GCSFP Study EV Regulations

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GCSFP Study - Regulations on a electric vehicle infrastructure for road traffic

A Study on: _____________________

Analysis of European/German and Chinese

Regulations regarding electric vehicle

infrastructure for road traffic

Commissioned as part of the

German Chinese Sustainable Fuel Partnership (GCSFP) _____________________

Date: 20.12.2010

Project participants:

German project leader:

EnergyAgency.NRW

Stefan GARCHE

Alexandra WOLFF

German project partners:

Centre for Solar Energy and Hydrogen Research (ZSW)

Dr. Harry DRING

Chinese project leader:

CATARC

Jonathan GUO

Jingjing LIANG

Ping YAN

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Executive Summary

This study was carried out within the framework of the German Chinese Sustainable

Fuel Partnership (GCSFP) with the aim of identifying, summarizing and comparing

relevant legal regulations in the area of electric vehicles in Germany/European Union

and China.

This study focuses on the legal framework for an electric vehicle infrastructure in

Europe, Germany and China. Several laws, ordinances and standards were collected

and scanned by lawyers. A majority of the regulations come from the field of

approval, environmental and health and safety law. Amendments and new Directives

and Regulations with respect to the European and German legislation have been

highlighted.

The chapters are dedicated to the legal framework for EV production and

certification, use of EVs, and everything to do with batteries and recharging stations.

Every chapter finishes with a comparison. The last chapter contains

recommendations for the Chinese and German Ministries arising from the study.

Annexed is an overview on the European, German and Chinese legislation, written

for the existing study Analysis of European/German and Chinese Regulations

regarding a hydrogen infrastructure for road traffic1. Furthermore the structure of this

study follows the study on hydrogen.

Besides general provisions like production safety and product liability, the production

of electric vehicles has to fulfil specific requirements in regard to the installation of

industrially manufactured batteries. Given the fact that the parties of this study

emphasise the electrification of vehicles, no significant administrative barriers for

vehicles and charging infrastructure are expected.

1 Analysis of European/German and Chinese Regulations regarding a hydrogen infrastructure for road traffic

Commissioned as part of the German Chinese Sustainable Fuel Partnership (GCSFP), 3 September 2009

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Table of Contents

EXECUTIVE SUMMARY ............................................................................................................................. II

TABLE OF CONTENTS ............................................................................................................................. III

FIGURES ................................................................................................................................................. V

TABLES .................................................................................................................................................. V

LIST OF ABBREVIATIONS / TERMS AND DEFINITIONS ................................................................................. VI

0 PREFACE ........................................................................................................................................ 1

1 ELECTRIC VEHICLE REGULATIONS.................................................................................................... 4

1.1 PRODUCTION AND CERTIFICATION OF ELECTRIC VEHICLES (EV) ........................................................ 6

1.1.1 European Law and UNECE Regulations ........................................................................... 6

1.1.2 German Law .................................................................................................................... 20

1.1.3 Chinese Law .................................................................................................................... 22

1.1.4 Legal Comparison ............................................................................................................ 36

1.2 USE OF VEHICLES, POWER PURCHASE ........................................................................................... 38

1.2.1 Consumer information regarding environment, climate and energy policy ..................... 38

1.2.1.1 European Law .................................................................................................................. 38

1.2.1.2 German Law .................................................................................................................... 40

1.2.1.3 Chinese Law .................................................................................................................... 41

1.2.2 Taxes, Fees and Subsidies .............................................................................................. 45

1.2.2.1 European Law .................................................................................................................. 45

1.2.2.2 German Law .................................................................................................................... 48

1.2.2.3 Chinese Law .................................................................................................................... 52

1.2.3 Air Quality and Noise Pollution ........................................................................................ 56

1.2.3.1 European Law .................................................................................................................. 56

1.2.3.2 German Law .................................................................................................................... 56

1.2.3.3 China ................................................................................................................................ 58

1.2.4 Use of physical structures ................................................................................................ 59

1.2.4.1 European Law .................................................................................................................. 59

1.2.4.2 German Law .................................................................................................................... 60

1.2.4.3 Chinese Law .................................................................................................................... 60


1.3 TRACTION BATTERIES ................................................................................................................... 62

1.3.1 Manufacturing and Disposal ............................................................................................ 63

1.3.1.1 European and UN Law .................................................................................................... 63

1.3.1.2 German Law .................................................................................................................... 69

1.3.1.3 Chinese Law .................................................................................................................... 70

1.3.2 Transportation .................................................................................................................. 72

1.3.2.1 Overview .......................................................................................................................... 72

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1.3.2.2 United Nations Recommendations on the Transport of Dangerous Goods .................... 74

1.3.2.3 Chinese Laws .................................................................................................................. 76

1.3.3 Fire Safety Regulations for Vehicle Batteries .................................................................. 77

1.3.4 Special topics of main emphasis ..................................................................................... 78

1.3.4.1 Producer .......................................................................................................................... 78

1.3.4.2 Classification .................................................................................................................... 80

1.3.4.3 Limitation of hazard materials .......................................................................................... 81

1.3.4.4 Labeling and Information Documents .............................................................................. 82

1.3.4.5 Transportation .................................................................................................................. 86

1.3.4.6 Safety Battery Tests (General) ......................................................................................... 88

1.3.4.7 Take Back (Collection) ..................................................................................................... 90

1.3.4.8 Reuse, recycling, treatment and disposal ........................................................................ 92


1.4 RECHARGING STATIONS FOR VEHICLE BATTERIES ............................................................................ 99

1.4.1 European Law .................................................................................................................. 99

1.4.2 German Law .................................................................................................................. 100

1.4.3 Chinese Law .................................................................................................................. 104

1.4.4 Legal Comparison .......................................................................................................... 105

1.5 STATIONS FOR QUICK CHANGE OF VEHICLE BATTERIES .................................................................. 106

1.5.1 Europe and Germany .................................................................................................... 106

1.5.2 China .............................................................................................................................. 106

1.6 INFORMATION OF THE ENERGY MARKET ....................................................................................... 106

1.6.1 European and German Law ........................................................................................... 106

1.6.2 Chinese Law .................................................................................................................. 107

2 RESULTS, CONCLUSIONS AND RECOMMENDATIONS ....................................................................... 108

2.1 RESULTS AND CONCLUSIONS ....................................................................................................... 108

2.2 RECOMMENDATIONS .....................................................................................................................110

ANNEX 1 - OVERVIEW ON THE LEGAL SYSTEMS ......................................................................................... I

ANNEX 2 - THE STATUS QUO OF THE STANDARD SYSTEM OF CHINESE ELECTRIC VEHICLES ......................... XI

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Figures

Figure 1: High voltage sign, UNECE R-100 ........................................................................... 8

Figure 2: Approval sign according to UNECE-R 100, Annex 1 ............................................... 9

Figure 3: New European Driving Cycle (NEDC) test sequence, UNECE-R 101

Annex VII ............................................................................................................ 11

Figure 4: Classification of ESA for Automotive "e"-mark or other route to approval ...............15

Figure 5: CE-Marking (Communaut Europenne) ...............................................................19

Figure 6: German vehicle approval procedure ......................................................................21

Figure 7: Normative Chinese Test Cycles referring to Annex A of GB 18386 ........................34

Figure 8: China compulsory product certification (CCC) mark for safety (s) ..........................35

Figure 9: Request for information on fuel consumption, specific CO2 emissions

and power consumption (German) ......................................................................38

Figure 10: Automobile Fuel Consumption Labels, Normative Annex .....................................42

Figure 11: Environmental Zone and Fine Particulate Sticker, existing class 4 and

suggested class zero (blue or grey) ....................................................................57

Figure 12: Green Label and Vehicles with Yellow Label ........................................................58

Figure 13: Structure of the transport regulations ...................................................................73

Figure 14: Examples for producers .......................................................................................79

