufacturer self-certification

Manufacturer
Registration(Vehicle Manufacturer,
Assembler and Importer)
The Ministry of Land,
Infrastructure and Transport• Compliance of self-certification• Assign manufacturer registration
numberKATRI• Assign specification
control number

Unq
Appualifie
lica dnt
Manufacturer SelfCertification(Certification Marking
Display)

Notification ofSpecification• Manufacturer, Assembler and Importer
Applying for Self-Certification• Change Registration Limited to One time

Technical Review
Safety Inspection• Compliance of self-certification• Advance checking of important items
related to safety103WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

5.

Recall of manufacturing defect of vehicles

This is a system for correcting the defects free of charge when the vehicles sold by manufacturer has a defect that the manufacturer
is accounted for, which does not meet the safety standards or affects the safe operation, and the government conducts the test
to verify whether the vehicle complies with the automotive safety standards and whether safe operation is compromised due
to defect.
A series of tests are conducted by KATRI and the procedure is as shown in Figure 5.
5.1. Summary of investigation procedure
5.1.1.

Investigation Institute

Performance test agent (Korea Automobile Testing and Research Institute, Korea Transportation Safety Authority)-

Whether false or other illegal methods are involved in self-certification-

Whether there was a violation of self-certification procedure such as the violation of automobile safety standards-

Whether there was a violation in the execution of recall order-

Whether vehicle manufactured in different way from the details of self-certification was sold.

5.1.2.

Investigation method

The MOLIT establishes an annual plan including the target vehicle types and test items and orders investigation to the performance
test agent.
Performance test agent (KATRI) establishes the investigation plan, reports it to the MOLIT, conducts the investigation and reports
the results to the MOLIT.
When the manufacturer voluntarily accepts the defects during the self-certification compliance test and reports the recall plan,
the MOLIT evaluates the compliance and finishes the investigation.
When the result of the investigation shows incompliance to the safety standards, penalty will be imposed and recall will beordered.

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ANNEX VI

International, National and Regional Regulatory Development and Enforcement

FIGURE 5
Recall procedure

Manufacturing DefectInformation Collection

Investigation
Target Selection

Annual Plan Establishment

Voluntary Individual Recall
by Manufacturer
Self-Certification
Compliance Investigation

FinishNo
Defects

Manufacturing
Defects Investigation

Manufacturing DefectInvestigation Result Report

Recall Plan Report

Manufacturing DefectDeliberation and Evaluation
Committee Consulting

RecallConsideration

Recall Result Report

Manufacturing
Defect Determination

FinishRecall Order

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SECTION 6		1.

REGULATORY DEVELOPMENT AND ENFORCEMENT OF COMPLEX VEHICLE
SAFETY IN THE RUSSIAN FEDERATION

Participation of the Russian Federation in the Agreements administered by the World Forum WP.29

The Soviet Union became the full participant of the 1958 Geneva Agreement from 17 February 1987. Subsequently in 1992 theRussian Federation Government has declared, that the Russian Federation is the state-continuer of the USSR on realization of therights and fulfilment of the obligations following from agreements signed by the USSR, including the 1958 Geneva Agreement.
The Russian Federation was among the first which signed the 1997 Vienna Agreement on 13 November 1997.
The Russian Federation became the eighth country which signed the 1998 Global Agreement on 25 August 2000. After that itentered into force and became open for accession by other Contracting Parties.
One of the main consequences of participation of the USSR and, further, the Russian Federation in activities of the World Forum
WP.29 was the development of the national certification system for the mechanical vehicles with the base of requirements
contained from the UN Regulations.
As regards to the UN GTRs, the Russian Federation mainly introduces them to its legislation by applying the equivalent UN
Regulations.

2.

Technical regulating with regard to automotive vehicles

The Federal Law of 27 December 2002 No. 184-ФЗ « On Technical Regulating» established a new legal mechanism concerning
development, adoption, application and execution of obligatory requirements (technical regulations) and voluntary rules(standards) concerning products on all phases of their life cycle.
The legal basis of the technical regulating concerning automotive industry products includes the international agreements withparticipation of the Russian Federation, in particular, the 1958 Geneva Agreement, the 1998 Global Agreement, the 1997 Vienna
Agreement, the 1968 Convention on Road Traffic and the 1971 European Agreement supplementing the said Convention, the1957 ADR Agreement and the 1970 ATP Agreement, and also the Russian federal legislation, in particular, the Federal Laws “On Road
Traffic Safety”, “On Preservation of the Environment”, “On Protection of Atmospheric Air”, “On Sanitary and Epidemiologic Well-Beingof the Population”, “On Protection of the Consumers’ Rights”, “On protection of rights of legal entities and individual entrepreneurs at
implementation of the state inspection (surveillance) and municipal inspection” and “On standardization in the Russian Federation”.
Basing on the approved concept of technical regulating the development of the Technical Regulations “On Requirements to Emissionsof Harmful (Polluting) Substances by the Automotive Vehicles Released for Circulation in the Territory of the Russian Federation”,
adopted by the Russian Federation Governmental Decree of 12 October 2005 No. 609, which was the first in Russia, and “On Wheeled
Vehicles Safety”, adopted by the Russian Federation Governmental Decree of 10 September 2009 No. 720, was carried out.
On 18 November 2010, the Agreement on Common Principles and Rules of Technical Regulating in the Republic of Belarus, theRepublic of Kazakhstan and the Russian Federation, which formed the Customs Union, was concluded, and the issues of technicalregulating were brought to its level. The agreement provided, inter alia, for the introduction of uniform technical regulations of
the Customs Union.
The procedure for the development of a technical regulation provides for public discussion of the draft for at least two months
and internal approval at the state level, during which an assessment of the regulatory impact is conducted, taking into accountthe positions of the federal authorities, scientific organizations, self-regulatory organizations, public associations of entrepreneurs
and consumers.
On the basis of the said Agreement the Customs Union Technical Regulation “On Wheeled Vehicles Safety” (CU TR 018/2011) was
developed. It was adopted by the Decision of the Commission of the Customs Union of 9 December 2011 No. 877. It combined
the provisions of the two above-mentioned national technical regulations. CU TR 018/2011 entered into force on 1 January 2015
and the national technical regulations expired from that time.
On 29 May 2014, the Republic of Belarus, the Republic of Kazakhstan and the Russian Federation signed the Treaty on the Eurasian
Economic Union (EAEU), to which, further the Republic of Armenia and the Republic of Kyrgyzstan joined. Since that time, thetechnical regulatory activities were delegated to the EAEU, and CU TR 018/2011 became applied in the framework of the EAEU.
The legal basis for technical regulating in the EAEU is shown on figure 1.

106the Customs Union of 9 December 2011 No. 877. It combined the provisions of the two above-mentioned
national technical regulations. CU TR 018/2011 entered into force on 1 January 2015 and the national
technical regulations expired from that time.
ANNEX VIInternational, National and Regional Regulatory Development and Enforcement

On 29 May 2014, the Republic of Belarus, the Republic of Kazakhstan and the RussianFederation signed the Treaty on the Eurasian Economic Union (EAEU), to which, further the Republic of
Armenia and the Republic of Kyrgyzstan joined. Since that time, the technical regulatory activities weredelegated to the EAEU, and CU TR 018/2011 becamein the framework of the EAEU. The legal
FIGUREapplied1
basis for technical regulating in the EAEU is shown on figure 1.
The legal basis for technical regulation in the Euro-Asian Economic Union

Figure 1. The legal basis for technical regulation in the Euro-Asian Economic Union

3.

The Customs Union Technical Regulation "On Wheeled Vehicles Safety" (CU TR 018/2011)
CU TR 018/2011 is the basic legislative act containing mandatory safety requirements applicable to

3.
The Customs
Technical
Regulation“On Wheeled
Vehicles regulating
Safety” (CUisTR018/2011)
wheeledvehicles Unionand their
components.
It establishes
that technicalcarriedout in order to ensure thesocially
acceptablesafety, as
as themandatory
implementationby the Member
Statestoof
the CustomsofCU
TR 018/2011
is thelevelbasicoflegislativeact wellcontaining
safety requirements
applicablewheeledvehiclesUnionand their
their obligations
arisingthat
fromparticipationin istheinternational
agreements
in sociallythe fieldof wheeled
components.
It establishes
technical
regulating
carriedout in orderto ensure theacceptablelevelvehicleof safety,safety.
as well as
the implementation by the Member States of the Customs Union of their obligations arising from participation in the international
agreements in the field of wheeled vehicle safety.
The scope of the Technical Regulation covers the road vehicles, which are released for circulation and being in operation,
including, cases of their design modifications affecting safety, and also the vehicle components affecting vehicle safety (figure 2).

- 151references
CU TR 018/2011 establishes the requirements by means of direct
to 112 UN Regulations and 2 UN GTRs. Besides that,the national requirements, which fulfilment is connected with maintenance of vehicle safety under operating conditions typicalfor the Russian Federation and the other EAEU countries, are included in CU TR 018/2011 in the form of text.

