• The approval authority of a Contracting Party shall verify — before granting UN type approval — the existence of satisfactory arrangements and proce­dures for ensuring effective control so that wheeled vehicles, equipment or parts when in production conform to the approved type.
• Guidance for conducting assessments may be found in the international stan­dard ISO 19011:2011 — Guidelines for auditing management systems.
• The requirement in paragraph 1.1 shall be verified to the satisfaction of the authority granting UN type approval.  The approval authority granting UN type approval shall be satisfied with the initial assessment and the product con­formity arrangements in section 2 below, taking into account as necessary one of the arrangements described in paragraphs 1.3.1 to 1.3.3, or a combi­nation of those arrangements in full or in part as appropriate.
  • The actual initial assessment and/or verification of product confor­mity arrangements shall be carried out by the approval authority granting UN type approval or by a technical service designated to act on behalf of that approval authority.
    • When considering the extent of the initial assessment to be carried out, the approval authority may take account of available information relating to:
      • The manufacturer's certification described in para­graph 1.3.3 below, which has not been qualified or recognized under that paragraph;
      • In the case of UN type approval of equipment or parts, quality system assessments performed by vehicle manufacturer(s), in the premises of the manufacturer(s) of the equipment or parts, accor­ding to one or more of the industry sector specifi­cations satisfying the requirements in the interna­tional standard ISO 9001:2008.
  • The actual initial assessment and/or verification of product confor­mity arrangements may also be carried out by the approval autho­rity of another Contracting Party, or the technical service designated for this purpose by the latter approval authority, provided this Con­tracting Party applies at least the same UN Regulations upon which the UN type approval has been based.
    • In such a case, the approval authority of the other Con­tracting Party shall prepare a statement of compliance out­lining the areas and production facilities it has covered as relevant to the product(s) to be type approved and to the UN Regulations according to which these products are to be type approved.
    • On receiving an application for a compliance statement from the approval authority of a Contracting Party grant­ing UN type approval, the approval authority of another Contracting Party shall send forthwith the statement of compliance or advise that it is not in a position to provide such a statement.
    • The statement of compliance shall include at least the fol­lowing:
      • Group or company (e.g. XYZ Automotive);
      • Particular organization (e.g. Regional division);
      • Plants/sites (e.g. Engine plant 1 (in country A) — Vehicle plant 2 (in country B));
      • Vehicle/Component range (e.g. all category M1 models);
      • Areas assessed (e.g. Engine assembly, body pres­sing and assembly, vehicle assembly);
      • Documents examined (e.g. Company and site qua­lity manual and procedures);
      • Date of the assessment (e.g. Audit conducted from dd/mm/yyyy to dd/mm/yyyy);
      • 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 equi­valent accreditation standard as satisfying the initial assessment requirements of paragraph 1.1.  The manufacturer shall provide de­tails of the certification and undertake to inform the approval autho­rity of any revisions to its validity or scope of that certification.
• 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.

• 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.
• The approval authority of a Contracting Party granting a type approval pur­suant to a UN Regulation annexed to the 1958 Agreement shall verify the existence of adequate arrangements and documented control plans, to be agreed with the manufacturer for each approval, to carry out at specified intervals those tests or associated checks necessary to verify continued con­formity with the approved type, including, specifically, where applicable, tests specified in the said UN Regulation.
• The holder of the UN type approval shall, in particular:
  • Ensure the existence and application of procedures for effective con­trol of the conformity of products (wheeled vehicles, equipment or parts) to the approved type;
  • Have access to the testing or other appropriate equipment neces­sary for checking the conformity to each approved type;
  • 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;
  • Analyse the results of each type of test or check, in order to verify and ensure the stability of the product characteristics, making allow­ance for variation of an industrial production;
  • Ensure that for each type of product, at least the checks prescribed in this Schedule and the tests prescribed in the applicable UN Regu­lations are carried out;
  • Ensure that any set of samples or test pieces giving evidence of non-conformity in the type of test in question gives rise to a further sampling and test.  All the necessary steps shall be taken to restore conformity of the corresponding production.