Figure 15: Symbol for separate collection for all batteries and accumulators ......................82

Figure 16: Label of batteries with critical content of Hg, Cd and Pb ......................................83

Figure 17: Label for shipped item .........................................................................................83

Figure 18: The mark of battery pack (Art. 4.1) As per the sign set forth in GB/T

5465.2; GB 2893 and GB 2894 ...........................................................................85

Figure 19: Sign 283 for Recharging Space of Vehicles (Berlin); [Source:

Wikipedia.de] .................................................................................................... 101

Figure 20: Example for plugs (see VDE-AR-E 2623-2-2:2009-10) ...................................... 103

Tables

Table 1: Access Conditions and Appraisal Requirements for New-energy Vehicle

Manufacturers (Annex 2 of the Administrative Rules) .........................................24

Table 2: Division Table of Technology Stages for New Energy Vehicles ...............................28

Table 3: Technical Stage Division Table of New Energy Vehicles ..........................................33

Table 4: Vehicle taxation for BEV and REEV in Germany .....................................................49

Table 5: Vehicle taxation for HEV in Germany ......................................................................49

Table 6: Passenger Cars (SUV included) Consumption Tax Rates Table ..............................55

Table 7: Acceptability of passenger cars in the Eurotunnel according to their fuel

type / power source (including dual fuelled & hybrid vehicles) .............................59

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List of abbreviations / Terms and Definitions

Active driving possible

mode

vehicle mode when application of pressure to the accelerator pedal (or

activation of an equivalent control) or release of the brake system will

cause the electric powertrain to move the vehicle.

Barrier part providing protection against direct contact with the live parts from any

direction of access

BEV Battery Electric Vehicle

BMVBS Federal Minister of Transport, Building and Urban Development

(Bundesministerium fr Verkehr, Bau und Stadtentwicklung)

ccm cubic centimeter

Conductive connection connection using connectors to an external power supply when the RESS

is charged

Direct contact contact of persons or livestock with live parts.

Euro (100 = 940 RMB; November 2010)

EEV Enhanced Environment-friendly Vehicle; vehicle with more than 3,5 t

propelled by an engine which complies with very low emissions

Electric regenerative

braking

braking system which, during deceleration, provides for the conversion of

vehicle kinetic energy into electrical energy.

Electric regenerative

braking control

device which modulates the action of the electric regenerative braking

system

Electrical chassis set made of conductive parts electrically linked together, whose potential is

taken as reference

Electrical circuit assembly of connected live parts which is designed to be electrically

energized in normal operation

Electric energy

conversion system

system that generates and provides electric energy for electric propulsion

Electric powertrain ECE R 100: electrical circuit which includes the traction motor(s), and may

include the RESS, the electric energy conversion system(s), the electronic

converters, the associated wiring harness and connectors, and the

coupling system for charging the RESS

ECE R 101: "Electric powertrain" means a system consisting of one or

more electric energy storage devices (e.g. a battery, electromechanical

flywheel or super capacitor), one or more electric power conditioning

devices and one or more electric machines that convert stored electric

energy to mechanical energy delivered at the wheels for propulsion of the

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vehicle;

Electronic converter device capable of controlling and/or converting electric power for electric

propulsion

ELV end of live vehicle

Enclosure part enclosing the internal units and providing protection against direct

contact from any direction of access

ESA electronic sub system

Exposed conductive part conductive part which can be touched under the provisions of the

protection degree IPXXB, and which may become electrically energized

under isolation failure conditions.

External electric power

supply

alternating current (AC) or direct current (DC) electric power supply

outside of the vehicle

GB Gubio mandatory national standard in China

GB/T Gubio tujin voluntary national standard in China

GG German Constitutional Law (Grundgesetz)

Green vehicle energy-efficient vehicle with less or no emission compared to traditional

vehicles

HEV Hybrid Electric Vehicle: combined conventional internal combustion engine

(ICE) propulsion system with an electric propulsion system (minimum of

one each) and stored energy/power:

- a consumable fuel

- an electrical energy/power storage device (e.g.: battery, capacitor,

flywheel/generator ...)

High Voltage UNECE-R 100: classification of an electric component or circuit, if its

working voltage is > 60 V and 1500 V DC or > 30 V and 1000 V AC

root mean square (rms)

EV Battery Draft: class-B voltage, DC system higher than 60V but lower

than or equal to 1,000V, with reference to GB/T 18384.3-2001.

High voltage bus electrical circuit, including the coupling system for charging the RESS that

operates on high voltage.

HVDC high-voltage, direct current

ICE Internal Combustion Engine: means vehicles powered by an internal

combustion engine only

Indirect contact contact of persons or livestock with exposed conductive parts.

IPXX International Protection Rating Code

first X is for solids, and second X for liquids

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additional letters classify the level of protection against access to

hazardous parts by persons

Live parts conductive part(s) intended to be electrically energized in normal use

Luggage compartment space in the vehicle for luggage accommodation,

bounded by the roof, hood, floor, side walls, as well as by the barrier and

enclosure provided for protecting the powertrain from direct contact with

live parts, being separated from the passenger compartment by the

front bulkhead or the rear bulk head

M1 vehicle Vehicles of category M: Motor vehicles with at least four wheels used for

the carriage of passengers

M1: Vehicles used for the carriage of passengers and comprising no

more than eight seats in addition to the drivers seat

70/156/EEC and GB/T 15089-2001

MIIT Ministry of Industry and Information Technology of P.R.C.

MOST Ministry of Science and Technology, P.R. China

MS EU Member State(s)

NEDC New European Driving Cycle consisting of four repeated ECE-15 driving

cycles and an Extra-Urban driving cycle

NDRC National Development and Reform Commission of P.R.C.

N1 vehicle vehicles of category N: Motor vehicles with at least four wheels used for

the carriage of goods

N1: Vehicles used for the carriage of goods and having a maximum

mass not exceeding 3.5 tons

70/156/EEC and GB/T 15089-2001

Ni-Cd, Ni-MH Nickel-Cadmium, Nickel-Metal Hydride

NOVC not Off-Vehicle Charging, also known as not externally chargeable or HEV

NRW German Federal State North Rhine-Westphalia

OEM Original Equipment Manufacturer, like Daimler or BYD

On-board isolation

resistance monitoring

system

device which monitors the isolation resistance between the high voltage

buses and the electrical chassis.

Open type traction

battery

liquid type battery requiring refilling with water and generating hydrogen

gas released to the atmosphere

OVC Off-Vehicle Charging, also known as externally chargeable or PHEV

Passenger compartment space for occupant accommodation, bounded by the roof, floor, side walls,

doors, window glass, front bulkhead and rear bulkhead, or rear gate, as

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well as by the barriers and enclosures provided for protecting the

powertrain from direct contact with live parts

PHEV Plug-in Hybrid Electric Vehicle, also known as a plug-in hybrid; hybrid

vehicle with rechargeable batteries that can be restored to full charge by

connecting a plug to an external electric power source

[no abbreviation for Parallel Hybrid Electric Vehicle, HEV propulsion

systems which run simultaneously or individually to supply power to run

the vehicle]

Power battery/cell Chinese term for Batteries/Cells in HEV, PHEV and EV

P.R.C. People's Republic of China

Protection degree protection provided by a barrier/enclosure related to the contact with live

parts by a test probe, such as a test finger (IPXXB) or a test wire (IPXXD),

R&TTE Radio and Telecommunications Terminal Equipment

REEV Range-Extended Electric Vehicle, also series hybrid; driven only by

electric traction but with a combustion engine assist.

RESS Rechargeable energy storage system, that provides electric energy for

electric propulsion. Electrical circuit used for charging the RESS from an

external electric power supply including the vehicle inlet.

RMB Renminbi Yuan (100 RMB: 10-11 Euro; November 2010)

Service disconnect device for deactivation of the electrical circuit when conducting checks and

services of the RESS, fuel cell stack, etc.