Taking into consideration the principle of conformity of technical requirements to the national economy level of development,a number of the requirements included into the mandatory list, has different levels of stringency, and the target dates of gradualtransition to application of the higher-level requirements are provided.
The Russian Federation is a pioneer in introducing requirements for emergency call systems using vehicle location information
received from global navigation satellite systems.
Vehicles are divided into ecological classes depending on the level of emissions of harmful substances. For each ecological classthe technical specifications for emissions are established according to the provisions of the UN Regulations Nos. 24, 49, 83 and 96,
to which there are direct references in CU TR 018/2011. The terms of enforcement of the technical specifications are establishedas well. For the time being CU TR 018/2011 mandates the emission level of the ecological class 5 (Euro-5).
Besides vehicle types, CU TR 018/2011 establishes the necessity of the individual assessment for an individual vehicle released forcirculation, when it is:107

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

The scope of the Technical Regulation covers the road vehicles, which are released for circulation and
FIGURE 2 affecting safety, and also the vehicle components
being in operation, including, cases of their design modifications
affecting vehicle safety (figure 2).
The CU TR 018/2011 objects of technical regulating
andCU
theTR
forms
of compliance
Figure 2. The
018/2011
objects assessmentof technical regulating
and the forms of compliance assessment

CU TR 018/2011 establishes the requirements by means of direct references to 112
UN Regulations and 2 UN GTRs. Besides that, the national requirements, which fulfilment is connected withmaintenance of vehicle safety under operating conditions typical for the Russian Federation and the other(1) acountries,
result of anindividual
creativity;
EAEU
are
includedtechnicalin CU TR018/2011 in the form of text.
(2) imported
in theinto
EAEU
state by a physicalperson forneeds; of technical requirements to the national
Takingconsideration
the principleof ownconformity

economylevel ofin development,
numberof thetorequirements
included
into thei.e.,mandatory
list,registration
has different(3) imported
the EAEU stateaafter
admission
participation intraffic abroad,
had the state
plates oflevelsofstringency,
andthetargetdates
ofgradualtransition
toapplicationofthehigher-level
requirements
other country.
are provided.
With respect to such vehicles the base requirements of design safety which do not vary during vehicle operation, shall be checked,
The RussianFederation
is a pioneer
in introducing
requirements
emergency
systemsin particular, to equipment
preventing
unauthorizeduse, heating
systems, lighting
devices,forvisibility
throughcall
rear-view
mirrors,using
vehiclelocation
information
receivedfromglobalnavigation
satellite
systems.
seat belts and their anchorages, seats and their anchorages, external projections and interior fittings, rear and lateral underrun
protection devices, preventionof firerisk. Suchwere derived
from theUN Regulations.
The special
Vehicles are
dividedintorequirements
ecological classes
dependingon corresponding
the level of emissionsof harmful
andМ(buses).
The
extendedrequirementsofthetechnical
regulation
attention
was
given
to
the
safetyofvehiclecategories
Мsubstances. For each ecological class the technicalspecifications
for emissions are established accordingto2
3
are basedon the requirementsof Regulations
UN Regulation
No. 24,107.49, 83 and 96, to which there are direct references in CU TR
the provisionsof the UNNos.
018/2011. The terms of enforcement of the technical specifications are established as well. For the time
CU TR 018/2011 also includes in the form of a separate annex the operational safety requirements developed on the basis ofbeing CU TR 018/2011 mandates the emission level of the ecological class 5 (Euro-5).
the Russian national standards and requirements of the 1997 Vienna Agreement. Most of these requirements are subject tomandatory inspection under the technical inspection procedures using technical diagnostics. The positive results of inspection
are the basis for registration of the policy of compulsory insurance of civil liability of a vehicle owner, which is a necessary
condition for the admission of a vehicle to participation in traffic in the Russian Federation.
The organizational structure of the compliance assessment system of automotive products (figure 3) includes:-

108

Ministry of Industry and Trade of the Russian Federation- 152as-the Federal Authority for technical regulating;

The Federal Agency for Technical Regulating and Metrology (Rosstandard) as the Administrative Body of the RussianFederation in the 1958 Geneva Agreement authorized for the approval of vehicle and component types pursuant to
UN Regulations and the regional whole vehicle type approvals in the framework of CU TR 018/2011, and also as theANNEX VI

International, National and Regional Regulatory Development and Enforcement

authority of the state inspection (surveillance) of automotive industry product compliance to the requirements of
CU TR 018/2011;-

The Federal State Unitary Enterprise “NAMI” performing functions of the technical secretariat, to which, according toprovisions of the CU TR 018/2011, it is entrusted to verify correctness and justification of issuance of the regional wholevehicle type approvals;-

Accredited certification bodies;-

Accredited testing laboratories.

The accreditation of the certification bodies and testing laboratories is carried out by the independent Federal Accreditation
Service, which is a part of the Ministry of Economic Development of the Russian Federation.
FIGURE 3

Figure 3. The organizational structure of the compliance assessment system
The organizational structureofof thecomplianceproducts
assessmentinsystem
of automotive
products in the Russian Federation
automotive
the RussianFederation

4.

State inspection (surveillance)
4.

State inspection (surveillance)

The state inspection (surveillance) over compliance with the mandatory requirements of
The state inspection (surveillance) over compliance with the mandatory requirements of technical regulations and national
technical
regulations
national
standards
conducted
the2002
framework
FederalLaw of 27
standards is conductedandwithinthe frameworkof the isFederalLaw of 27within
December
No. 184-ФЗof“OntheTechnical
Regulating”
December
2002
184-ФЗ
"On TechnicalRegulating"with regard
to the products
product-relatedwith regard
to theNo.
products
and product-related
processesof design, production,
construction,
installation, andoperation,
storage,processesof design,
construction,
installation,
operation, ofstorage,transportation,transportation,
sale and production,
disposal solely interms of compliancewith the requirements
relevant technicalregulationssale
and anddisposalin terms of compliance with the requirements of relevant technical regulations and national
nationalsolely
standards.
standards.
Actions for the state inspection (surveillance) are performed according to the provisions of the Federal Law of 26 December
2008 No. 294-ФЗ “On protection of rights of legal entities and individual entrepreneurs at implementation of the state inspection
Actions for the state inspection (surveillance) are performed according to the provisions of the(surveillance) and municipal inspection”. The scheduled inspections may be carried out not more than one time every threeFederalLawof 26 with
December2008
No. 294-ФЗ
"On protection
legal
entities andindividualyears in accordance
the plans ofinspection
for the corresponding
calendarof
yearrights
agreedofwiththe prosecution
authorities.
entrepreneurs
at implementation
the ofstate
inspection(surveillance)
andof harm
municipal
Unscheduled inspections
are carried outofin casereceipt
of appeals on
the facts of threats
to the lifeinspection".
and health of The
scheduledinspections
maybecarried
out
not
more
than
one
time
every
three
years
in
accordancewith thecitizens or infliction of harm.

plans of inspection for the corresponding calendar year agreed with the prosecution authorities. Unscheduled
According to the Russian Federation Governmental Decree of 16 October 2015 No. 1108, the Federal Agency for Technicalinspections
are carried out in case of receipt of appeals on the facts of threats of harm to the life and health ofRegulating and Metrology (Rosstandard) is authorized for the state inspection (surveillance) over compliance with thecitizensor
inflictionof harm.
CU TR 018/2011 requirementswith regard to the wheeled vehicles and their components released for circulation in the territoryof the Russian Federation (before start of their operation).

According to the Russian Federation Governmental Decree of 16 October 2015 No. 1108, theDuringAgency
its activityfor
in thefield of theRegulatingstate inspection(surveillance)
Rosstandard
agreed 141
voluntaryof in ordertoFederalTechnical
andMetrology(Rosstandard)
is vehicle
authorized
forrecalls
the stateinspection
prevent
possibleharmassociated
with
their
usage.
The
total
numberofwithdrawn
vehiclesamounted
to
more
than
1.5
million(surveillance) over compliance with the CU TR 018/2011 requirements with regard to the wheeled vehicles
units.

and their components released for circulation in the territory of the Russian Federation (before start of theiroperation).

During its activity in the field of the state inspection (surveillance) Rosstandard agreed 141
vehicle voluntary recalls of in order to prevent possible harm associated with their usage. The total number
109
of withdrawn vehicles amounted to more than 1.5 million units.

WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

In 2017, Rosstandard inspected 158 business entities, and in 39 (24 per cent) of them violations of the established requirements
were revealed. The relevant actions were taken in accordance with the Code of administrative offences of the Russian Federation.

Summary
The Russian Federation, as well as the EAEU in whole, with respect to automotive vehicles, pursues a policy of implementation of
the technical provisions agreed at the international level as the national technical requirements, which is purposeful on eliminationof the barriers interfering international trade, with simultaneous maintenance of compliance to modern safety requirements. The
direct application of the UN Regulations included in the list of regional technical requirements of CU TR 018/2011 is established
in EAEU.

110

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

RULEMAKING IN THE UNITED STATES OF AMERICASECTION 7

TABLE OF CONTENTS
I.

Introduction

II.

Federal Rulemaking
A. Congressional Authorization
B. Agency Action
1. Initiation of Rulemaking
2. Information about Rulemaking Plans, Activities and Documents
3. Inter-agency and Inter-governmental Coordination
4. The Administrative Procedure Act
a.
b.
c.
d.
e.

Preliminary Notices
Notice of Proposed Rulemaking
Supplemental Notice of Proposed Rulemaking
Final Rule
Response to Petitions for Reconsideration

5. Other Opportunities for Public Participation
6. Other Rulemaking Requirements
C. Congressional Review
D. Judicial Review
III.

U.S Process for Assuring Compliance with Safety and Emission Standards

IV.

Glossary of Acronyms

V.

For Further Information, Contact

I.

Introduction

Described here is the rulemaking system used in the United States of America by the Environmental Protection Agency (EPA)
and National Highway Traffic Safety Administration (NHTSA) to establish regulations for wheeled vehicles, equipment andparts which can be fitted and/or be used on wheeled vehicles.1 The description focuses primarily on the informal rulemaking
process set forth in the Administrative Procedure Act, 5 U.S.C. ‘’ 551, et seq. (APA). This focus is appropriate since rules establishingregulations for these products are generally subject to the APA and are adopted by EPA and NHTSA using, for the most part, theinformal rulemaking process. As well as describing the rulemaking system used in the United States of America (U.S.A.) by EPA
and NHTSA to establish regulations for wheeled vehicles, equipment and parts which can be fitted and/or be used on wheeledvehicles, this section also briefly discusses the compliance and enforcement system used in the U.S. by EPA and NHTSA to assure
manufacturers’ compliance with the safety and emission standards contained within the regulations established through theinformal rulemaking process.