• The authority which has granted UN type approval may at any time verify the conformity control methods applied in each production facility.
  • The normal arrangements shall be to monitor the continued effecti­veness of the procedures laid down in paragraphs 1 and 2 (initial assessment and product conformity arrangements) of this Schedule.
    • Surveillance activities carried out by the technical services (qualified or recognized as required in paragraphs 1.3.1 and 1.3.2) shall be accepted as satisfying the require­ments of paragraph 3.1.1 concerning the procedures estab­lished at the initial assessment.
    • The normal frequency of these verifications by the appro­val authority (other than those referred to in paragraph 3.1.1.1) shall be such as to ensure that the relevant con­trols applied in accordance with paragraphs 1 and 2 of this Schedule are reviewed at intervals based on a risk assess­ment methodology consistent with the international stan­dard ISO 31000:2009 — Risk Management — Principles and guidelines and, in all cases, with a minimum frequency of once every three years.  This methodology should take particular account of any nonconformity raised by Con­tracting Parties under Article 4 of the 1958 Agreement.
• 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.
• The inspector may select samples at random to be tested in the manufac­turer's laboratory or in the facilities of the technical service.  In such a case only physical tests shall be carried out.  The minimum number of samples may be determined according to the results of the manufacturer's own veri­fication.
• Where the level of control appears unsatisfactory, or when it seems neces­sary to verify the validity of the tests carried out in application of paragraph 3.3, the inspector shall select samples to be sent to the technical service to perform physical tests.
• Where unsatisfactory results are found during an inspection or a monitoring review, the approval authority shall ensure that all necessary steps are taken to restore conformity of production as rapidly as possible.

• The manufacturer holding a UN type approval for their vehicle, equipment or part shall inform without delay the Contracting Party that issued the UN type approval of any change in the particulars of the type as recorded in the information referred to in paragraph 1.3.
• The Contracting Party shall decide which of the two procedures to amend the UN type approval as laid down in paragraphs 2.5 and 2.6 is to be follo­wed.  Where necessary, the Contracting Party may decide, in consultation with the manufacturer that a new UN type approval may need to be granted.
• An application for amending a UN type approval may only be submitted to the Contracting Party that issued the original UN type approval.
• 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.
• When particulars of the type as recorded in the information documents and test reports have changed and the Contracting Party considers that the changes are unlikely to have an appreciable adverse effect on the environ­mental and/or functional safety performance, and that in any case the type still complies with the requirements of the UN Regulations concerned, the modification of the UN type approval shall be designated as a «revision».

  In such a case, the Contracting Party shall issue the revised pages of the information documents and test reports as necessary, marking each revised page to show clearly the nature of the modification and the date of re-issue. A consolidated, updated version of the information documents and test reports, accompanied by a detailed description of the modification, shall be deemed to meet this requirement.

• 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:
  • Further inspections or tests are required; or
  • Any information on the communication document (with the exception of its attachments) has changed; or
  • 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.
• Confirmation or refusal of amending the UN type approval, specifying the alterations, shall be communicated to the Contracting Parties to the 1958 Agreement applying the UN Regulation by means of a communication form. In addition, the index to the information documents and to the test reports, attached to the communication document, shall be amended accordingly to show the date of the most recent revision or extension.
• 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.

• The definition of the sections for all UN Regulations, except UN Regulation No. 0 on International Whole Vehicle Type Approval, is:

  Section 1:	The capital letter «E» followed by the distinguishing number of the Contracting Party which has granted the type appro­val.
  Section 2:	The number of the relevant UN Regulation, followed by the letter «R», successively followed by: Two digits (with leading zeros as applicable) indicat­ing the series of amendments incorporating the tech­nical provisions of the UN Regulation applied to the approval (00 for the UN Regulation in its original form); A slash and two digits (with leading zeros as appli­cable) indicating the number of supplement to the series of amendments applied to the approval (00 for the series of amendment in its original form); 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.

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

In situations where different interpretations exist between Contracting Parties but subsequent to an approval being issued the following procedures shall be followed.