Solid insulator insulating coating of wiring harnesses provided in

order to cover and protect the live parts against direct contact from any

direction of access; covers for insulating the live parts of connectors, and

varnish or paint for the purpose of insulation.

UNECE R United Nations Economic Commission for Europe; World Forum for

Harmonization of Vehicle Regulations is a Working Party (WP.29)

V2G Vehicle to Grid technology

Vehicle type vehicles which do not differ in such essential aspects as:

(a) installation of the electric powertrain and the galvanically connected

high voltage bus.

(b) nature and type of electric powertrain and the galvanically connected

high voltage components

X


Working voltage highest value of an electrical circuit voltage root mean-

square (rms) specified by the manufacturer, which may occur between any

conductive parts in open circuit conditions or under normal operating

conditions. If the electrical circuit is divided by galvanic isolation, the

working voltage is defined for each divided circuit, respectively.

XtL X to Liquid, where X means synthetic energy carriers like biomass, coal,

gas or petroleum coke

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0 Preface

This study is written in the framework of the German-Chinese Sustainable Fuel

Partnership (GCSFP). Within the scope of the GCSFP Program, founded in

December 2003 by the German Federal Ministry of Transport, Building and Urban

Affairs (BMVBS) and the Chinese Central Ministry of Science and Technology

(MOST), Germany and China agreed to work together at a deeper level on questions

of improving energy efficiency in road transport and the use of alternative and

regenerative fuels.

Besides XtL and biodiesel, energy by electrons has also been considered as a

sustainable fuel in the GCSFP program, which considers both fuel cell electric

vehicles and battery electric vehicles. In a joint Chinese-German H2 & FC Workshop

in Berlin, on 20 25 May 2007, both sides presented their national R&D programs

with the aim of identifying major areas of potential mutual cooperation.

Although the main focus of that workshop was related to H2 vehicles, both sides

were already interested at this stage in cooperation in the field of battery driven

electric vehicles as well. Later this interest for battery EVs expanded continuously

and was highlighted by Sino-German Electro Mobility Workshops dedicated to both

EVs and traction batteries (Shanghai 5 December 2008, Wuhan 16 July 2010).

Furthermore a cooperation between the Chinese model region Wuhan and the

German model region Rhine-Ruhr (NRW) started up in 2010. In accordance with the

talk by BMVBS Minister Peter RAMSAUER und MOST Minister Gang WAN on 12

November 2010 in Berlin the model region cooperation is to be extended.

Though electric vehicles are not a new technology we are now entering a new period

of unprecedented development of this EV technology, caused by the enormous

increase in the battery performance. It is expected that EVs will very soon be

introduced commercially onto the market.

For this market launch both regulations and standards are necessary. This present

study points to the present status of regulations in both countries with the aim of

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seeing whether the regulations are both sufficient for the market launch and allow the

reciprocal import of EVs.

In view of the vigorous nature of the activities in China concerning the formulation

and modification of regulations some of these could only be discussed towards the

end of this study. For that reason Annex 2 presents a list of Chinese Standards within

the current status.

This study will not give final solutions, but will spotlight challenges and give

recommendations for mutual projects in the area of traction batteries and the relevant

infrastructure. Based on these recommendations detailed projects are to be initiated.

Information presented in this study is mainly based on literature studies, conference

materials, internet search, and interviews.

This study primarily covers passenger cars and if possible also buses, trucks and

commercial vehicles. Two- and three-wheeled vehicles are only addressed in

separate main regulations.

For figures and tables taken from the literature the sources are given. All figures and

tables without references are self drawn.

Finally it should be mentioned that EV and battery areas are very dynamic. New

regulations, rules and codes&standards are permanently in the process of

development. The present study summarizes the development so far. Nearly all the

regulations discussed are available from the authors and will be provided on request.

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The following team was responsible for the study:

Germany

Project leader: EnergyAgency.NRW Haroldstr. 4, D-40213 Dsseldorf; Germany, www.energieagentur.nrw.de

Stefan GARCHE, Tel: +49 211 - 866 42 23; [email protected] Alexandra WOLFF; Tel: +49 211 866 42297, [email protected]

Project partner (responsible for batteries): Center for Solar Energy and Hydrogen Research (ZSW) GB 3, Helmholtzstr. 8, D-89081 Ulm, Germany, www.zsw-bw.de

Harry DRING, + 49-731-9530-602, [email protected] China:

Project leader: China Automotive Technology and Research Center (CATARC) Block 7, Phase II, No.188 Western Rd., 4th South Ring Rd. Fengtai District, Beijing 100070, PR China, www.catarc.ac.cn

JiaQiang GUO, [email protected] Jingjing LIANG, [email protected] Ping YAN, [email protected]

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1 Electric Vehicle Regulations

Given the importance of reducing carbon emissions from road transport and the

independence of oil supply, electric cars may well provide a viable alternative to

traditional internal combustion engines using fossil fuels. In order to encourage the

electrification of road transport, it is necessary to eliminate potential regulatory

hurdles and to encourage standardisation activities on both intra- and extra-vehicle

technologies.

An EU Roadmap on Regulations and Standards for electrification of vehicles

describes the state-of-play with regard to regulatory and standardisation activities. A

strategy to eliminate the identified obstacles in a timely manner with the involvement

of all relevant stakeholders considers both the European and international level.

China also has a great interest in pushing forward with the electrification of vehicles.

Many electric vehicle companies are looking to China as the leader of future electric

vehicle implementation around the world. International cooperation and exchange of

technologies and experiences, as mentioned in the Renewable Energy Program, of

China will support this intention. This thesis is outlined thus: The Program will

intensify international exchanges and cooperation for basic research, technological

development, demonstration and application in the field of new and renewable

energy. It will encourage the inclusion of advanced Chinese new energy technologies

on the international exchange platform and the sharing with other countries of the

respective technologies and recourses.

In April 2009, Chinese officials announced their plan to make China the worlds

largest producer of electric vehicles. The Renault-Nissan Alliance works together with

Chinas MIIT to help set up battery recharging networks throughout the city of

Wuhan, the pilot city in the countrys electrical vehicle pilot program. The corporation

plans to have electric vehicles on the market by 2011. According to an April 10, 2009

New York Times article entitled China Outlines Plans for Making Electric Cars

vehicle manufacturers will possess the opportunity to successfully market their cars

to Chinese consumers due to the short and slow commutes that characterize

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Chinese transportation, and to the fact that many first time car-buyers are less

accustomed to the power of gasoline-powered cars, subsequently diminishing the

hindering nature of lower-powered electric vehicles. It reports that China would like to

assist the industry with automotive innovation by launching a program that is worth

as much as 10,000m RMB ($1,460m). In the same article, it also reports that the U.S.

government is providing $25,000m to help cover domestic automobile makers

research costs.

This mutual cooperation between China and Germany is the specific focus within the

framework of the German Chinese Sustainable Fuel Partnership (GCSFP).

The EV regulations contain regulations about production, registration, transportation,

operation, safety, take back, reuse, recycling and disposal. The relevant regulations

are to distinguish between vehicle, battery, charge and swapping stations. Whereas

some regulatory target areas of EVs are covered by general regulations for vehicles,

valid for both ICE and electric vehicles, regulations for batteries and

charging/swapping stations have to be drawn up anew. For these new regulations,

however, general regulations which have applied for some time, e.g. for handling

hazard materials, for environmental protection or recycling, are taken into account.

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1.1 Production and Certification of Electric Vehicles (EV)

1.1.1 European Law and UNECE Regulations

Framework Directive (Directive 2007/46/EC)

With the new Framework Directive (Directive 2007/46/EC2) the legislative framework

for the type approval of motor vehicles has been extended to cover all road vehicles

irrespective of their means of propulsion. Thus it now includes alternative powertrain

vehicles, for example BEVs and HEVs. EVs can be subsumed under article 3 No. 11

motor vehicle or No. 15 hybrid electric vehicle. At the moment there are no specific

technical requirements in the type approval legislation to deal with the specific

characteristics and specific risks of electric vehicles with a view to the protection of

users from electric shock, other safety issues and environmental performance.