II.

Federal Rulemaking

A.

Congressional authorization

While Congress could establish the details of individual product regulations legislatively, instead it usually delegates authority to
U.S. Federal regulatory agencies to establish such regulations administratively pursuant to congressional guidance. The degree of1

Given its relative brevity, this section makes general statements about the requirements applicable to the development, issuance and review of
product regulations. It is important to note that the statutes authorizing the issuance of some types of product standards create exceptions tothose generalizations. This section does not attempt to identify or catalogue those exceptions, although it does note some of them.

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

specificity in the guidance varies from statute to statute. At one end of the spectrum, Congress may specify some of the details ofa particular standard. At the other, Congress may provide general direction concerning factors to be considered and policy goals
to be achieved. The latter is, by far, the more common practice.
When Congress enacts legislation creating a regulatory agency, or giving new authority to an existing regulatory agency, it
typically includes provisions that implicitly or explicitly delegate its rulemaking authority to the agency with respect to a specified
policy goal. “Rulemaking” is agency action that regulates the future conduct of governmental agencies and persons2, throughformulation and issuance of an agency statement designed to implement, interpret or prescribe law or policy. The legislation
containing the authority granted by Congress to an agency is known as the agency’s “enabling” legislation.
While the enabling legislation specifies the general purposes for which rulemaking may be conducted, it normally does not
identify the individual rules to be adopted to achieve those purposes. The legislation often enumerates the factors that an agency
must consider in its rulemaking and may specify criteria that the resulting rules must meet. Those factors and criteria often
include practicability (often both economic and technological) and address the role, if any, that the cost of compliance is to playin the agency’s rulemaking.
Occasionally, Congress supplements an agency’s enabling legislation by enacting legislation directing the agency to use its
general rulemaking authority in a specific way. In these instances, Congress normally leaves the technical details of the rule
to be issued to the discretion of the issuing agency. Congress rarely dictates any of the specific performance requirements tobe adopted for products. Further, it does not typically specify any details about regulatory approach, level of stringency or test
procedures (although it may impose certain restrictions or define certain parameters).
In addition to enabling legislation, there are various other sources of requirements that govern the development and issuance byFederal agencies of rules regulating products. These sources include other statutes and Presidential Executive Orders that impose
procedural requirements which are intended to ensure reasoned and fair decision-making. Except to the extent inconsistent
with an agency’s enabling legislation or other source of rulemaking authority, these other statutes and Executive Orders requirethat the agencies adopt these rules only after thoroughly analysing their potential impact. This analysis typically, but not always,
includes an assessment and comparison of either the benefits and costs or the cost-effectiveness of alternative regulatory
approaches or levels of stringency. They also require an open and transparent U.S. regulatory process that seeks to afford allparticipants the opportunity to participate and to understand what the regulatory agencies are doing and why.
B.

Agency action

1.

Initiation of Rulemaking

Most rulemaking proceedings by U.S. Federal agencies are initiated in one of the following three circumstances. First, theagencies may begin a rulemaking proceeding on their own initiative within the limits of their existing enabling legislation orother legislation granting them authority to engage in rulemaking. Second, Federal agencies may also initiate rulemaking within
the limits of their existing authority in response to a request by the public. The APA provides that each Federal agency shallgive interested persons the right to petition for the issuance, amendment, or repeal of a rule. Agencies must respond to such apetition. If the petition is meritorious and consistent with the agency’s priorities and available resources, the agency will grant
the petition and begin a rulemaking proceeding. The granting of such a petition and the commencement of a rulemaking
proceeding do not necessarily mean that the requested rule will be issued. Further, the first step may not be the issuance of any
notice, but the conducting of research to determine if appropriate performance criteria or test procedures can be developed.
The decision ultimately whether to issue a rule is made later in accordance with statutory criteria and on the basis of all available
information developed or received in the course of the rulemaking proceeding. Third, an agency may be statutorily directed by
Congress to begin a specific rulemaking proceeding.
2.

Information about Rulemaking Plans, Activities and Documents

The official U.S. Government document for publishing regulatory notices is the Federal Register. The Federal Register, which is
published each business day, includes all proposed rules, final rules, and notices issued by Federal agencies and organizations, aswell as Executive Orders and other Presidential Documents. It is available online (www.access.gpo.gov/nara/#cfr) without charge.
The Office of Management and Budget (OMB) publishes the Unified Agenda of Federal Regulatory and Deregulatory Actions(Agenda) in the Federal Register each April and October. The Agenda can be viewed on-line by going to http://reginfo.gov/.

2

112“Persons” are defined broadly in the APA as “an individual, partnership, corporation, association, or public or private organization other than [a U.S.
Federal] agency.” “Persons” include persons located outside the United States.

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

This document contains a brief description of and schedule for each new rule that each agency is likely to issue in proposed orfinal form within the next twelve months. It also lists each existing regulation that each agency is likely to review during thatsame period. By reading the Agenda, persons can learn whether any of the new rules being developed by the agencies areclassified as significant under Executive Order 12866, Regulatory Planning and Review, and thus subject to review by OMB. (Seebelow the section on Inter-agency and Inter-governmental Participation and the section on Other Rulemaking Requirements
for fuller discussions of the Executive Order. The definition of “significant regulatory actions” appears in a footnote to the former
section.) Persons wishing to find out more about a particular rulemaking may contact the individual listed in the Agenda for thatrulemaking.
After the publication of a Final Rule in the Federal Register, the rule is codified, along with all existing regulations, in the Code ofFederal Regulations (CFR). The CFR is divided into 50 titles which represent broad areas subject to Federal regulation. Each title isfurther divided into chapters, which usually bear the name of the issuing agency. The CFR is updated annually. It is available freeof charge on the Internet at www.access.gpo.gov/nara/#cfr.
The documents that an agency relies upon or considers in issuing a Final Rule are placed by the agency in a public docket where
they are available for public inspection and comment. Each docket is identified by a docket number. These documents include
studies generated by the agency to support its position as well as comments submitted in response to the agencies documents(except documents that have been submitted confidentially). 3 While some agencies accept and rely upon confidential
information in their rulemakings, others do not.
Federal agencies make extensive use of the Internet to provide information related to their regulatory activities and enhance thetransparency of their regulatory process. Many agencies either have established or in the process of establishing an electronic
docket system. For example, the Department of Transportation has established a system that permits a person anywhere in theworld to view and download documents that have been submitted to any of their rulemaking dockets (http://dms.dot.gov/). The
Department of Transportation system also permits people to file comments electronically. Some agencies, like the Environmental
Protection Agency, provide links to electronic versions of all of their recently issued rulemaking documents (see www.epa.gov/
epahome/rules.html#proposed). In addition, agencies are posting a wide variety of information relating to their rulemakings,
such as research reports and analyses so that they can be examined online and downloaded without charge (see, e.g. www.
nhtsa.dot.gov/).
Federal agencies are required by the Freedom of Information Act (FOIA) (5 U.S.C. § 552) to make records in their possession
available upon receipt of a request that reasonably describes the records desired by the requestor. The purpose of this Act is toexpand the areas of public access to information beyond those originally set forth in the APA. The Act gives any person the rightto request records from agencies. Upon receipt of a request, an agency must search for records responsive to the request. The
agency must then make available copies of all responsive records located in the search, unless the records are protected fromdisclosure under one of nine statutory exemptions in the FOIA.4 Public access to government information was broadened in 1996
by the enactment of the Electronic Freedom of Information Act Amendments (E-FOIA).
The E-FOIA requires agencies to make more material available electronically. In addition, the FOIA was supplemented by Executive
Order 12600, Predisclosure Notification Procedures for Confidential Commercial Information (1987), which gives private parties,
especially business firms (including foreign firms), a right to prior notice before an agency releases information about or received
from the firm.
3.

Inter-agency and Inter-governmental Coordination

Federal agencies have various means for monitoring and coordinating with each other’s regulatory activities. Agencies often
directly consult on their own initiative with each other, formally and informally, on rulemaking issues of mutual interest, regardlessof whether they are significant under Executive Order 12866. Typically, the consultation occurs initially on a working level among
technical staff and later, as the agency’s development of approaches to addressing the issues progresses, on a policy level as well.

3

4“Trade secrets and confidential business information” mean records or data submitted to the government that arguably contains material exempt
from release under exemption 4 of the Freedom of Information Act, 5 U.S.C. § 552(b)(4), because disclosure could reasonably be expected to cause
substantial competitive harm to the entity submitting the information. Persons submitting documents confidentially must assert their claim to
confidential treatment at the time the documents are submitted. The agency then makes a determination as to whether exemption 4 applies. This
exemption applies during all stages of the rulemaking process. As noted above, not all agencies accept documents containing trade secrets or
confidential business information in their rulemakings.
In addition to the exemption noted above for trade secrets and confidential business information, exemptions are also provided for other matterssuch as inter-agency or intra-agency memorandums or letters, and records or information compiled for law enforcement purposes. (5 U.S.C. §552(b)(5) and (7)).

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WORLD FORUM FOR HARMONIZATION OF VEHICLE REGULATIONS: HOW IT WORKS, HOW TO JOIN IT

There are also inter-agency working groups, such as the Interagency Council on Standards Policy, that meet on an ongoing basis
to discuss issues of mutual interest and to share information on their agency’s activities.
Executive Order 12866 provides that each regulatory agency should avoid issuing rules that are inconsistent, incompatible, or
duplicative with those of other Federal agencies. OMB is charged, under the Order, with coordinating inter-agency review ofsignificant proposed or final rules prior to their issuance and publication in the Federal Register.5 If the proposed or final rule of
one agency would create a serious inconsistency, or otherwise interfere with an action taken or planned by another agency, thatrule is treated as a significant rule under the Order, and thus is subject to OMB review. OMB provides a copy of the rule to otherinterested agencies for comment during the review process.
4.