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

• In the event of an error being acknowledged by an approval authority, the approval authority shall take an action in accordance with the provisions of the 1958 Agreement, and in particular its Article 4.
• Where agreement is reached which necessitates a new or different inter­pretation of existing practice (by either Contracting Party), then this shall be communicated to other Contracting Parties applying the UN Regulation concerned as a matter of urgency.  The other Parties shall have fourteen days to comment upon the decision, following which the approval authori­ties, having taken account of any comments received, can issue UN type approvals in accordance with the new interpretation.
• Where agreement cannot be reached, then the Contracting Parties concer­ned shall seek further review by the arbitration process described in para­graph 3 below.
• In any event, the matter shall be brought to the attention of the competent Working Party subsidiary to the World Forum for Harmonization of Vehicle Regulations (WP.29).  If deemed necessary, the subsidiary Working Party shall submit to WP.29 proposals for suitable regulatory amendments aimed at resolving the difference of interpretations.

The Chairs of the subsidiary Working Parties shall identify the issues arising from diverging interpretations between Contracting Parties in relation to the application of UN Regulations and the granting of UN type approvals pursuant to these UN Regulations, with a view to put in place measures at the earliest opportunity to resolve the different interpretations.

The Chairs of the Working Parties will develop suitable procedures to deal with such interpretation issues, in order to be able to demonstrate to WP.29 that:

• 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;
• Decisions are based upon appropriate technical advice, taking full account of the subject area;
• Wherever possible, an unanimous decision is reached; and
• Procedures are transparent and auditable.

If necessary to resolve the issue, the Chair may submit a new agenda item on the issue to the next available session of the subsidiary Working Party, without ob­taining prior approval from WP.29.  In these circumstances, the Chair shall report on the progress to WP.29 at the earliest opportunity.

At the end of the arbitration process, the Chair shall provide a report to WP.29.

• 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.

• 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.

• The reasons why the technologies or concept concerned make the vehicle, equipment or part incompatible with the requirements of the UN Regula­tion;
• A description of the safety, environmental or other considerations and the measures taken;
• 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;
• A request for authorization to grant an exemption approval to the UN Regu­lation for the type of vehicle, equipment or part.

As from the date of that notification the Contracting Party referred to in para­graph 3 of this Schedule may then deliver the exemption approval pursuant to the UN Regulation.  The exemption approval shall be accepted by the Contracting Par­ties applying the UN Regulation, with the exception of those who have notified their disagreement, or their intention not to accept the exemption approval imme­diately, to the Executive Secretary of the United Nations Economic Commission for Europe.  The Contracting Parties which have notified their disagreement, or their intention not to accept the exemption appro­val immediately, with the authorization by the Administrative Committee may at a later date accept the exemption approval by notifying the Executive Secretary of the United Nations Economic Commission for Europe of their decision.

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.

The Contracting Party authorized to grant the exemption approval shall submit to the subsidiary Working Party responsible for the UN Regulation a proposal to amend the UN Regulation for which the exemption approval was requested, in order to adapt it to the technological development.  This submission shall be made not later than by the next session of the subsidiary Working Party following the notification of the Administrative Committee authorization decision according to paragraph 6 of this Schedule.

• Mathematical model

  The mathematical model shall be supplied by the manufacturer.  It shall re­flect the complexity of the structure of the wheeled vehicles, equipment and parts to be tested in accordance with the requirements of the UN Regula­tions concerned and its boundary conditions.

  The same provisions shall apply, mutatis mutandis, for testing compo­nents independent of the vehicle.

• Validation process of the mathematical model

  The mathematical model shall be validated in comparison with the actual test conditions.

  To that effect, physical testing shall be conducted as appropriate for the purposes of comparing the results obtained when using the mathematical model with the results of a physical test.  Comparability of the test results shall be proven.  A validation report shall be drafted by the manufacturer or by the technical service and submitted to the approval authority.

  Any change made to the mathematical model or to the software likely to invalidate the validation report shall be brought to the attention of the appro­val authority which may require a new validation process to be conducted.

• 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.

At the request of the approval authority or the technical service, the manufacturer shall supply or provide access to the necessary tools including appropriate soft­ware.

In addition the manufacturer shall provide appropriate support to the approval authority or the technical service.

Providing access and support to a technical service does not remove any obli­gation of the technical service regarding the skills of its personnel, the payment of licence rights and respect of confidentiality.