However, the proper functioning of the internal market must also be ensured for new

technology vehicles. Thus it is necessary to develop a harmonised approach

regarding the approval requirements of electric vehicles. Drafts therefore exist

amending Annex IV and Annex VI3 and Annex II and Annex VIII4 to Directive

2007/46/EC. Directive 385/2009/EC replaces Annex IX of 2007/46/EC to reflect the

changes to the template of the certificate of conformity.

For two- or three-wheel motor vehicles and quadricycles (class L) Directives

2002/24/EC5 and 97/24/EC6, both amended by several Directives7, are applicable.

2 Directive 2007/46/EC of the European Parliament and of the Council of 5 September 2007 establishing a framework

for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles, OJ L 263, 9.10.2007, pp. 1160. Last amended by Commission Regulations (EU) No 371/2010 of 16 April 2010 replacing Annexes V, X, XV and XVI

to Directive 2007/46/EC of the European Parliament and of the Council establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles (Framework Directive)

3 D010536/03: Draft amending Annexes IV and VI to Directive 2007/46/EC of the European Parliament and of the Council establishing a framework for the approval of motor vehicles and their trailers and of systems, components and separate technical units intended for such vehicles (Framework Directive)

4 Draft replacing Annexes II and VIII to Directive 2007/46/EC of the European Parliament and of the Council establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles

5 Directive 2002/24/EC of the European Parliament and of the Council of 18 March 2002 relating to the type approval of two or three-wheel motor vehicles and repealing Council Directive 92/61/EEC

6 Directive 97/24/EC of the European Parliament and of the Council of 17 June 1997 on certain components and

characteristics of two or three-wheel motor vehicles

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UNECE Regulations

Pursuant to the new Framework Directive (Directive 2007/46/EC), the legislative

framework for type approval of motor vehicles has been extended to cover all road

vehicles. Directive 2007/46/EC provides for the possibility of applying UNECE

Regulations for the purpose of EC vehicle type approval on a compulsory basis. Thus

it also includes alternative powertrain vehicles, such as full electric and hybrid cars.

On June 15 2010 a proposal was published by EC on the compulsory application of

61 UNECE Regulations latest 2014 for the type approval8. In this package most EV-

relevant UNECE Regulations like R 100 and 101 are not named.

UNECE-R 1009 deals with the electric safety of vehicles, but it is not yet applicable to

the EC type approval of vehicles on a mandatory basis. The current version of

UNECE-R 100 applies only to pure electric vehicles, however an electric safety

working group (ELSA) under the Passive Safety Working Party (GRSP) of UNECE

developed a revised version of UNECE-R 100 (series of amendments 01,

ECE/TRANS/ WP.29/2010/52). The proposal aims at ensuring that all EVs marketed

in Europe are constructed according to a common safety standard, at the same time

protecting vehicle users from coming into contact with high voltage parts of the

vehicle. UNECE-R 100 sets out safety requirements for the approval of vehicles

equipped with an electric powertrain (fully electric and hybrid vehicles). Mandating

UNECE-R 100 would ensure simplification of the approval procedure through

harmonized requirements on electric safety. There is a broad support for the

proposal, since harmonized test requirements will simplify the approval of electric

vehicles. Indeed it will replace divergent approval practices of some MSs and hence

will result in substantial savings for manufacturers.

7 http://ec.europa.eu/enterprise/sectors/automotive/documents/directives/directive-2002-24-ec_en.htm and

http://ec.europa.eu/enterprise/sectors/automotive/documents/directives/directive-97-24-ec_en.htm 8 COM(2010)310 final, NLE(2010)0169: Proposal for a Council Decision of [...] on the compulsory application of

Regulations No 1, 3, 4, 6, 7, 8, 10, 11, 12, 13, 13 H, 14, 16, 17, 18, 19, 20, 21, 23, 25, 26, 28, 31, 34, 37, 38, 39, 43,

44, 46, 48, 55, 58, 61, 66, 67, 73, 77, 79, 80, 87, 89, 90, 91, 93, 94, 95, 97, 98, 99, 102, 105, 107, 110, 112, 116, 118, 121, 122, 123 and 125 of the United Nations Economic Commission for Europe for the type approval of motor vehicles, their trailers and systems, components and separate technical units intended therefore.

9 ECE/TRANS/WP.29/2010/52; Proposal 01 series for Regulation No. 100; 22 December 2009.

8


The final adoption of the revised version took place at the WP.29 session in March

2010 and is to become effective in 2010. This extension to existing provisions in

regard to specifications for the electric powertrain to ensure a high level of public

safety in relation to EVs includes terms and definitions and application aspects for the

approval of EVs. It also encompasses provisions for specifications and tests (No.5).

EVs must incorporate protection against electric shock and direct contact. To provide

protection with respect to live parts inside the passenger compartment or luggage

compartment, the protection degree IPXXD must be provided for. In other areas, the

protection degree IPXXB must be adhered to for live parts. High voltage is defined as

>60V and 1500V DC or >30V and 1000V AC root mean square.

Figure 1: High voltage sign, UNECE R-100

The figure above must appear on or near the Rechargeable Energy Storage System

(RESS). Protection with respect to indirect contact and insulation resistance is

required. The batteries must be submitted to hydrogen emission tests (UNECE-R 100

No. 5.1.1.5).

If the approval of this vehicle type is granted, the approval mark is the number

alongside letter E, which is the country code listed in UNECE-R 100 No. 4.4.1. The

approval mark is affixed to the vehicle and may not be not smaller than 8 mm, and it

shows where the road vehicle type concerned has been approved. The number

beside it provides information about the Regulation applied and which series of

amendment.

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Figure 2: Approval sign according to UNECE-R 100, Annex 1

UNECE-R 10 rev. 0310 will be mandatory in all other MSs as from autumn 2010, Art.

12.4. It applies to vehicles, components and separate technical units intended for

installation in these vehicles with a view to electromagnetic compatibility. It covers

requirements regarding the immunity to radiated and conducted disturbances and the

control of unwanted radiated and conducted emissions. The updated mandatory

EMC tests that are required according to ECE Regulation R10.03 include the

following.

- Broadband radiated emission (CISPR 25)

- Narrowband radiated emission (CISPR 25)

- Immunity to electromagnetic radiation (ISO 11451-1, ISO 11451-2, ISO 11451-4)

- Immunity to transient disturbances (ISO 76 7-2)

- Emission of conducted disturbances (ISO 76 7-2)

UNECE-R 1311 and 13H12 regulates braking. Electric regenerative braking systems,

which produce a retarding force upon release of the throttle pedal, is not to generate

a signal mentioned above. The signal is not to be activated by the application of the

service braking system below 4 m/s (or N1 6 m/s). A service braking system is

defined as a braking system that makes it possible to control the movement of the

vehicle and to halt it safely, speedily and effectively, whatever its speed and load, on

any up or down gradient. It must be possible to graduate this braking action.

Assumed an electric regenerative braking system is a service braking system the

braking signal has to flash while recuperating with more than 4 m/s (N1 vehicles 6

10 ECE-R 10/03 (EU O.J.) (final) Approval of vehicles with regard to electromagnetic compatibility 11 E/ECE/324; E/ECE/TRANS/505 Addendum 12: Regulation No. 13 } Rev.1/Add.12/Rev.6 ; 14 January 2008 12 ECE/TRANS/WP.29/2007/3; Proposal for draft amendments to Regulation No. 13-H (Harmonized Braking)

10


m/s). The Appendix of Annex 4 demands procedures for monitoring the state of the

charge of vehicle batteries used for traction and regenerative braking. Annex 14

specializes in trailers with electric braking systems.