The Administrative Procedure Act

The primary mechanism for ensuring transparent and open rulemaking in the U.S. is a standardized system of consultations withthe public as rules are developed and revised. The APA specifies requirements for rulemaking, i.e. the process by which Federal
agencies formulate, propose, establish, amend, or repeal a regulation. Substantive rules issued by an agency under the APA havethe force and effect of law.
If an agency’s enabling legislation authorizes it to conduct rulemaking, the legislation typically specifies that either formal orinformal procedures are to be followed:•

Informal rulemaking procedures require, with certain limited exceptions, that the agency provide prior notice andan opportunity to comment by submitting written data or arguments in response to the publication of a proposed
rule. Any person, regardless of geographical location, may submit comments. This includes, for example, individuals,
businesses and government agencies of other countries. These procedures require also that the data and arguments
be considered by the agency and that, in issuing any Final Rules, the agency include a statement of the rule’s basis andpurpose and address the comments. A fuller discussion of informal rulemaking procedures is provided later in the text.

•

Formal rulemaking procedures require an agency to conduct a complete oral, evidentiary hearing. The agency must
offer persons who wish to participate an opportunity to appear and present oral and documentary evidence and views
and to cross-examine other participants in the hearing. The hearings are generally presided over by an Administrative
Law Judge. The record consists of the transcripts of the testimony and exhibits presented at the hearing, together withall documents filed in the proceeding.

Informal rulemaking procedures are required for most rulemakings, including most rulemaking involving the establishment of
product requirements. Formal rulemaking has been, and continues to be, the exception. An agency must use formal rulemaking
procedures if it is rulemaking under a statute requiring that rulemaking be conducted “on the record.”Some statutes require the use of “hybrid” rulemaking procedures, in which informal written comments are supplemented withoral presentations of some kind. In addition, agencies subject to informal rulemaking procedures may, at their discretion, decide
to use “hybrid” procedures. For example, they may decide to hold public meetings when they believe that it would be beneficial
to have a face-to-face exchange of views and information between the agency and the public. As with formal rulemaking, hybrid
rulemaking represents a very small portion of rulemaking government-wide.
Agencies can add to, but never subtract from, procedures required by the APA or other statutes. As mentioned earlier, agencies
engaged in informal rulemaking sometimes voluntarily decide to hold public meetings. The additional procedures used by anagency must not violate the procedural requirements in the APA or other statutes, such as the rules concerning consideration of
written comments during a rulemaking.
Informal rulemaking proceedings proceed in the manner set forth below. Not all steps, e.g. preliminary notices, must be used in
all rulemakings. The vast majority of rulemakings involve only three steps: issuance of an notice of proposed rulemaking soliciting
public comment, agency consideration of all relevant information including public comments, and the issuance of a Final Ruleafter consideration of the relevant information. Since a greater range of steps is particularly likely to be used in some of the moresignificant rulemakings, the full potential range of steps is outlined below. It should be noted that the duration of rulemaking canvary from a few months to several years depending on the complexity, controversiality and nature of the action.
5

114

Section 3(f ) of the Executive Order defines “significant regulatory action” as “any regulatory action” that is likely to result in a rule that may have anyof certain enumerated impacts, including having an annual effect on the economy of $100 million or more or adversely affect in a material way the
economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or tribal governments orcommunities; creating a serious inconsistency or otherwise interfere with an action taken or planned by another agency; and raising novel legal or
policy issues arising out of legal mandates, the President’s priorities, or the principles set forth in this Executive order.

ANNEX VIa.

International, National and Regional Regulatory Development and Enforcement

Preliminary Notices

Although the APA does not require or even address the issue of preliminary notices, they are issued by some regulatory agencies.
An agency contemplating rulemaking may decide that it wants to obtain additional information before developing andpublishing a specific proposal for addressing a problem. In such cases, to obtain more information about the nature and extent
of a possible problem or to obtain public views on which regulatory approach would be most effective and desirable, the agency
may publish a preliminary notice seeking public comments.
The most common type of preliminary notice is the Advance Notice of Proposed Rulemaking (ANPRM). It provides an opportunity
for public comment very early in the rulemaking process. It describes the general area that may be the subject of a proposed ruleand usually asks for public comment on the issues and regulatory options being considered. It invites the public to identify any
additional relevant issues.
The ANPRM specifies a certain period of time within which the public may submit comments. Comments may be submitted
by any person. Some agencies place all comments on the ANPRM in a docket where they are available to the public, whileothers docket only those comments that support a subsequent Notice of Proposed Rulemaking. In both cases, trade secrets
and confidential business information are not revealed. The comment period is usually 60 days, but it can be longer or shorter,
depending on the circumstances.
b.

Notice of Proposed Rulemaking

In most cases, the initial step in the rulemaking process is to develop and then publish a proposed rule. The proposal is called a
Notice of Proposed Rulemaking (NPRM). The purpose of the NPRM is to inform the public about the proposal and request publiccomment on it. The NPRM typically consists of two parts: a preamble, which is a narrative discussion, and proposed regulatory
text. Some, however, do not include regulatory text. The amount of detail in preambles varies. The more detailed preambles
identify the problem addressed by the proposal, discuss and analyse information regarding the existence, nature and extent of
the problem, explain how the proposal will ameliorate that problem, and analyse the benefits and costs of the proposal. If the
NPRM was preceded by the issuance of a preliminary notice, the NPRM may summarize and respond to the public commentson the preliminary notice. To the extent that the NPRM does not set forth and explain the factual assumptions, analyses andmethodologies underlying the proposal, the agency places documents containing those matters in a public docket so that the
public has an opportunity to comment on them.
The NPRM specifies a certain period of time within which any person who wishes to do so may submit comments. Executive Order
12866 recommends a comment period of 60 days, although the period can be longer or shorter, depending on circumstances.
The agency places all comments in a public docket, except that trade secrets and confidential business information are notrevealed. This public comment process serves a number of purposes, including giving persons the opportunity to:•

Provide the agency with information that will enhance the agency’s knowledge about matters related to the proposal; and•Challenge the factual assumptions, analyses, and tentative conclusions underlying the agency’s proposal and show inwhat respect they are in error.

If, after the comment period, the agency obtains new information or analysis that is not simply cumulative and has a potentiallysignificant bearing on the substance of the Final Rule, the agency must make it available so that the public may comment. If theagency has an established practice of considering late comments and other new material and will consider any late commentson the new information or analysis, it may not need to re-open the comment period on the NPRM. If, in addition to being noncumulative, the new information or analysis will lead to significant and unexpected changes in the final rule, the agency must
publish a notice in the Federal Register to ensure public awareness that the material has become available.
In response to the comments on the NPRM or developments (e.g. new research results) after the NPRM is issued, the agency
generally changes certain aspects of the proposal. In most cases, the changes are within the range of regulatory approaches
discussed in the NPRM, and no further opportunity for public comment is required. However, if any of the changes desired by theagency involve matters neither discussed in the NPRM nor a logical outgrowth of those matters, the agency must give the publica chance to comment on a revised proposal before issuing a Final Rule. To provide that chance, the agency issues a Supplemental
Notice of Proposed Rulemaking.
c.

Supplemental Notice of Proposed Rulemaking

The SNPRM identifies significant changes to the proposed rule that could not have been not reasonably anticipated from reading
the NPRM. It also may identify significant new factual information that was not included in the record of the rulemaking at

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the NPRM stage, and that the agency wishes to rely upon in the Final Rule. The SNPRM explains the reasons for the changed
regulatory language and seeks public comment on it. SNPRMs are issued significantly less frequently than ANPRMs.
d.

Final Rule

After considering the comments received during the rulemaking, the agency decides whether to issue a Final Rule. Final Rules
include a preamble and regulatory text. If the agency issues a Final Rule, the preamble includes a detailed statement of the basis
and purpose of the rule, explains why the agency agrees or disagrees with the substantive comments it received and describes
the changes, if any, it made to the rule in response to the comments with which it agrees. If the agency allows petitions forreconsideration, it must state that petitions for reconsideration may be submitted and may specify a deadline for doing so.
The Final Rule also specifies a date on which the rule will become effective. An interval (known as lead time) between the final
rule and the effective date of 1 to 3 years is not unusual, particularly in the case of significant rules or rules governing newtechnologies or products. If the agency decides not to issue a Final Rule, it may issue a Notice of Withdrawal of the proposal,
explaining the reasons for that action.
Normally, the APA requires that a Final Rule be published at least 30 days before it takes effect. However, compliance with the
30-day requirement is not necessary if the rule makes an exemption or relaxes existing requirements, or if the agency makes andpublishes a finding that an earlier effective date is required “for good cause.”e.

