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Overview of Type Approval Homologation and Self-Certification

Technical Report · July 2010

DOI: 10.13140/RG.2.2.31708.39041

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 2010

Type Approval Homologation and

Self Certification

Henrique Martins
Ford Motor Company
7/16/2010
DOI: 10.13140/RG.2.2.31708.39041

DOI: 10.13140/RG.2.2.31708.39041

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ABSTRACT

This paper will help you understand the different processes to officially indicate that a
vehicle meets regulatory standards and specifications.
In the global marketplace, the selling market dictates whether vehicles must be self-
certified by the manufacturer or type approved by a government agency.

These different certification/homologation processes and protocols can potentially drive

product changes or other implications.

Figure 1: Example of Type Approval marks

This paper presents an overview of Type Approval Homologation and Self-Certification and
the major differences between those 2 methods.

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INTRODUCTION

In order to sell a vehicle in a specific market, the manufacturer must approve or confirm
officially that it meets or exceeds all applicable regulatory standards and specifications.
The existing methods to officially indicate that a vehicle meets regulatory standards and
specifications are:
• Type Approval Homologation: e.g. EU, China, India, etc.
• Self-Certification: e.g. US and Canada
• A combination of both Self-Certification and Type Approval Homologation: e.g.
Brazil, etc.

Type Approval / Homologation is a generic term for the process by which a company
obtains approval from a government authority that its vehicle types satisfy the legal
requirements of the market. The manufacturer is responsible for demonstrating
compliance through witnessed testing.

Generally, type approval is required before a product is allowed to be sold in a particular

country, so the requirements for a given product will vary around the world. Processes
and certifications known as Type Approval in English are generally called Homologation, in
other European language.

The homologation process includes the procedures, events, and timing which must be
followed in order to accomplish homologation in global markets.

Because Type Approval Homologation is granted by a third party and since different
markets may have different approval authorities, there are situations where, even though
the regulatory requirements are exactly the same, specific homologation testing and
homologation processes are required.

Self-certification is the process by which a manufacturer internally validates that a vehicle

meets the applicable regulatory requirements of a specific market. It is not necessary that
witnessed testing be conducted by a government authority.

The self-certification process includes the documentation of requirements, test methods,

responsibilities, and evidence required to demonstrate compliance.

The vehicle can be registered and sold based on the manufacturer’s self-certification
declaration. However, the government agency may test production vehicles to verify
compliance to the requirements.
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TYPE APPROVAL HOMOLOGATION

A particular country’s Type Approval may consist of one or more of the following forms:
 Component Type Approval ─ approval of a component that may be fitted to any
vehicle (e.g., seat belts, tires, lamps)
 System Type Approval ─ approval of a set of components or a performance feature
of a vehicle that can only be tested and certified in an installed condition (e.g.,
restraint system, brake system, lighting system)
 Whole Vehicle Type Approval (WVTA) ─ approval of a vehicle in its entirety

Vehicle
(WVTA)

System Type Approval

(example ECE R13)

Component Approval
(example: seat belt, tires, lamp, glass, etc.)

Figure 2: Levels of Type Approval

Technical Service firms are contracted by OEM’s to support them obtain Type Approvals
from Approval Authorities.

In general, Technical Services are responsible for:

 Reviewing homologation testing plan
 Witnessing Homologation testing
 Issuing Homologation testing reports, following specific formats
 Submitting homologation documentation to the respective Approval Authorities

And Approval Authorities are, in general, responsible for:

 Concur with homologation testing plan
 Review Homologation documentation and grant approvals
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  Control COP (Conformity of Production):
o Inspect facilities, processes and samples
o Check results of conformity testing

The European Union Whole Vehicle Type Approval

 WVTA is available for passenger cars and commercial vehicles
 EU appears as “ONE country” regarding homologation:
o All EU members accept WVTA
o Any member of the EU can grant the approvals
 Some non-EU members accept WVTA:
o Switzerland, Norway, Turkey, Lichtenstein, Iceland, Israel...

Figure 3: European WVTA versus National Type Approval

Certificate of Conformity (CoC) are the ‘Birth certificate’ for each individual car, certifying
that the vehicle conforms to the content of the WVTA.
All members of the EU only allow registration and sale of vehicles (passenger cars and
commercial vehicles) with a valid CoC  “No Homologation = No sales”

SELF-CERTIFICATION

Self-certification begins with the definition of the complete set of applicable requirements.
Federal Motor Vehicle Safety Standards, or FMVSS, are legal requirements mandated by
the U.S. government that impose performance and design criteria on vehicles to enhance
safety protection, and are an example of self-certification requirements.

The US Vehicle Safety Act requires that regulated items of motor vehicle equipment and
motor vehicles manufactured for sale in the United States be certified to comply with all
applicable FMVSS. NHTSA’s regulations on motor vehicle certification are found at 49 CFR
Part 567, while the regulations on the certification of motor vehicle equipment subject to
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the FMVSS are found within the standards that pertain to each such item
of equipment, as published in 49 CFR Part 571, Subpart B.

Canadian Motor Vehicle Safety Standards, or CMVSS, are closely aligned

with FMVSS. U.S. tailpipe and evaporative emissions certifications require government
approval and are not self-certified.

In addition to regulatory requirements, vehicles must meet Voluntary Agreements, ensure

minimum levels of performance for Public Domain safety ratings (NCAPs) and meet with
other corporate specific requirements.

Voluntary Agreements are understandings that OEMs make with government regulatory
agencies to meet a specific requirement and are considered to be the equivalent of
government regulations.

New Car Assessment Program (NCAP) are vehicle safety rating programs developed to
“improve occupant safety by developing and implementing meaningful and timely
comparative safety information that encourages manufacturers to voluntarily improve the
safety of their vehicles” (Transportation N. H., 2007)

Corporate Requirements are internal OEM design requirements that are put in place either
to enhance real world safety or to ensure minimum levels of performance for Public
Domain safety ratings.

After defining the complete set of applicable requirements, the engineering teams must
design the vehicle to meet with those requirements. In addition, the engineering team
must demonstrate that a vehicle line – including all its variants – comply with all applicable
requirements, which includes the execution of physical testing, CAE, supplier technical
statements, etc.

Finally, the OEM must have a robust control process to manage product changes, in order
to ensure ongoing regulatory compliance for the life of the vehicle line program.

The Compliance Demonstration Data helps to minimize the risks of some of the most
difficult issues to defend in litigation, including:
• Ensuring compliance with FMVSS or Voluntary Agreements
• Demonstrating compliance of design changes during a product’s life-cycle
• Demonstrating a high level of safety, and
• Providing documentation of design decisions

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TYPE APPROVAL X SELF-CERTIFICATION  MAJOR DIFFERENCES

The major differences between Type Approval Homologation and Self-

Certification are listed below

Figure 4: Self Certification vs. Type Approval Homologation

Type Approval Roles & Responsibilities

The Vehicle Manufacturer:

 Submits product samples for testing
 Proves compliance through witnessed testing
 Demonstrates the ability to consistently build compliant vehicles, systems, and
components

The Governmental Approval Authority:

 Reviews test plans
 Conducts or witness tests
 Grants approvals
 Monitors Conformity of Production

Self-Certification Roles & Responsibilities

The Vehicle Manufacturer:

 Ensure compliance with regulatory requirements
 Document evidence to demonstrate compliance
 Ensure that products continue to meet regulatory requirements for the lifecycle of
the vehicle

The Governmental Approval Authority:

 May audit production vehicles
 Can open an investigation and take the respective legal actions
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REFERENCES:
Transportation, N. H. (2007). The New Car Assessment Program. NHTSA.

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