UNECE-R 5113 on noise. The vehicle, its motor and muffler have to be structured in a

way that the vehicle conforms to UNECE-R 51 under regular operating conditions.

According to No. 6.2.1.1 of UNECE-R 51, only the driving noise of EVs is to be

controlled, not the noise in stationary state.

EVs have also to comply with the provisions of UNECE-R 8514 concerning the

approval of electric drive trains intended for the propulsion of M and N vehicles with

regard to the net power and the maximum 30 minutes electric power.

UNECE-R 83 as well as UNECE-R 101 are relevant for emissions from EVs.

UNECE-R 8315 provides the approval of vehicles with regard to the emission of

pollutants according to engine fuel requirements. Also HEVs and PHEVs are defined

and specific provisions are made in Annex 14 regarding type approval based on

emission tests. A positive aspect is that the type approval can be extended to

vehicles of the same type following the rules of Art. 7. The decision on this lies with

the technical service in charge of the tests.

UNECE-R 10116 applies, alongside the emission of CO2 and fuel consumption of

ICE, to the measurement of electric energy consumption and electric range of M1

HEVs and PHEVs as well as M1 and N1 BEVs. Electrical energy consumption is

expressed in watt hours per kilometer (Wh/km).

These vehicle tests run in the "New European Driving Cycle (NEDC) as used for

conventional vehicles but the results are "corrected" as a function of the battery

energy balance before and after the NEDC. This means:

13 ECE Regulations 51, Rev.1/Add.50/Rev.1/Amend.4 14 ECE Regulations 85, Rev.1/Add.84/Amend.5 15 ECE Regulation 83, Rev.1/Add.82/Rev.3/Amend.3 16 ECE Regulation 101, Rev.2/Add.100/Rev.2/Amend.2

11


- If the battery is being charged during the NEDC the CO2 result is corrected

proportionally downwards

- If the battery is being discharged during the NEDC the CO2 result is corrected

proportionally upwards

The PHEV tests also run in the NEDC New European Driving Cycle. Two tests are

performed because part of the propulsion energy is external to the grid:

- measurement of CO2 in an NEDC starting with a fully charged battery

- measurement of CO2 in an NEDC starting with a empty battery

In this way the CO2 result (g/km) is independent of the initial battery state of charge

and thus a fair reflection of the actual performance of the hybrid system whose sole

source of energy is the fuel. In addition the total electric driving range is measured,

too.The final CO2 result is a weighted average of both CO2 test results as a function

of the electric driving range and European average distance between two charges

(=25 km).

Figure 3: New European Driving Cycle (NEDC) test sequence, UNECE-R 101 Annex VII

12


EC Regulations

In regard to the EC type approval under Framework Directive 2007/46/EC additional

Directives and Regulations have to be considered:

- The amendments series 01 of UNECE-R 100 are to be adopted by the EU. A

proposal for a Council Decision17 on the compulsory application has already

existed since June 2010. The legal basis of the proposal is Article 34(2) of Directive

2007/46/EC. Following this proposal Amendments 00 of UNECE-R 100 are to

become affective in the EU by 2011 regarding type approval and by 2012 regarding

registration, sale and entry into service of EVs, as well as Amendments 01

regarding type approval by 2013 and registration, sale and entry into service of EVs

by 2014.

- Regulation (EC) 715/200718 of emissions. The regulation establishes common

technical requirements for the type approval of motor vehicles and replacement

parts. It also lays down rules for in-service conformity, durability of pollution control

devices, on-board diagnostics, measurement of fuel consumption and accessibility

of vehicle repair and maintenance information. It is applicable to vehicles with

combustion engines including hybrid vehicles. The definition hybrid vehicle means

a vehicle with at least two different energy converters and two different energy

storage systems (on vehicle) for the purpose of vehicle propulsion. Combined with

UNECE-R 10, limited emissions in regard to energy consumption and range are

provided for.

- Directive 71/320/EEC19 for braking systems. Energy recuperation is not mentioned

in this Directive. UNECE-R 1320 regulates braking. According to UNECE-R 13-H

17 COM(2010)280 final: Proposal for a Council Decision on the compulsory application of Regulation No 100 of the United Nations Economic Commission for Europe for the approval of motor vehicles with regard to electric safety

(2010/0168 (NLE)); Brussels, 15.6.2010 18 Regulation (EC) No 715/2007 of the European Parliament and of the Council of 20 June 2007 on type approval of

motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on

access to vehicle repair and maintenance information, OJ L 171, 29.6.2007, p. 116. 19 Council Directive 71/320/EEC of 26 July 1971 on the approximation of the laws of the MSs relating to the braking

devices of certain categories of motor vehicles and of their trailers, OJ L 202, 6.9.1971, p. 3774. 20

13


electric brakes, brakes with electrical transmission and brakes with energy

recuperation can be approved. Electric regenerative braking systems, which

produce a retarding force upon release of the throttle pedal, may not generate a

signal light. The signal may not be activated by the application of the service

braking system below 4 m/s (or N1 6 m/s). The service braking system defined is

a braking system that makes it possible to control the movement of the vehicle and

to halt it safely, speedily and effectively, whatever its speed and load, on any up or

down gradient. It must be possible to graduate this braking action. Assuming an

electric regenerative braking system is a service braking system the braking signal

has to flash while recuperating with more than 4 m/s (N1 vehicles 6 m/s). The

Appendix of Annex 4 demands procedures for monitoring the state of battery charge

of vehicle batteries used for traction and regenerative braking. Annex 14 specializes

in trailers with electrical braking systems.

- The Directive 2004/108/EC21 applies to a vast range of equipment encompassing

electrical and electronic appliances, systems and installations. The main objective

of the Directive is to guarantee the free movement of apparatus and to create an

acceptable electromagnetic environment in the EU. The level of protection

requested is further specified in this Directive by protection aims in the field of

electromagnetic compatibility.

According to Article 1(4) of this Directive, if the EMC requirements for equipment are

wholly or partly laid down more specifically by other Directives, this Directive shall

not apply, or shall cease to apply, to that equipment in respect to such requirements

from the date of the mandatory application of those Directives.

Specific EMC protection and safety requirements applicable to motor vehicles are

laid down by the EMC Directive 2004/104/EC22, which amends Directive

21 Directive 2004/108/EC of the European Parliament and of the Council of 15 December 2004 on the approximation of the laws of the MSs relating to electromagnetic compatibility and repealing Directive 89/336/EEC, OJ L 390, 31.12.2004, p. 2437.

22 Commission Directive 2004/104/EC of 14 October 2004 adapting to technical progress Council Directive 72/245/EEC relating to the radio interference (electromagnetic compatibility) of vehicles and amending Directive 70/156/EEC on the approximation of the laws of the MSs relating to the type approval of motor vehicles and their

trailers

14


72/245/EEC23 concerning the electromagnetic compatibility of motor vehicles. This

concerns electronic subassemblies (ESAs) and after-market electronic equipment

with respect to to immunity related functions. For such equipment a type approval

following Directive 2004/104/EC is required. No interference should come from the

vehicle or parts of the vehicle. The type approval legislation does not deal with

emissions and immunity during the charging of electric vehicles. This may be

covered by Directive 2006/95/EC24.

The new EMC Directive is a significant improvement over the 1995 Directive

95/54/EC25. It is both clearer in the requirements and test levels. In using

international automotive test standards it brings the test methods for the EU

directive into line with the test configurations used by most automotive OEMs. In

the future translating the results from e-mark testing to an international ISO,

CISPR or VM specification will be much more straightforward.

The last amendment to Directive 72/245/EEC was effected by 2009/19/EC26, which

relates to the electromagnetic compatibility of vehicles and was released in March

2009. The EMC requirements for vehicles and their electric/electronic subassembly

(ESA) included in the EC Directive (e-mark) and ECE Regulation (E-mark) are

technically equivalent again.