Response to Petitions for Reconsideration

Even after a Final Rule is issued, the public may have a final chance to request the agency to make changes to the rule. Any
person can do this by submitting a Petition for Reconsideration. The submission of a Petition for Reconsideration generally does
not delay the effective date of the rule.
Some agencies respond to Petitions for Reconsideration by making changes to the Final Rule without first soliciting publiccomme nt, if those changes are either within the scope of the NPRM or are a reasonable outgrowth of the NPRM. Other agencies
may issue a new NPRM before making any changes in response to Petitions for Reconsideration, regardless of whether thechanges are within the scope of the NPRM.
The requirement for prior notice and an opportunity for public comment may be waived in cases in which the agency finds“good cause” that such procedures would be “impracticable, unnecessary, or contrary to the public interest.” (5 U.S.C. § 553(b)(3)(B)). Courts have interpreted this language to allow an agency to waive the notice and comment procedures and issue rules
when the agency can show it is confronting one or more of the following “emergency” situations: (1) where the agency was
subject to a short, statutorily-imposed deadline; (2) where an immediate rule is required to address a serious risk to public healthand safety; (3) where advance notice would thwart the purpose of the rule; or (4) where immediate clarification of existing rules
and regulations is needed to alleviate confusion. It is important to note that the “good cause” exception is construed narrowly.
Further, agencies may not automatically waive informal rulemaking procedures whenever one of these four situations arises orin the agency’s judgment an emergency situation exists. Instead, an agency must clearly demonstrate that the waiver is properin a particular circumstance.
5.

Other Opportunities for Public Participation

Private citizens, industry, and organizations can participate in an agency’s rulemaking activities in variety of ways. In addition tosubmitting comments and petitions as discussed above in the section on the APA, persons can directly contact the agencies
in accordance with the agencies’ own particular procedural requirements, participate in advisory committees formed by theagencies, or participate in negotiated rulemakings.
While the APA limits ex parte oral communications in formal rulemakings, it does not do so in informal rulemakings.6 However,the various Federal agencies have adopted their own policies about such communications during informal rulemakings. These
policies vary. Some agencies discourage, but do not prohibit, ex parte oral communication during all stages of a rulemaking
proceeding, even before an NPRM is issued. Other agencies discourage ex parte oral communications only after an NPRM has
been issued. Still others permit them at any time during a rulemaking proceeding. In all cases, however, to the extent that anagency wishes to rely in its Final Rule on information or data received in ex parte oral communications, it must document thesubstance of the communications in a memorandum that is made publicly available. Such documentation is necessary to ensurethat the public and the courts (in the event of a lawsuit) are aware of the communications.

6116“Ex parte communication” is defined in the APA as meaning “an oral or written communication not on the public record with respect to which
reasonable prior notice to all parties is not given, but it shall not include requests for status reports on any matter or proceeding.” (5 U.S.C. § 551(14)).

ANNEX VI

International, National and Regional Regulatory Development and Enforcement

Federal agencies may meet with committees or groups of persons to augment the opportunity for dialogue and public input intheir rulemakings. Some of these committees or groups may be advisory committees within the meaning of the Federal Advisory
Committee Act, 5 U.S.C. App. 2 (FACA). Under the Act, an advisory committee is any committee or group containing at least one
member who is not a full-time Federal employee, that is established or utilized (i.e., managed or controlled) by a Federal agency,
in the interest of obtaining advice or recommendations. Advisory committees may be established under the FACA after public
notice is given and a determination is made that the formation is in the public interest. The committees must be chartered by
the General Accounting Office and have a clearly defined purpose. Membership must be fairly balanced in terms of the points ofview represented and functions performed. Meetings of the advisory committees must be announced in the Federal Register andgenerally open to the public. Minutes of the meetings and all related documents must be made public.
The Negotiated Rulemaking Act of 1990 (NRA) establishes a framework for conducting a negotiated rulemaking and encourages
agencies to use negotiated rulemaking to enhance the informal rulemaking process. 5 U.S.C. §§ 561, et seq. The premise
underlying negotiated rulemaking is that bringing together representatives of an agency and the various affected interest groups
to negotiate, and reach consensus on, a proposed rule will lessen the likelihood of litigation when a Final Rule is issued. Under
the NRA, an agency forms an advisory committee consisting of representatives of the affected interests and representatives of
the agency for the purpose of reaching consensus on a rule to be issued in a notice of proposed rulemaking. The committee issubject to the FACA, and thus generally must hold its meetings in public. The negotiations within the committee are generally
assisted by a neutral facilitator. The goal of the committee is to reach consensus within the limits of the agency’s legal authorityand policy objectives for the rulemaking. If consensus is reached, the agency uses the product of the consensus as the basis of its
Notice of Proposed Rulemaking. As in the case of rulemaking proceedings that do not involve negotiated rulemaking, the agency
must consider the public comments on that notice before issuing a Final Rule.
6.

Other Rulemaking Requirements

In addition to the requirements in their enabling legislation, regulatory agencies are subject to other statutory requirements foranalysing various impacts of their proposed and final rules. Among these are requirements to analyse the impacts of any rule on
small business (the Regulatory Flexibility Act) or the environment (the National Environmental Policy Act). If the rule will require
subfederal governments or the private sector to spend more than $100 million in any one year, its impacts must be analysed(the Unfunded Mandates Act). Further, the impact of the information collection requirements in any rule must be analysed (thePaperwork Reduction Act). These analyses, like the other required analyses, must be made public.
In addition, other requirements are established by the Executive Branch through the issuance of Executive Orders. The mostsignificant of them is Executive Order 12866. The Order, which was issued on 30 September 1993, sets out an overarchingregulatory philosophy and principles to guide agencies in developing effective and efficient rules. It provides that agencies
should, to the extent permitted by law, assess both costs and benefits (quantitative and qualitative) of an intended rule andpropose or adopt a rule only upon making a reasoned determination that the benefits of the intended rule justify its costs.7 The
Order states that, in choosing among alternative regulatory approaches, agencies should select those approaches that maximize
benefits. One of the principal objectives of the Order is to make regulatory processes more accessible and open to the public. The
Order requires that before regulatory agencies issue proposed and final “significant” rules, they submit them to OMB for review.
Significant rules must be accompanied by an extensive regulatory impact analysis. The analysis is placed in the public docket tofacilitate public comment on it. The Order can be found at http://reginfo.gov/eo12866.htm.
The NationalTechnologyTransfer and Advancement Act (NTTAA) of 1995 directs Federal agencies to use voluntary consensus standards,
both domestic and international, in lieu of government-developed regulations, as a means to carry out policy objectives or activities
determined by the agencies, except when doing so would be inconsistent with law or otherwise impractical. (Public Law 104-113)(15 U.S.C. § 272 note). The Act further directs the agencies to participate in voluntary consensus standards development activities“when such participation is in the public interest and is compatible with agency and departmental missions, authorities, priorities,
and budget resources.” Such participation is aimed at contributing to the development of voluntary standards that will minimize
the need to develop and maintain separate government regulations.
Federal agencies are also required, in developing their regulations, to take into consideration relevant international standards
and, if appropriate, base their regulations on those international standards. Title IV of the Trade Agreements Act of 1979 (Public
Law 96-39), as amended in 1994 (Public Law 103-465) and 1996 (Public Law 104-295) (19 U.S.C. § 2532(2)). The Act expressly

7

Some statutes authorizing the issuance of product regulations limit the extent to which the issuing agency can consider cost in selecting thoseregulations. Some even provide that the regulations are to be selected and issued without regard to cost.

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provides that the reasons for which it may not be appropriate to base a regulation on an international standard include, but are
not limited to, the protection of human health or safety, animal or plant life or health, or the environment.
C.

Congressional review

Most product regulations issued by agencies as Final Rules must be submitted to Congress for review under the Congressional
Review Act, 5 U.S.C. §§ 801, et seq. (CRA) and to Congressional oversight.8 The CRA establishes a special procedure through which
Congress may vote to disapprove any such agency rule. The effect of a disapproving vote is to nullify the rule. A rule is rejected
if both houses of Congress adopt a joint resolution by majority vote and if the President then signs the resolution. A rule is also
rejected if both houses of Congress adopt such a resolution and then override a Presidential veto of the resolution. While Congress
can adopt a resolution rejecting a rule in its entirety, Congress cannot adopt a resolution under the CRA either amending a ruleor directing that a rule be amended. When acting under the CRA, Congress can either take no action or adopt a disapproving
resolution.
When acting outside the CRA, i.e., under its normal legislative procedures, Congress may, in effect, nullify an agency’s rule byenacting new legislation that prohibits the agency from using appropriated funds to enforce the rule. Alternatively, Congress
may enact legislation identifying the regulatory provisions to which it objects and specifying that the agency cannot maintain anexisting rule, or issue a new rule, containing those provisions.
D.

Judicial review

All Final Rules establishing, amending or revoking regulations may be judicially reviewed pursuant to either an agency’s enabling
legislation, the APA or particular agency-specific statutes. In addition, other final actions are judicially reviewable, including denials
of petitions for rulemaking, denials of petitions for reconsideration, and decisions to terminate rulemaking after the issuance ofan NPRM. Although the percentage of rules issued through informal rulemaking and then judicially reviewed may be relatively
small, there is a steady and significant number of cases involving procedural and/or substantive challenges. Further, given theprecedential effect of court decisions, judicial review can have a significant and long-lasting effect on agency rulemaking.
Under the APA, any person may seek to have a Final Rule or other final agency action overturned in the Federal courts if he has“standing” to do so. To have standing, a person must first show that the final agency action actually injured him and that it is likelythat the injury will be redressed by a favourable decision by the court.
The person must then demonstrate that his injury is within the “zone of interests” which Congress sought to protect in enacting
the statute under which the final agency action was taken. Generally, any person directly subject to a product regulation or
any person who purchases or uses the products subject to the regulation can demonstrate that his injury is within the zoneof interests protected by the statute under which the regulation was issued. An organization which has not itself suffered suchan injury may nevertheless have standing if it can demonstrate that its members would otherwise have standing on their own
to sue, the interests it seeks to protect are germane to the organization’s purpose and neither the claim asserted nor the relief
sought requires the participation of individual members in the suit.
Under the APA, a person may seek to have a final agency action overturned on a variety of grounds, including the ground thatthe action is arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law. Suits challenging agency rules
typically allege both procedural and substantive grounds for overturning those rules. Among the procedural grounds are lackof adequate notice. Persons alleging lack of adequate notice often argue that the difference between the proposed and final
regulatory text was so great that commenters could not reasonably have anticipated, and thus could not comment on, some
important part of the Final Rule. Another common argument is that, in order to support the Final Rule, the agency relied on dataor analysis that was not made known to commenters in time for them to offer comments before the Final Rule.
To avoid having a rule overturned or remanded as arbitrary or capricious, an agency should: state the factual predicates for its
rule; support the factual predicates by linking them to evidence in the rulemaking record; explain how it reasoned from factual
predicates to the expected effects of the rule; relate factual predicates and expected effects to each of the relevant statutory
goals, purposes or criteria that is made relevant by its statute; avoid basing any aspect of its Final Rule on factors which Congress
did not intend to be considered; explain its reasons for agreeing or disagreeing with major comments and for resolving issues
raised by commenters as it did; and give reasons for rejecting plausible alternatives to the rule it adopted, especially those that
arguably would better promote the goals of the statute under which the rule was issued.

8

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Some statutes authorizing the issuance of product regulations limit the extent to which the issuing agency can consider cost in selecting thoseregulations. Some even provide that the regulations are to be selected and issued without regard to cost.

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A reviewing court generally will not substitute its judgment for that of the agency or overturn factual conclusions as long as theagency’s conclusions have a substantial basis in the administrative record. (See discussion of administrative records below.) Thisis particularly true when the subject matter is technical, concerns a newly developing technology, or involves exercise of theagency’s expertise.
A Final Rule revoking a regulation is subject to the same degree of judicial scrutiny as a Final Rule establishing or amending a
regulation. There is a presumption that a settled course of agency behaviour represents that agency’s informed judgment that,by pursuing that course, it will carry out the policies committed to it by Congress. Thus, if the agency departed from past agency
practices or positions in adopting a new rule, the agency must explain in some detail why it did so.
The court’s review is based on the administrative record. The administrative record is compiled by the agency and consists of the
Final Rule, and all the information the agency had before it at the time of its issuance of the Final Rule, including the NPRM, allcomments on the NPRM, and research results and reports.
If the court overturns a Final Rule, it will return the rule to the agency for further consideration. The court may either vacate therule, in which case, it has no legal effect; or the court may simply remand the rule, requiring the agency to reconsider its position,
but leaving all or part of the rule in effect during that period of reconsideration.

III. United States Process for Assuring Compliance with Safety and Emission Standards
In the United States, the Federal government maintains a set of objective (e.g., numerical), practicable safety and environmental
requirements that all vehicles, equipment and parts must meet. These requirements are embodied in the Federal motor vehicle
safety standards (FMVSS) and the Federal emission standards. The standards are stated in performance terms. Compliance withthe standards can normally be achieved using a variety of different designs, which leaves manufacturers with a great deal offlexibility in designing their vehicles, equipment and parts.
The following discussion outlines the Federal Government’s compliance and enforcement system as it relates to safety andenvironmental requirements for wheeled vehicles, equipment and parts.
A.

NHTSA and self-certification

The National Highway Traffic Safety Administration (NHTSA) is authorized to issue FMVSSs that specify performance requirements
for new motor vehicles and items of motor vehicle equipment. U.S. Federal law prohibits any person from manufacturing,
introducing into interstate commerce, selling, or importing any new motor vehicle or item of motor vehicle equipment unlessthe vehicle or equipment item conforms to all applicable safety standards.
Unlike agencies that enforce standards through a type approval system, NHTSA does not approve motor vehicles or motor
vehicle equipment items, nor does the agency endorse any commercial products or their vendors. Manufacturers are requiredby statute to self-certify that their products conform to NHTSA’s safety standards before they can be offered for sale.9 Evidence ofthat certification must be displayed in the form of a label as required by 49 CFR Parts 567 and 568 which specify the label’s size,
location and text. A motor vehicle manufacturer must also submit certain identifying information to NHTSA pursuant to 49 CFRPart 566 not later than 30 days after it begins to manufacture vehicles.
1.

How Manufacturers Self-Certify

Each of the safety standards specifies the test conditions and procedures that NHTSA will use to evaluate whether a vehicle orequipment item conforms to the standard’s performance requirements. Dynamic tests are prescribed in some of the standards,
such as FMVSS No. 208, “Occupant Crash Protection”, and FMVSS No. 301, “Fuel System Integrity”, and the agency may conduct
performance testing in accordance with those tests to determine whether compliance exists. However, the agency does not
require a manufacturer to crash test vehicles or to evaluate its products only in the manner specified in the safety standards.
A manufacturer may choose any means of evaluating a vehicle or equipment item to determine whether it complies with therequirements of an applicable standard, provided that the manufacturer chooses a means that provides reasonable assurance
that the vehicle or equipment item will comply with the standard when tested by NHTSA. Most manufacturers certify compliancethrough testing in accordance with the FMVSS. On rare occasions, certification is based on studies or analyses, rather than testing.

9

The motor vehicle safety statutes, found in Chapter 301 of Title 49, U.S. Code, establish a self-certification process under which each manufacturer
must certify that its products meet all applicable safety standards. (See 49 U.S.C. § 30115; 49 CFR Parts 567, 568) The FMVSSs are contained in 49 CFRPart 571. In addition to the FMVSSs, certain vehicles must be certified as complying with the Bumper Standard at 49 CFR Part 581, and the Theft
Prevention Standard at 49 CFR Part 541.

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In addition to the initial certification, a manufacturer is also expected to monitor continued compliance of vehicles and/or items
of motor vehicle equipment throughout the entire production run. To accomplish this, an effective quality control programmeshould be established to periodically inspect and test vehicles and/or items of motor vehicle equipment to ensure that theoriginal, certified performance is achieved by all other units.
Unlike a type approval system, NHTSA’s self-certification system provides manufacturers with greater flexibility to make andintroduce changes in their products.
2.

How NHTSA Ensures/Monitors Compliance

NHTSA conducts compliance testing to monitor compliance. NHTSA’s annual compliance programme tests an average of 30
of the 44 testable FMVSSs (30 vehicle standards and 14 equipment standards). The government randomly selects (purchases)
vehicles and items of equipment from the marketplace and tests them to determine if they comply with the safety standards.
If NHTSA’s compliance test were to show an apparent non-compliance of a vehicle or equipment item with an applicablestandard, the agency would notify the manufacturer promptly. Often, the manufacturer will then promptly conduct a recall,a procedure in which the manufacturer notifies owners of the non-compliance and provides them with a free remedy. If the
manufacturer does not do this, the government will initiate an investigation to determine whether the manufacturer failed tocomply with the standard. At the conclusion of the investigation, the government can order the manufacturer to recall all the
non-complying vehicles and items of equipment. In addition, the agency can seek civil penalties for violations of 49 U.S.C. §30112(a), which provides that a person may not manufacture for sale, sell, offer for sale, introduce or deliver for introduction ininterstate commerce, or import into the United States, any motor vehicle or motor vehicle equipment manufactured on or after
the date an applicable motor vehicle safety standard takes effect, unless the vehicle or equipment complies with the standard
and is covered by a certification issued under 49 U.S.C. § 30115.10
Safety defects that do not result in non-compliance with a FMVSS can also result in a recall. NHTSA typically opens defectinvestigations on the basis of consumer complaints called into NHTSA’s Hotline, or received from other sources. In addition,members of the public can submit petitions seeking a defect investigation.
While a recall can be a significant and costly step for a manufacturer, its purpose is to eliminate the safety risk posed by noncompliant or defective vehicles or equipment. A recall requires the manufacturer to notify all purchasers, urging them to bring
their vehicles or items of equipment into their dealer to have the non-compliance or defect remedied at no cost to the purchaser.
The manufacturer has the option to repair or replace the vehicle or item of equipment, or refund the purchase price. Most
decisions to recall are made by a manufacturer prior to a formal decision by NHTSA that a safety defect or a non-complianceexists, without a formal order from the agency. If a manufacturer refuses to comply with a NHTSA recall order, the government
may seek to enforce the order in Federal court.
B.

EPA enforcement and compliance provisions

EPA’s procedures for enforcing emission standards are similar in many ways to NHTSA’s provisions; nevertheless, there are somesignificant differences. While EPA also requires certification of vehicles, equipment and parts (engines, in particular), its statutes do
not allow self-certification. Instead, manufacturers must apply for certification from EPA. Manufacturer applications must containspecified information, including emissions testing information, needed for EPA to determine whether the vehicle, equipment
or part meets the emission standards. EPA may perform confirmatory testing, or require that the manufacturer perform suchtesting. If EPA determines that the vehicle, equipment or part meets its standards and other requirements, EPA issues a certificate
of conformity. As with safety standards, manufacturers must affix a permanent certification label on all production models ofcertified vehicles, equipment and engines.
Manufacturers may not sell or otherwise introduce into commerce any regulated vehicle, equipment or part without a certificate
of conformity. If a manufacturer violates this provision (e.g. by introducing into commerce vehicles that are materially different
from vehicles described in the applications for certification), the manufacturer can be subject to substantial monetary penalties.
10 Section 30112 (b)(2)(A) provides that a non-compliant vehicle or item of equipment is not a violation of law if the manufacturer used “reasonablecare.” NHTSA has long said that it is unable to judge what efforts would constitute “reasonable care” in advance of the actual circumstances inwhich a non-compliance occurs. What constitutes “reasonable care” in a particular case depends on many factors including the limitations ofcurrent technology, the availability of test equipment, the size of the manufacturer, and above all, the diligence exercised by the manufacturer.
It is important to note that, while the exercise of “reasonable care” may relieve a manufacturer of liability for civil penalties in connection with the
manufacture and sale of non-complying vehicles or equipment, it does not relieve the manufacturer of the responsibility to provide purchasers of
the non-complying vehicles or equipment with notification of the non-compliance, and to remedy the non-compliance without charge. Similarly,
Section 30115 provides that a person may not certify a vehicle as complying with all applicable safety standards “if, in exercising reasonable care,the person had reason to know the certificate is false or misleading in a material respect.”120

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EPA also selectively tests, or requires that manufacturers test, vehicles, equipment or parts after they are manufactured andassembled. If a set of vehicles, equipment or parts does not meet EPA emission standards, EPA may order a recall. EPA’s recalls are
similar to NHTSA’s recalls. Manufacturers may challenge a recall order in an agency administrative proceeding or, if unsuccessful
within the agency, in court. In addition, if EPA determines that assembly line vehicles, engines or parts are materially different
from their certified configurations, EPA may assess monetary penalties for introducing uncertified configurations into commerce.
Similarly, since the emission standards apply for the useful life of a vehicle or engine, EPA tests vehicles and engines after they
have been placed into operation for a substantial period of time to ensure that they continue to meet the emission standards.
EPA’s authority for recall and monetary penalties under its in-use testing provisions is similar to its authority under the assemblyline testing provisions discussed above.