23 Council Directive 72/245/EEC of 20 June 1972 on the approximation of the laws of the MSs relating to the suppression of radio interference produced by spark-ignition engines fitted to motor vehicles, OJ L 152, 6.7.1972, p.

1524. 24 See fn 37 25 Commission Directive 95/54/EC of 31 October 1995 adapting to technical progress Council Directive 72/245/EEC

on the approximation of the laws of the Member States relating to the suppression of radio interference produced by spark-ignition engines fitted to motor vehicles

26 Commission Directive 2009/19/EC of 12 March 2009 amending, for the purposes of its adaptation to technical

progress, Council Directive 72/245/EEC relating to the radio interference (electromagnetic compatibility) of vehicles

15


Figure 4: Classification of ESA for Automotive "e"-mark or other route to approval27

Components sold as after-market equipment and intended for installation in motor

vehicles need no type approval under the motor vehicle EMC Directive if they are

not related to immunity-related functions (see Annex I, section 3.2.3 of EMC

Directive). This type of equipment is assessed with the EMC Directive or the R&TTE

Directive 1999/5/EC28 as necessary. It carries the CE marking and an EC

Declaration of Conformity must be issued.

27 Source: AutoEMC.net 28 Directive 1999/5/EC of the European Parliament and of the Council of 9 March 1999 on radio equipment and

telecommunications terminal equipment and the mutual recognition of their conformity

16


- Directive 78/317/EEC29 for defrosting. Requirements are for all vehicles class M1. It

must be considered that no significant motor heat is given off. By analogy these

provisions apply for EVs with combustion heating systems.

- Directive 2001/56/EC30 concerning heating systems. According to number 3.1

annex II, every vehicle must have a heating system within the passenger

compartment. If therefore a combustion heating is specified, the tank for liquid or

gaseous fuel has to comply with the corresponding provisions.

- Directive 70/221/EEC31 of liquid fuel tanks was applicable for liquid tanks and

therefore partly applicable for EVs (just in regard to their heating systems). The

Directive was recently repealed by the Regulation (EC) 661/200932 concerning type

approval requirements for the general safety of motor vehicles. It therefore

regulates the type approval of motor vehicles, their trailers and systems and

separate units intended with regard to their safety. Manufacturers may choose to

apply for type approval with regard to all the systems, and the installation of all the

components and separate technical units covered by this Regulation, or for type

approval with regard to one or more systems and the installation of one or more

components and one or more separate technical units covered by this Regulation.

Type approval in accordance with the UNECE Regulations listed in Annex IV is to

be considered as an EC type approval in accordance with this Regulation and its

implementing measures. Manufacturers must ensure that vehicles are designed,

constructed and assembled so as to minimize the risk of injury to vehicle occupants

and other road users. Provisions for fuel cell vehicles are the subject of Regulation

(EC) 29/2009.

29 Council Directive 78/317/EEC of 21 December 1977 on the approximation of the laws of the MSs relating to the defrosting and demisting systems of glazed surfaces of motor vehicles, OJ L 81, 28.3.1978, p. 2748.

30 Directive 2001/56/EC of the European Parliament and of the Council of 27 September 2001 relating to heating

systems for motor vehicles and their trailers, amending Council Directive 70/156/EEC and repealing Council Directive 78/548/EEC, OJ L 292, 9.11.2001, p. 2140.

31 Council Directive 70/221/EEC of 20 March 1970 on the approximation of the laws of the MSs relating to liquid fuel

tanks and rear protective devices for motor vehicles and their trailers, OJ L 76, 6.4.1970, p. 2324. 32 Regulation (EC) No 661/2009 of the European Parliament and of the Council of 13 July 2009 concerning type

approval requirements for the general safety of motor vehicles, their trailers and systems, components and separate

technical units intended therefor, OJ L 200, 31.7.2009, p. 124.

17


- Noise Level Directive 70/157/EEC33 relating to the permissible sound level and the

exhaust system of motor vehicles combined with UNECE-R 5134. The recent

developments in engine technology make it necessary to define more explicitly the

testing process.

- Directive 80/1268/EEC35 of CO2 emissions. This Directive is only applicable for

vehicles with combustion engines. For EVs provisions of UNECE-R 101 are

applicable regarding energy consumption and range. Directive 80/1269/EEC36 for

motor power is also limited to internal combustion engines.

EVs are not exempted from the Low Voltage Directive 2006/95/EC37. For this reason

the provisions are also to be transferred to electric vehicles.

Hybrid EVs containing fuel cells have to be in line with Regulation (EC) 79/200938. It

contains general provisions for the testing methods for hydrogen vehicles of the

category M and N. It is mandatory for all MSs. It lays down fundamental provisions

regarding requirements for the type approval of motor vehicles with regard to

hydrogen propulsion, for the type approval of hydrogen components and hydrogen

systems and for the installation of such components and systems. This Regulation is

a separate one for the purposes of the Community type approval procedure provided

for in Directive 2007/46/EC establishing a framework for the approval of motor

vehicles and their trailers, and of systems, components and separate technical units

intended for such vehicles.

Vehicles which are granted an approval for small series are able to obtain a reduction

of restrictions according to Art. 23 of Directive 2007/46/EC. For individual approvals

33 Council Directive 70/157/EEC of 6 February 1970 on the approximation of the laws of the MSs relating to the permissible sound level and the exhaust system of motor vehicles, OJ L 42, 23.2.1970, p. 1620.

34 See fn. 13 35 Council Directive 80/1268/EEC of 16 December 1980 on the approximation of the laws of the MSs relating to the fuel

consumption of motor vehicles, OJ L 375, 31.12.1980, p. 3645. 36 Directive 80/1269/EEC of 16 December 1980 on the approximation of the laws of the MSs relating to the engine

power of motor vehicles 37 Directive 2006/95/EC of the European Parliament and of the Council of 12 December 2006 on the harmonisation of

the laws of MSs relating to electrical equipment designed for use within certain voltage limits, OJ L 374, 27.12.2006, p. 1019.

38 Regulation (EC) No 79/2009 of the European Parliament and of the Council of 14 January 2009 on type approval of

hydrogen-powered motor vehicles, and amending Directive 2007/46/EC, OJ L 35, 4.2.2009, p. 3246.

18


MSs may exempt a particular vehicle, whether unique or not, from compliance with

one or more of the provisions of this Directive or with one or more of the regulatory

acts listed in Annex IV or Annex XI, provided that they impose alternative

requirements.

However, some of the separate Directives in the context of the Community type

approval procedure under Directive 2007/46/EC or some of their requirements will

not apply to hydrogen-powered vehicles, since the technical characteristics of

hydrogen-powered vehicles differ significantly from conventional ones, for which

these type approval Directives were essentially designed. Pending the amendment of

those Directives to include specific provisions and test procedures on hydrogen-

powered vehicles, it is necessary to set out transitional provisions in order to exempt

hydrogen-powered vehicles from these Directives or some of their requirements.

Manufacturers will be able to apply for the EC whole-vehicle type approval of

hydrogen-powered vehicles on a voluntary basis. The manufacturer must provide to

the type approval authority the information set out in Annexes of Regulation (EC)

406/201039. This Regulation supplements Regulation (EC) No 79/2009 by specifying

the precise definitions of terms such as hydrogen sensor, filling cycle, fitting or

hydrogen filter. It also lays down administrative provisions for the EC type approval

of a vehicle with regard to hydrogen propulsion, and administrative provisions for the

EC component type approval of hydrogen components and systems.

The European CE Marking of products is intended to support the free movement of

goods within the European Economic Area. All products that bear CE marking must

comply with all provisions of the applicable directives. Where a product carries

appropriate CE marking, the member countries of the European Economic Area must

allow the product to be placed on the market.