IV. Glossary of Acronyms
ANPRM
APA
CFR
CRA
FACA
FOIA
FR
NIST
NPRM
NRA
NTTAA
OMB
RISC
SNPRM
USC

V.

Advance Notice of Proposed Rulemaking
Administrative Procedures Act
Code of Federal Regulations
Congressional Review Act
Federal Advisory Committee Act
Freedom of Information Act
Federal Register
National Institute of Standards and Technology
Notice of Proposed Rulemaking
Negotiated Rulemaking Act
National Technology Transfer and Advancement Act
Office of Management and Budget
Regulatory Information Service Center
Supplemental Notice of Proposed Rulemaking
United States CodeFor Further Information, Contact

NHTSA

International Policy Division
U.S. National Highway Traffic Safety Administration (NHTSA)
1200 New Jersey Avenue SE
Washington, D.C. 20590, United States of America

EPA

Office of Air and Radiation, Transportation and Climate Division
U.S. Environmental Protection Agency (EPA)
1200 Pennsylvania Avenue, NW William Jefferson Clinton North, M/C 6401A
20005 Washington, DC 20460, United States of America

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The Rulemaking Process in the United States of America

The Rulemaking Process in the United States of America- 171 122

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SECTION 8I.

THE EUROPEAN UNION

The European Automotive Industry and the legal Framework of Approval

The automotive industry has long been key to the creation of jobs across Europe. Approximately 12 million Europeans work in
the automotive or mobility sector in the European Union.11 The automotive sector provides jobs and supports livelihoods acrossEurope, and continues to do so in otherwise declining industrial regions: small and medium-sized (SME) suppliers are essential
element of automotive chain. The success of SMEs often brings valuable investment and revenues to communities. In 2016 alone,
fiscal income from motor vehicles in fourteen European Union member States accounted for €395.7 billion.12 As an essential
component of the European Union’s trade agenda it accounts for extra-exports of €135.4 billion in 2016 - a positive trade balanceof €89.7 billion.13 Furthermore it is central to the mobility of citizens and the provision of services. The industry plays a vital role
not only in personal mobility but in the services sector such as public transport, emergency services and distribution of goods inthe private sector. And this is growing: from 2010 to 2050, it is estimated that passenger transport will grow by about 42 per centand freight transport by 60 per cent.14‘Given the vehicle industry’s societal role and economic importance, it interacts with many key areas of European Union policy.
Apart from the obvious link to competitiveness and industrial policy, the automotive sector and mobility more widely, areessential parts of the European Commission’s agenda in a number of areas including the European Union’s Energy Union, themove to a Circular and Low Carbon Economy, the Investment Plan for Europe and the Digital Single Market, as spelled out in the“GEAR 2030” Report.15
In an effort to regularly monitor and evaluate developments in relation to the car industry and also to set up a realistic vision
for this industry in the 2030-2040 perspective, the European Commission launched the “GEAR 2030” stakeholder consultation
process. Through this process, representatives from the automotive industry, trade unions, non-governmental organizations,users, relevant Ministries of the European Union member States, the European Commission and other European Union institutions
can elaborate recommendations on policy actions needed to maintain competitiveness and sustainability of the European Union
automotive industry. Those recommendations enable the European Commission to come up with tailor-made sectorial industrial
policy.
A dedicated sectorial industrial policy comprises also trade aspects where the issue of international technical harmonization
is of key importance. The stakeholder consultation process has, since its creation with CARS 21 and recently with GEAR 2030,
been a strong advocate of international harmonization, stressing “the importance of global technical harmonisation under theUnited Nations Economic Commission for Europe (UNECE) framework as a key factor in strengthening global competitiveness, reducing
redundant development and testing costs and avoiding duplication of administrative procedures.”. The European Commission (EC)therefore continuously increases its involvement in the UNECE technical legislative process, in particular by its work within the
WP.29 and its subsidiary bodies, realising that international harmonization through UN Regulations and UN GTRs concerning theconstruction and functioning of motor vehicles is an essential factor in reducing the regulatory costs for all manufacturers andenhancing competitiveness. The efforts undertaken by the European Commission gradually allow for an alignment of European
Union legislation to the internationally adopted UN Regulations and UN GTRs. The European Union goes even a step further bymaking a more direct link in its own legislation to UN Regulations (see in this respect Regulation (EC) No 661/2009 on the “General
Safety of Motor vehicles). This facilitates international trade and offers at least an equally high level of safety and environmental
protection to European citizens and consumers world-wide.

II.

The European Whole Vehicle Type Approval System (EU WVTA)

When UNECE had already begun the harmonization process for vehicle regulations, European Union members States still had theirown national legislations and type-approval systems for motor vehicles. This resulted in significant differences in requirements

11 According to the ACEA Pocket Guide 2017-2018 based on Eurostat figures, around 3,3 million people work in the manufacturing of motor vehicles
and components, more than 4,3 million people are employed in the wider ‘Automobile Use’ (dealers, repairers and aftermarket service providers),
and more than 5 million are mobility jobs related through transport and road construction activities. Furthermore, according to European
Motorcycles Manufacturers Association (ACEM) Industry Report (2015) the L-category industry is estimated to support about 22600 jobs inmanufacturing in the European Union. The upstream and downstream L-category sectors account for about 133700 jobs.
12 ACEA (2017) The Automobile Industry Pocket Guide
13 Ibid.
14 European Commission Communication: Europe on the Move – COM (2017) 283
15 https://ec.europa.eu/docsroom/documents/26081

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between countries, unilateral accessions to international regulations and diverging implementation dates for new requirements.
Several decades were necessary to reach the current state of legal harmonization for motor vehicle requirements.
Technical harmonization for motor vehicles and their trailers, implemented at European Union level pursuant to Article 114 of
the Treaty on the Functioning of the European Union, is based on the European Union Whole Vehicle Type-Approval system (EUWVTA). Under this system, exclusively applicable for new vehicles, manufacturers can obtain approval for a new vehicle type in
one European Union Member State if it meets the European Union technical requirements, and then market it European Union
wide with no need for further approval tests or checks in other Member States. This approval is granted by a national authority incharge of type-approval. Issuing of a certificate of conformity (CoC) results as the completion of a type-approval examination: the
CoC is in effect a statement by the manufacturer that the vehicle conforms to the relevant legal requirements as stipulated by the
EU WVTA legislation. Registration of a vehicle must be granted on simple presentation of a certificate of conformity.

III. The three pillars of the European Union motor vehicle type approval legislation
The European Union motor vehicle legislation covers three essential areas with regard to whole vehicle type approval:

Motor Vehicles“Motor Vehicle” means any power-driven vehicle which is moved by its own means, having at least
four wheels, being complete, completed or incomplete, with a maximum design speed exceeding
25 km/h.
Examples > passenger cars, buses, light duty trucks, heavy duty trucks, trailers

Agricultural andForestry Vehicles(Tractors)“Tractor” means any motorised, wheeled or tracked agricultural or forestry vehicle having at least twoaxles and a maximum design speed of not less than 6 km/h, the main function of which lies in its tractive
power and which has been especially designed to pull, push, carry and actuate certain interchangeable
equipment designed to perform agricultural or forestry work, or to tow agricultural or forestry trailers orequipment; it may be adapted to carry a load in the context of agricultural or forestry work and/or may
be equipped with one or more passenger seats.
Examples > agricultural and forestry tractors, their trailers, interchangeable towed equipment

2- and 3-wheel vehicles+ Quadricycles”L-category vehicles” cover a wide range of different “Light” vehicle types with two, three or four wheels,
e.g. two- and three-wheel mopeds, two- and three-wheel motorcycles and motorcycles with side-cars.
Examples of four-wheel vehicles, also referred to as quadricycles, are quads and mini-cars.
Examples > motorcycles, scooters, mopeds, tricycles, minicars etc.

IV. Interaction European Union type approval legislation and the UNECE regulatory system
The European Commission disposes of a mandate in order to negotiate new UN Regulations and UN GTRs in the name of all 28
member States. The legal texts of the European Union read that draft UN Regulations and UN GTRs will receive a favourable voteof the Union if the Council of the European Union approves the draft by a qualified majority. An interesting fact to be pointed
out is that in some technical areas where a UNECE requirement co-exists with European Union legislation, a manufacturer canchoose which one to apply. In other areas, UN Regulations/UN GTRs are applicable on a compulsory basis as the corresponding
European Union rules have been repealed.
Reliance on international regulations, as indicated, not only represents a clear commitment of the European Union policy
in support of the competitiveness of the automotive industrial sector, but it is also seen as a key element in support of thedevelopment and deployment of new technologies.

V.

Conclusion/Perspectives

Even though cleaner internal combustion engine will have an important role in the ongoing transformation of the sector,
alternative fuels and propulsion technologies will be increasingly important in the future. Low and zero emission vehicles will
have very low environmental impacts throughout their lifecycle, provided they use low-carbon energy sources, have very low

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air pollutant and noise emissions and can be easily recycled. In its effort to create an economy based on smart and sustainablegrowth, the European Union strongly promotes low and zero emission technologies by encouraging research, setting common
UNECE regulations and developing the international regulatory environment needed to support the shift towards a resource
efficient and low-carbon economy.

VI. Links
1.

Website of the Automotive Industry Unit of the European Commission> https://ec.europa.eu/growth/sectors/automotive_en2.

Legislative Documents regarding the European Automotive Industry sector> https://ec.europa.eu/growth/sectors/automotive/legislation_en

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ANNEX VII
The World Forum Resolutions
M.R.1 Mutual Resolution No. 1 (M.R.1) of the 1958 and the 1998 Agreements
M.R.1 contains descriptions and performance requirements that define test tools and devices necessary for the assessment ofcompliance of wheeled vehicles, equipment and parts according to the technical prescriptions specified in UN Regulations and
UN GTRs in the framework of the 1958 or 1998 Agreements, respectively. It can be used by Contracting Parties and manufacturers
as guidance in establishing the suitability of the test tools and devices that they use for the assessment of compliance with theprescriptions of UN Regulations or UN GTRs. This Resolution is designed to permit the addition of discrete addenda for each andany test tool or device, as appropriate to either Agreement. The essential elements of any addenda are the engineering drawings
that define the tool/device and the associated user manual that is comprised of details on its parts, assembly and disassembly.
Additional tools or devices, and their elements, may be included in the Resolution, subject to the agreement of AC.1 and/or of
AC.3, and as appropriate to the needs of the respective Agreements.
M.R.2 Mutual Resolution No. 2 (M.R.2) of the 1958 and the 1998 Agreements
M.R.2 contains terms, definitions and classifications of vehicle propulsion system definitions, namely those related to powertrainsystem types, energy storage systems, energy convers, auxiliary devices and vehicle definitions related to powertrain configuration.
It builds a framework that ensures consistency for all definitions used in UN Regulations or UN GTRs by providing a general andbasic system, which enables the addition of future technologies at later stages. The level of descriptive classification aims to
support the regulatory process within WP.29, without going into unnecessary details of components which are beyond the scopeof regulations developed as part of the work of the World Forum.
M.R.3 Mutual Resolution No. 3 (M.R.3) of the 1958 and the 1998 Agreements concerning Vehicle Interior Air Quality (VIAQ)
A variety of materials are being used for the construction of the interiors of vehicles. The materials used in the manufacturing of
the vehicle include plastics, adhesives, cleaning products, plasticizers, paint, sealers, lubrication compounds, and many others.
The amount of chemical substances emitted from interior materials may be particularly high, especially during the early stagesof vehicle life. M.R.3 supports the effort to insure that levels of these chemical substances are measured under real exposure
conditions. It outlines the provisions and harmonized test procedure for the measurement of interior emissions, taking into
account existing standards. It will encourage the reduced use of materials, and chemicals that can be harmful to humans. It also
encourages the increased use of emission-friendly materials, improving the air quality inside the passenger cabin.
S.R.1

Special Resolution No. 1 concerning the common definitions of vehicle categories, masses and dimensions (S.R.1)

Due to distinct philosophy differences in vehicle definitions among the regulations of the European Union, Japan and the UnitedStates of America, S.R.1 was developed to establish a set of common, harmonized, definitions of vehicle categories, masses anddimensions to be used in the development of UN GTRs. It applies to all wheeled vehicles, equipment and parts falling within thescope of the 1998 Agreement. Harmonized definitions of categories, masses and dimensions of vehicles help in establishing UN
GTRs that internationally improve the safety and environmental protection features of automobiles, and that reduce development
and manufacturing costs as well as the cost to consumers.
S.R.2

Special Resolution No. 2 concerning the improvement in the implementation of the 1998 Global Agreement (S.R.2)

The purpose of S.R.2 is to provide a framework with which the representatives of WP.29 and other interested stakeholders canwork to improve the implementation of the 1998 Global Agreement. The framework consists of a set of recommendations forstakeholders in each of the three key areas that were identified as critical for the process of developing UN GTRs and in which
participants in the process agreed that there was room for improvement. Those are 1. Project selection strategy for the Programmeof Work, 2. Management of the UN GTR development process, and 3. Adoption process of UN GTRs at the national/regional level.

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ANNEX VII

R.E.3

The World Forum Resolutions

Consolidated Resolution on the Construction of Vehicles (R.E.3)

The aim of R.E.3 is to facilitate harmonization and to support the development of UN Regulations. It is a comprehensive documentthat contains a catalogue of terminology and definitions required to understand the UN regulatory environment for wheeledvehicles, and it provides guidance on the purpose and scope of UN Regulations under the 1958 Agreement. The text contains
general definitions of vehicles and the classification of power-driven vehicles and their trailers. It elaborates on the scope of
the UN Regulations in terms of their bearing on defined vehicle categories. It lists the main requirements (active safety, passive
safety, general safety, environmental considerations) for the construction of vehicles, cross-referencing them with relevant UN
Regulations and recommendations, and with the standard annexes to UN Regulations (reproduced in annexes to this Resolution).
In addition, the Resolution contains, in respective annexes, recommendations on market fuel quality, design principles for control
systems of Advanced Driver Assistance Systems (ADAS), and guidelines on cybersecurity and data protection.
R.E.5

Resolution on the common specification of light source categories (R.E.5)

R.E.5 contains general definitions of basic terminology relevant for Regulations for light sources, specifications of light source inthe form of light source category sheets, and information on which light source categories are applicable or excluded from use
in particular lamps. R.E.5 is intended for reference from and approval of light sources according to Regulation No. 37 – “Filament
light sources”, Regulation No. 99 – “Gas-discharge light sources”, and Regulation No. 128 – “LED light sources”, and it may serve asa reference for other Regulations or standards.
R.E.6

Resolution on the administrative and technical provisions required for carrying out the technical inspections
according to the technical prescriptions specified in Rules annexed to the 1997 Agreement (R.E.6)

R.E.6 was established in recognition of the need to comprehensively define the essential characteristics and performance ofadministrative and technical provisions for the periodic technical inspection regime, and their preparation for use in the regulatory
context. It recommends minimum requirements concerning technical inspection facilities and test equipment, minimum
requirements concerning the competence, training and certification of inspectors as well as requirements for the supervision oftest centres. Contracting Parties can refer to this Resolution when establishing the suitability of their technical inspection regime
to assess compliance of wheeled vehicles with the prescriptions of Rules in the framework of the 1997 Agreement. The Resolution
has been designed to permit the addition of distinct addenda for each and any administrative and technical arrangement, as
appropriate to the Agreement, while further elements may also be included according to the nature of the specific provisions
they may relate to.

The resolutions listed above are available at: https://unece.org/transport/standards/transport/vehicle-regulations-wp29/resolutions

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World Forum For Harmonization of Vehicle Regulations (WP.29)
How it works - How to join it
Revised Fourth Edition

The UNECE World Forum for Harmonization of Vehicle Regulations (WP.29) is a unique worldwide regulatory
forum working within the institutional framework of the UNECE Inland Transport Committee (ITC) as its
subsidiary body.
Three UN Agreements that WP.29 services, adopted in 1958, 1997 and 1998, provide the legal framework
allowing Contracting Parties (member countries) attending the WP.29 sessions to establish regulatory
instruments concerning wheeled vehicles and their equipment:
UN Regulations annexed to the 1958 Agreement contain provisions for vehicles, their systems, parts andequipment, related to safety and environmental performance. They include performance-oriented test
requirements, as well as administrative procedures for type approval, conformity of production and the mutual
recognition of the type approvals granted by Contracting Parties.
UN GTRs associated with the 1998 Agreement contain globally harmonized performance-related requirements
and test procedures. They provide a predictable regulatory framework for the global automotive industry,
consumers and their associations.
UN Rules annexed to the 1997 Agreement concern periodical technical inspections of vehicles in use. Contracting
Parties reciprocally recognize the international inspection certificates granted according to the UN Rules.
Overall, the regulatory framework developed by the World Forum WP.29 allows the market introduction of
innovative vehicle technologies. It continuously improves global vehicle safety, environmental performance,energy consumption, as well as their anti-theft capabilities.
WP.29 established six permanent Working Parties (GRs), its subsidiary bodies, that perform specialized tasks,
and which are attended by delegates with a specific expertise:
•
•
•
•
•
•

Noise and Tyres (GRBP)Lighting and Light-Signalling (GRE)
Pollution and Energy (GRPE)
General Safety Provisions (GRSG)
Passive Safety (GRSP)
Automated and Connected Vehicles (GRVA)

Within its work, WP.29 also establishes Informal Working Groups (IWGs) with a time-limited mandate to address
specific technical issues. These groups report their work to the respective GR or directly to WP.29. This wider
WP.29 creates a network of more than 4,000 experts from governments, private sector, NGOs and academia
from all regions of the world contributing to the technical discussions.
Proposals to WP.29 for new regulatory instruments or for amending existing ones, such as UN Regulations, UN
GTRs and UN Rules, are submitted by the Contracting Parties to one of the UN Agreements administered by
WP.29, through the informal working groups (and their subgroups). They are subsequently discussed by thebodies that the informal working groups report to, the GRs, during one of their sessions, and sometimes by
WP.29 directly. Finally, the proposals are considered during WP.29 sessions for their final approval.

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ISBN 978-92-1-117286-7