CE Marking directives cover many product areas. Some of the relevant CE marking

directives are:

39 Commission Regulation (EC) No 406/2010 of 26 April 2010 implementing Regulation (EC) No 79/2009 of the

European Parliament and of the Council on type approval of hydrogen-powered motor vehicles

19


Low Voltage Directive 73/23/EEC (amended 93/68/EEC)

Electromagnetic Compatibility 89/336/EEC (amended 92/31/EEC, 93/68/EEC,

98/13/EC)

Machinery 98/37/EC (amended 98/79/EC)

Figure 5: CE Marking (Communaut Europenne)

Note: Some products have a CE symbol that has been alleged to stand for China Export and is

confusingly very similar to the E.U.'s CE mark. The two letters are close together, not spaced as in the

European conformance mark.

The Commission of the EU announced in April 201040 that they by working together

with international partners at the UNECE will:

- propose electric safety requirements for vehicle type approval in 2010;

- review all type approval requirements covered by Directive 2007/46/EC by 2011;

- review crash safety requirements and consider whether the quietness of these

vehicles is potentially dangerous to vulnerable road users by 2012.

Non-vehicle engine type approval

In order to reduce air pollution caused by the engines of non-road mobile

machinery, Directive 97/68/EC41 specifies acceptable emission standards and

40 http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2010:0186:FIN:EN:HTML

20


certification procedures for these engines. Non-road mobile machinery means any

mobile machine, transportable industrial equipment or vehicle with or without

bodywork that is not intended for use to carry goods or passengers on the road, in

which an internal combustion engine is installed, for example excavators and other

construction equipment, locomotives and inland waterway vessels. Approvals

granted in accordance with Directive 2005/55/EC42 are accepted. EVs are not

covered by this Directive.

1.1.2 German Law

The holder of an EC type approval of vehicles can be sure of the validity in the EU

and the European Economic Area. The manufacturer has the advantage that its

products can be sold in all MSs, without undergoing other national approval

procedures. In Germany the EC type approval of vehicles is regulated by the EG-

FGV43. It refers to Directive 2007/46/EC and 2002/24/EC and it is applicable for all

vehicles of classes M, N and O. This means that for vehicles in mass production

national approval is no longer necessary.

For non-EC type approved vehicles manufactured or built in series general approval

can be granted, 20 StVZO. Not unimportant is 21a StVZO which allows the

recognition of permits and approvals on the basis of international agreements and

acts of the EC.

For other vehicles 21 StVZO44 is relevant if vehicles are not type approved. In that

case the approval authority deals with the request.

41 Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the MSs relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery, amended by Directive 2001/63/EC, 2002/88/EC,

2004/26/EC and 2006/105/EC 42 See fn. 56 43 Verordnung ber die EG-Genehmigung fr Kraftfahrzeuge und ihre Anhnger sowie fr Systeme, Bauteile und

selbstndige technische Einheiten fr diese Fahrzeuge (EG-Fahrzeuggenehmigungsverordnung EGFGV vom 21. April 2009 (BGBl. I S. 872, 873)"

44 Straenverkehrs-Zulassungs-Ordnung of 28. September 1988 (BGBl. I S. 1793), last amended by Art. 3 of this

Regulation of 21. April 2009 (BGBl. I S. 872)

21


Figure 6: German vehicle approval procedure

The Federal Motor Transport Authority deals with all matters regarding approval of

vehicles, parts and systems and the use in road traffic. This authority recommends

controlling safety requirements according to the UNECE-R 100. Designated test

laboratories for technical service regarding (ECE) approval are listed by this authority.

UNECE-R 10 is already mandatory in Germany.

22


1.1.3 Chinese Law

To enhance the production and development of better vehicles, the 2007

Administration Rules on Access to the Production of New-Energy Vehicles45

() was enacted in 2007 by NDRC. Automobile enterprises

applying to manufacture new-energy vehicles powered by new energies should have

adequate research, production and after-sales service capacities and need to ensure

the reliability of the vehicles. The definition new energy includes hybrid electric

vehicles (HEVs), pure electric vehicles (BEVs, including solar-powered car), fuel cell

electric vehicles (FCEVs) other new sources (such as super capacitors, flywheel

energy storage devices such as high-performance) automobiles. The Regulation

applies to manufacturers producing and selling new-energy vehicles. It refers to

vehicles using irregular fuels as power sources. The Regulation contains provisions

for the classification for new-energy vehicles, qualifications of new-energy automobile

production as well as management for enterprises and products.

In addition MIIT implemented in China framework provisions called 2009

Administrative Rules on Access for New-energy Vehicle Manufacturers and

Products46. These Rules (No. 44 of GCY [2009]) are valid from July 1, 2009. As

compared with the Administrative Rules 2007, the content of these rules is more

specific on the conditions of approval for new-energy vehicle products. Both

authorities claim to be responsible for the access administration for new-energy

vehicle manufacturers and products, and the rules of 2009 do not refer to the rules of

2007. In these rules the use of lead-acid battery hybrid passenger cars, pure electric

and pure electric passenger cars, commercial vehicles, and the use of metal hydride

nickel-powered hybrid vehicles is classified as relating to mature products.

One highlight of the Rules 2009 lies in clear definitions of three conditions of

approval: compliance with a series of standards regarding safety, environmental

45 Administration Rules on Access to the Production of New-Energy Vehicles, promulgated by the National

Development and Reform Commission of the P.R.C., 2007.11.01. 46 MIIT of P.R. of China Announcement No. 44 of GCY [2009]

Administrative Rules on Access for New-energy Vehicle Manufacturers and Products. These Rules come into force

on July 1st of 2009: http://www.miit.gov.cn/n11293472/n11293832/n11294057/n11302390/12427300.html

23


protection, energy saving, theft proofing, etc., the passing of some quality tests and

no infringement of intellectual property rights.

Production Conditions:

The manufacturer:

- must conform to the provisions of relevant national laws, statutes, regulations and

national policies for the development of the automobile industry and national

macroeconomic regulatory policies;

- should be a vehicle manufacturer or a manufacturer of modified commercial

vehicles in the Proclamation; for a newly-built automobile enterprise or an existing

automobile enterprise producing other types of new energy vehicles, it should go

through the approval or registration formalities of the project according to relevant

national provisions of investment management in advance.

- have the necessary capacity of and the necessary conditions for producing new-

energy automobile products;

- have the capacity of researching and designing new energy automobile products;

- have the capacity of ensuring the production consistency of new-energy

automobile products;

- have the capacity of sales and after-sales services of new-energy automobile

products;

- establish the purchase system of parts and components adaptable to new-energy

automobile products produced;

- Vehicle products should meet the requirements of relevant national standards and

industrial standards, technical criteria, and vehicle product approval test

procedures, and the exclusive technical conditions and inspection criteria

adaptable to new-energy automobiles;

24


Table 1: Access Conditions and Appraisal Requirements for New-energy Vehicle Manufacturers

(Annex 2 of the Administrative Rules)

I Manufacturing capability and conditions

1 Manufacturer shall have necessary production site, storage site or facilities,

as well as appropriate, neat production environment.

2* The processing precision and capability of production equipment shall match

the features of product.

Special facilities, tooling and tools necessary for new-energy vehicle

production are required, safety protection measurements should be laid

down and carried out. If necessary, a charger is needed.

II Design and development capability

3 Manufacturer shall set up the product R&D body responsible for the

activities in the design and development of new-energy vehicles. The

professionals shall be capable of performing the design and development

work, promptly follow up both local and foreign latest developments

regarding new-energy vehicle technologies, be able to follow up, evaluate

and transform national and professional technical standards and regulations,

and be able to accomplish system development, complete vehicle matching,

and other activities.

4 Manufacturer shall establish the product design and development flow

adapted to the enterprise itself as well as the design specifications and job

instructions intended for directing concrete design work; as a minimum, this

must cover the entire design course of proprietary product and complete

vehicle, management of technical documents, standardization, etc.; in

addition they must be capable of being applied in actual work.

The process of design and development should be similar to that of

conventional vehicles, focusing on the steps and requirements concerning

design and development of new-energy vehicles.

The design criteria shall guide the design and evaluation of the self-

produced and refitted new-energy vehicles, R&D and validation of

purchased assembly function and performance; this must include as a

minimum the complete vehicle control, motor control, transmission and

power coupling control, onboard energy management, onboard recharger

management, communication and data exchange system and subsystem.

5* Manufacturer shall possess the core technology of at least one of the

following three systems: on-board energy system, power transmission

system, and control system of the new-energy vehicle.

Manufacturer shall be fully familiar with and master the core technology:

technical principle, structure, function and performance requirements,

control method, communication and data exchange, failure mode, security

risk, evaluation test and diagnosis and solution of main default patterns.

Manufacturer shall also understand and determine the boundary division

25


and interface definition of control system, onboard energy system AND

driving system.

The manufacturer should have the intellectual property right to the core

technology (including as a minimum modification right and usufruct of

design).

6* Manufacturer shall have the pilot production capability adapted to the

complete vehicle, systems and critical assemblies of the new-energy vehicle

to be manufactured, including test validation adapted to self-research of the

manufacturer.

7 The design & development input for the product and manufacturing process

shall be sufficient and appropriate; the design & development output for

product and manufacturing process shall be put forward in a way that

verification can be conducted specifically with consideration of the design

input, which shall be reviewed, demonstrated and confirmed, and related

records shall be retained.

8 Prior to execution of a design amendment of the product and manufacturing

process (including any amendment arising from the supplier), review

(including reviewing the effects of the design amendment on product

constituents and the delivered products), demonstration and approval shall

be conducted again; if appropriate, the customers consent shall be

obtained; in addition, the requirements for conformity of production and

product traceability shall be met.

III Capability in assuring conformity of production

9 The staff involved in product quality shall have the corresponding capability

and operate strictly in accordance with procedural documents, job

instructions or relevant process documents.

It is necessary to establish and implement the staff capability evaluation &

appraisal system, and retain appropriate records.

10 Documented inspection rules or inspection job instructions shall be

developed for the important receiving inspection, process inspection and

final inspection; inspections and demonstration shall be carried out as per

the stipulated items, approaches, frequency and limit values; particular

attention shall be paid to the compliance with safety, environmental

protection and energy conservation regulations, the special requirements of

clients, and the requirements for testing items specific to new-energy

vehicles.

As for key and special processes, the operation instruction shall be

developed, clear-cut process requirements and control method shall be

made available, the operation shall be normalized, and process surveillance

and measurement shall be implemented.

11 The inspection equipment for electrical performance and safety, temperature

measurement and dangerous gas concentrations of the power battery

system and drive motor and safety test line for the completed vehicles are

required.

26


Testing of the performance of the control system and its subsystem, at least

including function and performance of controller hardware and software

(control unit), is required.

Testing the performance of the main function and performance with regard

to new energy vehicles, at least including power performance and economy

(energy consumption), is required.

12 It is required that the entire product traceability system be established from

the suppliers of key components and assemblies to the delivery of the

complete vehicle. In the case of any serious common-nature issues

regarding product quality, safety, environmental protection, and energy

conservation, the cause should be ascertained quickly and the recall scope

can then be decided; if customer requests spare parts, the technical status

of the spare part concerned must be capable of being determined quickly.

13* Products (complete vehicle, components and assemblies) shall conform to

the national compulsory standards and verified technical norms; the

products to enter the formal manufacturing stage shall also meet the

requirements for conformity of production.

In the case of any big change regarding manufacturers capacity in assuring

conformity of production (including staff capability, manufacturing/inspection

equipment, procured raw materials, components, assemblies and their

suppliers, manufacturing technology, work environment, management

system, etc.), sufficient evidence shall be made available to prove that the

original requirements can be still met.

IV Product sales and after-sales services

14 It is required that the complete, documented management systems on sales

and after-sales services be established, including personnel training

(manufacturers staff, contracted sales and repair personnel, customers, or

staff of using entity), construction of sales and after-sales service network,

supply of repair services, supply of spare parts, handling of claims, feedback

of information, recall of complete vehicle, recovery of complete vehicle and

components (e.g., battery), client management, etc.; in addition

manufacturer shall be capable of implementing such systems.

It shall be noted that the requirements for sales and construction of after-

sales service network shall apply to the products of the mature stage only.

15 Repair services and supply of spare parts shall meet all customers

requirements; it shall be assured that, in the life cycle of the product,

customers can obtain reliable spare parts, repair and consulting services

within the specified time limits as committed by the manufacturer.

After-service system should be capable of controlling defect detection of

systems and subsystems and maintenance, both independently of or in

cooperation with suppliers to complete the after-service items in the same

way as those for conservative vehicles. It should be also capable of

performing basic defect detection and replacements for onboard energy,

driving system, onboard charger and other systems and assemblies.

27


As for the products at the start-up and growth stages, the commitments

regarding after-sales services shall be sufficient and appropriate, and this

shall be definitely communicated to each party and shall be strictly

implemented.

16 It is necessary to establish such a mechanism that quality-related

information can be fed back promptly.

As for the products at start-up and growth stages, manufacturer shall set up

an archive for every vehicle, in addition to a regular follow-up and quality

information management system relating to it.

V Components purchase management

17 It is necessary to set up a component purchase and management system,

and define the evaluation criteria for evaluating and selecting suppliers and

purchasing from the qualified suppliers. The evaluation covers product

safety, quality management system, technology, manufacture and inspection

capability of suppliers. The relevant records shall be kept.

The enterprise for new-energy vehicles which is producing products in the starting

and development period should offer after-sales services to users according to the

pledges regarding after-sales services; it should establish a corresponding file for

each vehicle and track the operation of the vehicle until the vehicle goes out of

service or becomes unusable (Art. 16).

The enterprise which is producing products in starting and development period

should complete the quarterly model operation report together with the user, and

submit it to the MIIT.

If the enterprise for new-energy vehicles finds any serious problem that affect the

safety, environmental protection and energy conservation of any of its products, it

should immediately stop production and sales and make due rectification within a

time limit. It must then make a timely report to the MIIT and the provincial department

in charge of industry and information technology in the place where the product is

used (Art. 17).

The enterprise which has obtained the qualification as a manufacturer of electric

vehicle can apply for the homologation of new-energy vehicle products.

The product certification stipulations include:

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- Products must meet the relevant standards and regulations concerning safety,

environmental protection, energy conservation and prevention of theft.

- Products must have passed the inspection by a testing organ appointed by the

MIIT (hereinafter referred to as testing organ). New-energy vehicles need to meet

not only standards for traditional vehicles but also exclusive standards for new-

energy vehicle products, shown in the table.

- Products must not infringe the intellectual property rights of third parties.

In the Rules 2009 a series of important standards regarding safety, environmental

protection, energy saving etc. was implemented. This list is as follows and the main

contents, if known, are explained in italics.

Table 2: Division Table of Technology Stages for New Energy Vehicles (applicable prior to December 31 of 2010; Annex 1 of the Administrative Rules)

Serial no.

Standard number Standard name

1 GB/T 4094.2-2005

Marks of Controllers, Indicators and Signal Devices of Electric Vehicles This standard specifies basic requirements for electric vehicle, regarding symbols for controls, indicators and tell-tales, and colours for tell-tales. (based on ISO 2575:2000/Amd.4:2001; JEVS Z 804:1998)

2 GB/T 18384.1-200147

Part One of Safety Requirements for Electric Vehicles: Vehicle-borne Energy Storing Device

Part Two of Safety Requirements for Electric Vehicles: Function Safety and Failure Emergency Protection

Part Three of Safety Requirements for Electric Vehicles: Personnel Electric Shock Emergency Protection

This standard specifies the safety specification for on-board energy storage of the electric vehicle propulsion system to ensure the safety of users and vehicle env

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